PKG00262248-instructions.pdf

U.S. Department of Housing and Urban Development

Policy Development and Research

Social and Economic Impacts of the CDBG and HOME Programs

FR-6400-N-57

08/17/2020

Table of Contents Overview

I. FUNDING OPPORTUNITY DESCRIPTION

A. Program Description

B. Authority

II. Award Information

A. Available Funds

B. Number of Awards

C. Minimum/Maximum Award Information

D. Period of Performance

E. Type of Funding Instrument

F. Supplementation

III. Eligibility Information

A. Eligible Applicants

B. Ineligible Applicants

C. Cost Sharing or Matching

D. Threshold Eligibility Requirements

E. Statutory and Regulatory Requirements Affecting Eligibility

F. Program-Specific Requirements Affecting Eligibility

G. Criteria for Beneficiaries

IV. Application and Submission Information

A. Obtaining an Application Package

B. Content and Form of Application Submission

C. System for Award Management (SAM) and Dun and Bradstreet Universal Numbering System (DUNS) Number

D. Application Submission Dates and Times

E. Intergovernmental Review

F. Funding Restrictions

G. Other Submission Requirements

V. Application Review Information

A. Review Criteria

B. Review and Selection Process

VI. Award Administration Information

A. Award Notices

B. Administrative, National and Department Policy Requirements for HUD recipients

C. Reporting

D. Debriefing

VII. Agency Contact(s)

VIII. Other Information

APPENDIX

Program Office:

Policy Development and Research Funding Opportunity Title:

Social and Economic Impacts of the CDBG and HOME Programs Funding Opportunity Number:

FR-6400-N-57

Primary CFDA Number:

14.536 Due Date for Applications:

08/17/2020 Overview The U.S. Department of Housing and Urban Development (HUD) issues this Notice of Funding Availability (NOFA) to invite applications from eligible applicants for the program and purpose described within this NOFA. Prospective applicants should carefully read all instructions in all sections to avoid sending an incomplete or ineligible application. HUD funding is highly competitive. Failure to respond accurately to any submission requirement could result in an incomplete or noncompetitive proposal.

During the selection process HUD is prohibited from disclosing 1) information regarding any applicant’s relative standing, 2) the amount of assistance requested by an applicant, and 3) any information contained in the application. Prior to the application deadline, HUD may not disclose the identity of any applicant or the number of applicants that have applied for assistance.

For Further Information Regarding this NOFA: Please direct questions regarding the specific requirements of this Notice of Funding Availability (NOFA) to the office contact identified in Section VII.

OMB Approval Number(s):

2528-0299

I. FUNDING OPPORTUNITY DESCRIPTION.

A. Program Description.

1. Purpose The purpose of this project is to develop a better understanding of the effects of specific eligible Community Development Block Grant (CDBG) and/or HOME Investment Partnerships Program (HOME) activities. HUD recognizes that the local discretion allowed by block grant funding and the particular nature of HOME activities makes evaluation of these programs difficult. However, HUD believes that in-depth evaluations and localized case studies would provide insights into the programs’ effectiveness. HUD seeks objective, quantifiable outcome measures that can be attributed to activities supported by these programs, in order to inform policymakers at the federal, state, and local levels.

See Appendix for all footnotes.

2. Background

The CDBG program was created under Title I of the Housing and Community Development Act of 1974. The primary objective of the program is the development of viable urban communities by providing decent housing, a suitable living environment, and expanding economic opportunities, principally for persons of low and moderate income. The program provides funding to states and local governments in support of three national objectives: benefit to low-and moderate-income persons, the prevention and elimination of slums and blight, and meeting an urgent need (such as any immediate threat to the health or welfare of the community). There are 26 eligible activities, including housing activities, economic development, infrastructure, planning, public facilities, and public services. A complete list of eligible activities can be found in the Guide to National Objectives.1 The amount of funding used for the various activities is also available online.2

CDBG grantees most frequently use grant funds to assist activities such as water and sewer improvements (12.3% of FY 2019 total), single-unit residential rehabilitation (12.1%), various types of public services (10.8%), street improvements (6.9%), code enforcement (2.8%), parks and recreational facilities (3.9%), financial assistance to businesses (2.45%), property acquisition (2.51%), and demolition (1.72%).3

The HOME Investment Partnerships Program was created by the Cranston-Gonzalez National Affordable Housing Act in 1990 to provide a flexible, formula-based funding source for the development of affordable rental and owner-occupied housing. The intent of the program is to provide decent affordable housing to very low- and lower-income households, expand the capacity of nonprofit housing providers, strengthen the ability of state and local governments to provide housing, and leverage private-sector participation. Since 1992 (the first year of appropriations), HUD has disbursed over $35 billion to participating jurisdictions.4 This funding has helped create more than 1.3 million units of housing.

HOME funds can be used for four eligible activities: acquisition of standard housing (14.2% of total, rehabilitation, (41.1% of total), new construction (41.3% of total), and tenant-based rental assistance (3.4% of total). PJs may use HOME funds to pay for administrative and planning costs associated with the grant, hard costs of development, and a broad range of project-related soft costs. Housing assisted with HOME funds must meet affordability requirements and be occupied by households that meet income targeting requirements for a period specified by regulation.

HOME funds come with certain requirements for their use. Participating jurisdictions (PJs) must reserve a minimum of 15% of their annual allocations for investment only in housing to be owned, developed, or sponsored by Community Housing Development Organizations (CHDOs), which must in turn meet certain eligibility requirements. PJs must also make matching contributions to affordable housing that are not less than 25% of their respective allocations.

Finally, one of the major requirements of the HOME program is that 100% of the funds must benefit low- and very low-income families, with lower-income targeting for rental housing.

3. Previous research

There have been several analyses of the impact of federal funding programs aimed at neighborhood improvements. The large majority of this research has focused on CDBG activities. Since the inception of the HOME program, there has been little systematic research on program impacts. This NOFA provides an opportunity for researchers to fill this gap in the literature. Some of the methods used in previous CDBG studies may be applied to HOME activities but we encourage applicants to consider developing new methodologies that address the particular nature of HOME program activities.

A project funded by HUD suggested that geographically targeted investments of CDBG funds were more likely to have a meaningful impact.6,7 Walker et al. took an additional step in their analysis and used qualitative interviews to confirm or refute the conclusions drawn by the model they developed. Galster et al. applied the methodology developed in the prior analyses to look at a targeted use of CDBG funds in Richmond, Virginia.8. Pooley then used this methodology to examine the impact of CDBG funding in Philadelphia and found that if CDBG funding is “deployed at the right scale…in a select number of locations, program dollars can have a domino effect for nearby properties” (page 186).9

There has been some research of more specific elements of the CDBG program. An evaluation of the Section 108 program was published in 2012.10 Section 108 allows for loans to be made using CDBG funding as collateral and is a powerful tool for leveraging private funding when the CDBG funds from a single year are inadequate. The authors found that the funding that Section 108 brought was extremely important in bringing projects to life.

A legislatively mandated evaluation of the Neighborhood Stabilization Program’s second iteration (NSP2) found that “the relatively low intensity of NSP2 treatment likely contributed to quite limited average impacts of NSP2 on housing market outcomes (page xv).11 The authors conclude that the impacts of the program on property values and other measures of economic stabilization would have been enhanced by more targeted usage.

The focus of these studies tends to be on econometric analysis of quantitative outcomes such as increases in mortgage originations, property valuation, and other easily measured indicators. The projects that this funding is intended to support should build off the existing literature, with innovative new methods and data sources for measuring the impact of specific CDBG eligible activities. Research designs should include a clear discussion of the specific activities that will be analyzed and how any method of analysis will take into account the distinct nature of each eligible activity. The same applies to research that focuses on HOME, particularly because HOME is focused on individual properties or special needs populations rather than broader neighborhood outcomes.

4. Eligible Activities for this competitive grant

In support of this project’s objectives, awardees may undertake a variety of research and evaluation activities, including those outlined below. While these activities are not marked as required, we consider many of them to be essential in creating and completing the project in a manner that achieves its objectives. HUD anticipates limited funding for travel expenses and surveys.

i. Developing a work plan, which should include staffing assignments, task budgets, and a timeline of key activities.

ii. Conducting a literature review;

iii. Consulting with outside experts and stakeholders;

iv. Developing a research design, which should include research questions, hypotheses, data sources, data collection methods, data collection instruments (if applicable), and analysis methods;

v. Completing all materials required for OMB Paperwork Reduction Act approval, if applicable. Completing Privacy Impact Assessment and System of Records Notice documentation, if applicable;

vi. Obtaining Institutional Review Board approval, if applicable;

vii. Collecting or acquiring data in accordance with the research design;

viii. Data analysis, which could include basic descriptive statistics, advanced statistical analysis, geospatial analysis, and data visualization;

ix. Producing a written report(s) to summarize findings; and

x. Providing briefings to explain findings to HUD staff and other stakeholders.

HUD expects the application to explain whether access to the data in the future by other researchers would be consistent with the privacy of human subjects, and if so, what provision the applicant proposes to make for that access.

5. Methodological considerations

In developing a methodology, applicants should take into consideration HUD’s Program Evaluation Policy statement, published December 6, 2016, at 81 Federal Register 87949.

Certain aspects of these programs can be difficult to evaluate. HUD is aware of the following methodological challenges which applicants will be expected to address in their proposal.

i. Data: One of the largest impediments in evaluating CDBG and HOME (CDBG in particular) is the quality of available data. Fortunately, quality data (both inputs and outcomes) have improved over time. Some grantees have databases that track activities and include detailed information, and outcome data have also become more readily available. Data sources such as these and others, depending on the type of activity under study, may prove useful to researchers evaluating the impact of CDBG and/or HOME:

a. Property values can be examined using local real estate records (which are increasingly digitized and publicly available), or through home price indexes (which are now available at geographic levels as small as the ZIP code).

b. HUD has partnered with the US Postal Service to produce quarterly data tracking residential and commercial vacancy at the neighborhood level.

c. Local police departments often provide crime data publicly.

d. Social service providers often use client databases to track the individuals they assist.

e. The Census Bureau’s American Community Survey now provides annual updates that can reveal important changes in neighborhood characteristics.

HUD will make data available to the research team where possible, but cautions that applicants should not rely solely on HUD data. HUD expects applicants to independently identify data sources that will support their proposed research and appropriately describe any linking between the data that may be required. HUD expects that these outcome measures will be quantifiable and could be monetized to allow benefit-cost analysis.

Limited qualitative data may also provide useful context, as in Walker et al. 2002.

Applicants will likely require data from grantees and may also need to consult grantee staff to understand the objectives of activities. If local support is required for data access, applicants are encouraged to solicit a letter of support from any grantee(s) whose activities will be evaluated. In that letter of support, the grantee should commit to supporting independent and impartial research and also affirm the availability of activity data that is reliable and precise enough to support the proposed research. Any potential concerns regarding the reliability or availability of these data should be addressed in the application. An applicant’s discussion of these concerns and the potential solutions will be considered in the review process under Rating Factor 2.a.ii.

HOME funding differs from CDBG in that it has an exclusive focus on housing.

Applicants interested in studying HOME should consider the implications of that difference when describing data sources and potential outcomes (i.e. impacts on homelessness, affordability, ownership rates, foreclosure rates, etc.).

ii. Generalizability: A second substantial challenge comes from the diversity of activities supported by CDBG and HOME. As discussed above (see: Background section), these programs can be used for a wide variety of activities. Furthermore, the context in which those activities are carried out also varies widely (for example, grantees have different levels of capacity and cities have different economic circumstances and housing markets). It is difficult to identify a sample of activities that represent the program as a whole. Even if such a sample could be studied, it would gloss over important variation within the program.

HUD does not expect proposals that would produce findings generalizable to CDBG and HOME as a whole, although we are open to proposals with innovative methods that could test program-wide impacts. HUD anticipates receiving proposals that focus on a specific place, or a specific activity (or set of similar activities). However, the applicant should be prepared to explain the extent to which their research would be representative of the CDBG program as a whole. The applicant should be able to explain how impacts of the particular activity or activities being studied in a small number of jurisdictions might or might not generalize to other CDBG activity elsewhere.

iii. Scale: CDBG and HOME are often used to leverage other funds (HOME in particular, given the matching requirement). Some grantees deploy CDBG resources in a geographically dispersed manner. CDBG funding for any particular activity or location may be small, especially relative to the size of the problems being addressed. Similarly, the amount of HOME funds available in a jurisdiction are insufficient to change homeownership rates or the percentage of rent-burdened households. This has been addressed in previous research and appears to be common.

This presents several challenges. Researchers will need to consider whether to focus their efforts on CDBG or HOME activities that meet a certain threshold; whether CDBG or HOME should be examined in isolation or in conjunction with other related funding sources; and whether the proposed statistical methods will be sufficient to measure small changes in the proposed outcome variable(s).

iv. Time: Examining the use of CDBG and/or HOME resources in a particular year may produce misleading findings, if the research does not account for the use of these resources for the same program or same neighborhood in prior years. In addition, it is likely that outcomes affected by projects supported with CDBG and/or HOME funding will take some time to materialize. Applicants should ensure that their proposed analysis period is appropriate for defining the nature of investment and for measuring outcomes.

v. Endogeneity: One of the greatest challenges in any evaluation is identifying a causal relationship between an activity and an outcome. This certainly applies to the CDBG and HOME programs. Investment of these funds are deliberately selected and designed by grantee staff, who may select activities or locations that they believe are primed for success—such as funding housing rehabilitation in a neighborhood that is currently impoverished, but slated to receive a major investment such as a new transit station.

Alternatively, they may deliberately invest in places with the most intractable problems— neighborhoods with persistent crime, or a history of racial segregation. This selection process may be a key mediating factor in the success (or failure) of any particular project.

Selection bias is also a challenge for activities designed to help individuals (such as a job training program). Those individuals who choose to participate in a program may have unmeasurable characteristics that make them more or less likely to succeed in that program. Through this NOFA, HUD hopes to fund research that uses rigorous methods to address challenges of selection bias and endogeneity.

vi. HOME-specific guidance: There is some potential overlap in terms of research designs for HOME and CDBG, but there are differences that applicants should take into consideration. This NOFA is intended to support research that looks at specific eligible activities and this is particularly true for HOME. Many HOME activities have very specific populations, outcomes, and intended impacts. It may not be appropriate to use broad measures of impact for these activities (new business starts, income, property values, etc). Any research that takes HOME as its focus should do so in way that reflects the specific goals and desired outcomes of each activity, rather than the broad impacts that previous research on CDBG has examined.

6. Deliverables

At a minimum, HUD expects the awardee to produce the following deliverables. The GTR and/or other HUD staff as assigned by the GTR will work closely with the awardee on these deliverables. HUD expects to have an opportunity to review and comment to ensure that they meet the project objectives.

i. Work Plan: The Work Plan (or Management and Work Plan) will outline the overall strategy for completing the research within the budget and timeframe allotted. It will describe activities to be undertaken, assign staff, and provide a schedule of key tasks. A draft Work Plan must be submitted with the application. After award, HUD will provide feedback to the awardee, and a final Work Plan must be submitted to HUD within two weeks of the receipt of HUD comments.

ii. Research Design: The Research Design will provide a detailed plan for technical aspects of the research, including research questions, hypotheses, data sources, data collection methods, data collection instruments (if applicable), and analysis methods. The Research Design must demonstrate how the proposed methodology, including the data collection and analysis strategy, will address the research questions and hypotheses proposed. A draft Research Design must be submitted with the application. After award, HUD will provide feedback to the awardee, and a final Research Design must be submitted to HUD within four weeks of the receipt of HUD comments.

iii. Quality Control Plan: A Draft Quality Control Plan which addresses all potential points of a Quality Control Lapse (see definition below). shall be delivered within 2 weeks after grant award and the final QCP shall be submitted for approval of the GTR within 6 weeks of grant award. Three copies of a comprehensive written QCP shall be submitted to the GTR and within 5 working days when changes are made thereafter. After acceptance of the QCP by the GTR, the Grantee shall receive the GTR’s acceptance in writing of any proposed change to its quality control system.

iv. Progress Reports: Progress Reports will document activities completed in the most recent reporting period, planned activities for the upcoming reporting period, and budget expenditures by line item (including hours worked for specific staff). Progress reports may be submitted monthly or quarterly, at the discretion of the awardee, but must be aligned with the submission of drawdown requests.

v. Final Report: The Final Report must summarize the work conducted over the course of the project, present the study objectives, data sources, analysis methods, and results. The Final Report is the key deliverable of the study, and must serve as a stand-alone document that meets the overall objective of this project. The Final Report should be edited and prepared for publication in accordance with HUD’s Guidelines for Preparing a Report for Publication.

2. Changes from Previous NOFA.

This a new NOFA.

3. Definitions.

a. Standard Definitions

Affirmatively Furthering Fair Housing (AFFH). The obligation to affirmatively further the purposes and policies of the Fair Housing Act.

Assistance Listings (formerly CFDA) is a directory of the various Federal listings, projects, services and activities offering financial and non-financial assistance and benefits to the American public. An Assistance Listing (CFDA) Number is the unique number assigned to each program, project, service or activity listed in the Catalog of Federal Domestic Assistance

(CFDA).

Authorized Organization Representative (AOR) is the person authorized to submit applications on behalf of the organization via Grants.gov. The AOR is authorized by the E-Biz point of contact in the System for Award Management. The AOR is listed in item 21 on the SF- 424.

Award, as used in this NOFA means a federal grant OR cooperative agreement as specified in Section II.E (Type of Funding Instrument).

Consolidated Plan is a document developed by states and local jurisdictions. This plan is completed by engaging in a participatory process to assess their affordable housing and community development needs and market conditions, and to make data-driven, place-based investment decisions with funding from formula grant programs. (See 24 CFR part 91 for more information about the Consolidated Plan and related Action Plan).

Contract means a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used in this NOFA does not include a legal instrument, even if the non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward (See 2

CFR 200.22.)

Contractor means an entity receiving a contract.

Deficiency is information missing or omitted within a submitted application. Examples of deficiencies include missing documents, information on a form, or some other type of unsatisfied information requirement (e.g., an unsigned form, unchecked box.). Depending on specific criteria, deficiencies may be either curable or non-curable.

Curable Deficiency – Applicants may correct a curable deficiency with timely action.

To be curable the deficiency must:

Not be a threshold requirement, except for documentation of applicant eligibility;

not influence how an applicant is ranked or scored versus other applicants; and be remedied within the time frame specified in the notice of deficiency.

Non-Curable Deficiency – An applicant cannot correct a non-curable deficiency after the submission deadline.

Non-curable deficiencies are deficiencies that, if corrected, would change an applicant’s score or rank versus other applicants. Non-curable deficiencies may result in an application being marked ineligible, or otherwise adversely affect an application’s score and final determination.

DUNS Number is the nine-digit identification number assigned to a business or organization by Dun & Bradstreet and provides a means of identifying business entities on a location-specific basis. Requests for a DUNS number can be made by visiting the Online DUNS Request Portal.

Eligibility requirements are mandatory requirements for an application to be eligible for funding.

Grants.gov is the website serving as the Federal government’s central portal for searching and applying for federal financial assistance throughout the Federal government. Registration on Grants.gov is required for submission of applications to prospective agencies unless otherwise specified in this NOFA.

Non-Federal Entity is a state, local government, Indian tribe, institution of higher education (IHE), or non-profit organization carrying out a Federal award as a recipient or sub recipient.

If eligible applicants under the NOFA include for profit entities, this definition of non-federal entity includes for profit entities.

Point of Contact (POC) is the person who may be contacted with questions about the application submitted by the AOR. The POC is listed in item 8F on the SF-424.

Recipient means a non-Federal entity receiving an award directly from HUD to carry out an activity under a HUD program.

Subaward means an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the recipient. It does not include payments to a contractor or payments to an individual beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract. The legal agreement must contain the subrecipient’s assurance of compliance with program requirements, including but not limited to nondiscrimination and equal opportunity requirements.

Subrecipient is a non-Federal entity receiving a subaward from a pass-through entity to carry out part of a HUD program; but does not include an individual beneficiary of such program. A subrecipient may also receive other Federal awards directly from a Federal awarding agency (including HUD).

System for Award Management (SAM), is a U.S. Government system that consolidated the capabilities of Central Contractor Registry (CCR), Excluded Parties List System (EPLS) and the Online Representations and Certifications Application (ORCA). Registration with SAM is required for submission of applications via Grants.gov. You can access the website at https://www.sam.gov/SAM/. There is no cost to use SAM.

Threshold Requirements are an eligibility requirement that must be met for an application to be reviewed. Threshold requirements are not curable, except for documentation of applicant eligibility and are listed in Section III.D Threshold Eligibility Requirements. Similarly, there are eligibility requirements under Section III.E, Statutory and Regulatory Requirements Affecting Eligibility.

Unique Entity Identifier is a number used to identify a specific commercial, nonprofit, or government entity. SAM states that currently Dun & Bradstreet (D&B) is the designated entity to establish and maintain the DUNS Number as the unique entity identifier required for registration in SAM and further used throughout federal procurement, financial assistance, and financial management systems. Beginning December 2020, the DUNS number will no longer be the official identifier for entities doing business with the government.

4. Program Definitions Quality Control Lapse: Any failure by the grantee to produce accurate, reliable, timely, and clear results because of a deficiency in oversight, coordination, or communication within the research team.

B. Authority.

Funding for this program is provided by the Further Consolidated Appropriations Act, 2020 (Public Law 116-94, approved December 20, 2019). This program is authorized under sections 501 and 502 of the Housing and Urban Development Act of 1970 (12 U.S.C. §§ 1701z-1 and 1701z-2).

II. Award Information.

A. Available Funds Funding of approximately $ 500,000 is available through this NOFA.

Additional funds may become available for award under this NOFA, because of HUD's efforts to recapture funds, use carryover funds, or because of the availability of additional appropriated funds. Use of these funds is subject to statutory constraints. All awards are subject to the funding restrictions contained in this NOFA.

B. Number of Awards.

HUD expects to make approximately 2 awards from the funds available under this NOFA.

C. Minimum/Maximum Award Information Estimated Total Funding:

$ 500,000 Minimum Award Amount:

$ 100,000 Per Project Period Maximum Award Amount:

$ 300,000 Per Project Period D. Period of Performance Estimated Project Start Date:

10/05/2020 Estimated Project End Date:

10/05/2022 Length of Project Periods:

Other Length of Periods Explanation of Other:

24-month project period with a 24-month budget period.

E. Type of Funding Instrument.

Funding Instrument Type:

CA (Cooperative Agreement)

F. Supplementation.

For this NOFA, sub-section "F. Supplementation" is Not Applicable

III. Eligibility Information.

A. Eligible Applicants.

State governments County governments City or township governments Public and State controlled institutions of higher education Native American tribal governments (Federally recognized) Public housing authorities/Indian housing authorities Nonprofits having a 501(c)(3) status with the IRS, other than institutions of higher education Nonprofits without 501(c)(3) status with the IRS, other than institutions of higher education Private institutions of higher education For profit organizations other than small businesses Information on Eligible Applicants B. Ineligible Applicants.

Individuals are not eligible to apply.

C. Cost Sharing or Matching.

This Program does not require cost sharing or matching.

D. Threshold Eligibility Requirements.

Applicants who fail to meet any of the following threshold eligibility requirements will be deemed ineligible. Applications from ineligible applicants will not be evaluated.

1. Outstanding civil rights matters must be resolved to HUD’s satisfaction prior to grant award, provided that all applicable legal processes have been satisfied.

2. Timely Submission of Applications. Applications submitted after the deadline stated within this NOFA that do not meet the requirements of the grace period policy will be marked late. Late applications are ineligible and will not be considered for funding. See Section IV. D. Application Submission Dates and Times.

E. Statutory and Regulatory Requirements Affecting Eligibility.

Eligibility Requirements for Applicants of HUD’s Grants Programs The following requirements affect applicant eligibility. Detailed information on each requirement is posted on HUD’s Funding Opportunities Page.

Outstanding Delinquent Federal Debts Debarments and/or Suspensions Pre-selection Review of Performance Sufficiency of Financial Management System False Statements Mandatory Disclosure Requirement https://www.hud.gov/program_offices/spm/gmomgmt/grantsinfo/fundingopps

Prohibition Against Lobbying Activities Equal Participation of Faith-Based Organizations in HUD Programs and Activities

F. Program-Specific Requirements Affecting Eligibility.

There are no program-specific requirements affecting eligibility.

G. Criteria for Beneficiaries.

Not applicable.

IV. Application and Submission Information.

A. Obtaining an Application Package.

Instructions for Applicants.

You must download both the Application Instructions and the Application Package from Grants.gov. You must verify that the CFDA Number and CFDA Description on the first page of the Application Package, and the Funding Opportunity Title and the Funding Opportunity Number match the Program and NOFA to which you are applying.

The Application Package contains the portable document forms (PDFs) available on Grants.gov, such as the SF-424 Family. The Instruction Download contains official copies of the NOFA and forms necessary for a complete application. The Instruction Download may include Microsoft Word, Microsoft Excel and additional documents.

An applicant demonstrating good cause may request a waiver from the requirement for electronic submission. For example, a lack of available Internet access in the geographic area in which your business offices are located. Lack of SAM registration or valid DUNS is not good cause. If you cannot submit your application electronically, you must ask in writing for a waiver of the electronic grant submission requirements. HUD will not grant a waiver if HUD does not receive your written request at least 15 days before the application deadline and if you do not demonstrate good cause. An email request for a waiver received by HUD 15 days before the application is due will also be considered. If HUD waives the requirement, HUD must receive your paper application before the deadline of this NOFA. To request a waiver you must contact:

Name:

Leatha Blanks Email:

leatha.m.blanks@hud.gov HUD Organization:

PD&R

Street:

451 7th St SW City:

Washington State:

DC DISTRICT OF COLUMBIA

Zip:

20410

B. Content and Form of Application Submission.

You must verify that boxes 11, 12, and 13 on the SF-424 match the NOFA for which you are applying. If they do not match, you have downloaded the wrong Application Instruction and Application Package.

Submission of an application that is otherwise sufficient, under the wrong CFDA and Funding Opportunity Number is a curable deficiency.

1. Content.

Forms/Assurances/Certifications Submission Requirement Notes/Description

Application for Federal Assistance

(SF424)

Submission is required for all applicants by the application due date.

Disclosure of Lobbying Activities (SFLLL), if applicable

HUD will provide instructions to grantees on how the form is to be submitted.

If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the applicant shall complete and submit the SF-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Applicants must furnish an executed copy of the Certification Regarding Lobbying prior to award.

HUD Applicant Recipient Disclosure Report (HUD) 2880 Applicant/Recipient Disclosure/Update Report

HUD will provide instructions to grantees on how the form is to be submitted.

HUD instructions to grantees are provided by webcast, To view the webcast, click here.

http://media.gss.hud.gov:8080/WC/2011/02/11/HUDForm2880.wmv

Additionally, your complete application must include the following narratives and non-form attachments.

One-page application summary as described in Section IV.B.2.b below.

Narrative statement addressing ratings factors.

Appendix containing up to 5 resumes of key personnel.

Appendix that lists the names of the firms for all of the subcontractors and consultants with whom the applicant has entered into an agreement to participate in an award under this NOFA and a brief statement of each firm’s qualifications.

Appendix containing a list of references outlining the applicant’s performance of recent (within five years) and relevant social science research or program evaluations.

Budget submission (display of all anticipated costs during the 2-year performance period, including an indirect cost rate). See Section VI and the General Section for FY 2020 for more information on the budget setting process.

Code of Conduct. Applicants selected for funding will be required to provide HUD with their written Code of Conduct if they have not previously done so and it is not recorded on the HUD website at:

https://www.hud.gov/program_offices/spm/gmomgmt/grantsinfo/conductgrants.

2. Format and Form.

Narratives and other attachments to your application must follow the following format guidelines.

a. Narrative addressing rating factors should not exceed 30 pages. The narrative page limits do not include required forms, assurances and certifications, the appendix of participating firms and contractors, the appendix of resumes, the appendix of reference letters, the budget narrative, the abstract, and the one-page summary. The narrative must be formatted to fit an 8 1/2 by 11-inch page, double-spaced (information requirements), with one-inch margins, using standard Times New Roman 12-point font. Resumes are subject to a separate 20-page limit as follows:

i. the application shall include resumes for no more than 5 key personnel; and

ii. no individual resume shall exceed 4 pages. Submitting pages in excess of page limits will not disqualify an applicant; however, HUD will not consider the information on any excess pages. This exclusion may result in a lower score.

b. One-Page Application Summary needs to include:

i. A brief description of the proposed research and/or evaluation project; and

ii. Provide funding request in whole dollar amount. The amount requested should be based on the scope of the project, personnel costs, other direct costs, as well as administrative costs, etc.

C. System for Award Management (SAM) and Dun and Bradstreet Universal Numbering System (DUNS) Number.

1. SAM Registration Requirement.

Applicants must be registered with https://www.sam.gov/SAM before submitting their application. In addition, Applicants must maintain an active SAM registration with current information while they have an active Federal award or an application or plan under consideration by HUD.

2. DUNS Number Requirement.

Applicants must provide a valid DUNS number, registered and active at https://www.hud.gov/program_offices/spm/gmomgmt/grantsinfo/conductgrants https://www.sam.gov/SAM, in the application. DUNS numbers may be obtained for free from Dun & Bradstreet.

3. Requirement to Register with Grants.gov.

Anyone planning to submit applications on behalf of an organization must register at grants.gov and be approved by the EBiz POC in SAM to submit applications for the organization.

Registration for SAM and grants.gov is a multi-step process and can take four (4) weeks or longer to complete if data issues arise. Applicants without a valid registration cannot apply through grants.gov. Complete registration instructions and guidance are provided on grants.gov.

D. Application Submission Dates and Times.

Application Due Date Explanation The application deadline is 11:59:59 pm Eastern Standard time on

08/17/2020 Applications must be received no later than the deadline.

Submit your application to Grants.gov unless a waiver has been issued allowing you to submit your application in paper form. Instructions for submitting your paper application will be contained in the waiver of electronic submission.

"Received by Grants.gov" means the applicant received a confirmation of receipt and an application tracking number from Grants.gov. Grants.gov then assigns an application tracking number and date-and timestamps each application upon successful receipt by the Grants.gov system. A submission attempt not resulting in confirmation of receipt and an application tracking number is not considered received by Grants.gov.

Applications received by Grants.gov must be validated by Grants.gov to be received by HUD.

"Validated by Grants.gov" means the application has been accepted and was not rejected with errors. You can track the status of your application by logging into Grants.gov, selecting "Applicants" from the top navigation, and selecting “Track my application” from the dropdown list. If the application status is "rejected with errors,” you must correct the error(s) and resubmit the application before the 24-hour grace period ends. Applications in “rejected with errors” status after the 24-hour grace period expires will not be received by HUD. Visit Grants.gov for a complete description of processing steps after applying.

HUD strongly recommends applications be submitted at least 48 hours before the deadline and during regular business hours to allow enough time to correct errors or overcome other problems.

You can verify the contents of your submitted application to confirm Grants.gov received everything you intended to submit. To verify the contents of your submitted application:

Log in to Grants.gov.

Click the Check Application Status link, which appears under the Grant Applications heading in the Applicant Center page. This will take you to the Check Application Status page.

Enter search criteria and a date range to narrow your search results.

Click the Search button. To review your search results in Microsoft Excel, click the Export Data button.

Review the Status column, to view more detailed submission information, click the Details link in the Actions column.

To download the submitted application, click the Download link in the Actions column.

Please make note of the Grants.gov tracking number as it will be needed by the Grants.gov Help Desk if you seek their assistance.

HUD may extend the application deadline for any program if Grants.gov is offline or not available to applicants for at least 24 hours immediately prior to the deadline date, or the system is down for 24 hours or longer and impacts the ability of applicants to cure a submission deficiency within the grace period.

HUD may also extend the application deadline upon request if there is a presidentially declared disaster in the applicant’s area.

If these events occur, HUD will post a notice on its website establishing the new, extended deadline for the affected applicants. HUD will also include the fact of the extension in the program’s Notice of Funding Awards required to be published in the Federal Register.

In determining whether to grant a request for an extension based on a presidentially-declared disaster, HUD will consider the totality of the circumstances including the date of an applicant’s extension request (how closely it followed the basis for the extension), whether other applicants in the geographic area are similarly affected by the disaster, and how quickly power or services are restored to enable the applicant to submit its application.

PLEASE NOTE: Busy servers, slow processing, large file sizes, improper registration or password issues are not valid circumstances to extend the deadline dates or the grace period.

1. Amending or Resubmitting an Application.

Before the submission deadline, you may amend a validated application through Grants.gov by resubmitting a revised application containing the new or changed material. The resubmitted application must be received and validated by Grants.gov by the applicable deadline.

If HUD receives an original and a revised application for a single proposal, HUD will evaluate only the last submission received by Grants.gov before the deadline.

2. Grace Period for Grants.gov Submissions.

If your application is received by Grants.gov before the deadline, but is rejected with errors, you have a grace period of 24 hours after the application deadline to submit a corrected, received, and validated application through Grants.gov. The date and time stamp on the

Grants.gov system determines the application receipt time. Any application submitted during the grace period not received and validated by Grants.gov will not be considered for funding. There is no grace period for paper applications.

3. Late Applications.

An application received after the NOFA deadline date that does not meet the Grace Period requirements will be marked late and will not be received by HUD for funding consideration.

Improper or expired registration and password issues are not causes that allow HUD to accept applications after the deadline.

4. Corrections to Deficient Applications.

HUD will not consider information from applicants after the application deadline. Before the deadline, HUD may contact the applicant to clarify information submitted.

HUD will uniformly notify applicants of each curable deficiency. A curable deficiency is an error or oversight that, if corrected, would not alter, in a positive or negative fashion, the review and rating of the application. See curable deficiency in the definitions section (Section I.A.3.).

Examples of curable (correctable) deficiencies include inconsistencies in the funding request and failure to submit required certifications. These examples are non-exhaustive.

When HUD identifies a curable deficiency, HUD will notify the authorized representative by email. This email is the official notification of a curable deficiency. Each applicant must provide accurate email addresses for receipt of these notifications and must monitor their email accounts to determine whether a deficiency notification has been received. The applicant must carefully review the request to cure a deficiency and must provide the response in accordance with the instructions contained in the deficiency notification.

Applicants must email corrections of curable deficiencies to applicationsupport@hud.gov within the time limits specified in the notification. The time allowed to correct deficiencies will be no less than 48 hours and no more than 14 calendar days from the date of the email notification. The start of the cure period will be the date stamp on the email sent from HUD. If the deficiency cure deadline date falls on a Saturday, Sunday, Federal holiday, or on a day when HUD’s Headquarters are closed, then the applicant’s correction must be received on the next business day HUD Headquarters offices in Washington, DC are open.

The subject line of the email sent to applicationsupport@hud.gov must state: Technical Cure and include the Grants.gov application tracking number or the GrantSolutions application number (e.g., Subject: Technical Cure - GRANT123456 or Technical Cure - XXXXXXXXXXX). If this information is not included, HUD cannot match the response with the application under review and the application may be rejected due to the deficiency.

Corrections to a paper application must be sent in accordance with and to the address indicated in the notification of deficiency. HUD will treat a paper application submitted in accordance with a waiver of electronic application containing the wrong DUNS number as having a curable deficiency. Failure to correct the deficiency and meet the requirement to have a DUNS number and active registration in SAM will render the application ineligible for funding.

5. Authoritative Versions of HUD NOFAs. The version of these NOFAs as posted on Grants.gov are the official documents HUD uses to solicit applications.

6. Exemptions. Parties that believe the requirements of the NOFA would impose a substantial mailto:applicationsupport@hud.gov mailto:applicationsupport@hud.gov burden on the exercise of their religion should seek an exemption under the Religious Freedom Restoration Act (RFRA).

E. Intergovernmental Review.

This program is not subject to Executive Order 12372, Intergovernmental Review of Federal Programs.

F. Funding Restrictions.

Not applicable.

Indirect Cost Rate.

Normal indirect cost rules under 2 CFR part 200, subpart E apply. If you intend to charge indirect costs to your award, your application must clearly state the rate and distribution base you intend to use. If you have a Federally negotiated indirect cost rate, your application must also include a letter or other documentation from the cognizant agency showing the approved rate.

Successful applicants whose rate changes after the application deadline must submit new rate and documentation.

Applicants other than state, county and local governments. If you have a Federally negotiated indirect cost rate, your application must clearly state the approved rate and distribution base and must include a letter or other documentation from the cognizant agency showing the approved rate. If you have never received a negotiated indirect cost rate and elect to use the de minimis rate, your application must clearly state you intend to use the de minimis rate of 10% of Modified Total Direct Costs (MTDC). As described in 2 CFR 200.403, costs must be consistently charged as either indirect or direct costs but may not be double charged or inconsistently charged as both. Once elected, the de minimis rate must be applied consistently for all Federal awards until you choose to negotiate for a rate, which you may apply to do at any time. Documentation of the decision to use the de minimis rate must be retained on file for audit.

State, county and local governments. If your department or agency unit has a Federally negotiated indirect cost rate, your application must include that rate, the applicable distribution base, and a letter or other documentation from the cognizant agency showing the negotiated rate.

If your department or agency unit receives more than $35 million in direct federal funding per year, you may not claim indirect costs until you receive a negotiated rate from your cognizant agency for indirect costs as provided in Appendix VII to 2 CFR Part 200.

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