[Federal Register Volume 59, Number 120 (Thursday, June 23, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-15342]
[[Page Unknown]]
[Federal Register: June 23, 1994]
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Part V
Department of Health and Human Services
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Office of Community Services
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Request for Applications Under the Office of Community Services' FY
1994 Demonstration Partnership Program; Notice
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of Community Services
[Program Announcement No. OCS-94-03]
Request for Applications Under the Office of Community Services'
FY 1994 Demonstration Partnership Program
AGENCY: Administration for Children and Families (ACF), DHHS.
ACTION: Announcement of availability of funds and request for
applications under the Office of Community Services' Demonstration
Partnership Program (DPP).
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SUMMARY: The Office of Community Services (OCS) announces that, based
on availability of funds, applications will be accepted for grants
pursuant to the Secretary's authority under Section 408(a) as amended
(Pub. L. 99-425), of the Human Services Reauthorization Act of 1986.
This program announcement follows the previous announcement published
May 5, 1994 (59 FR 86 pp. 23209 et seq.) of a special set-aside of up
to two million dollars ($2,000,000) of Fiscal Year 1994 DPP funds for
Technical Assistance/Planning in connection with strategic planning for
Empowerment Zones/Enterprise Communities (of which approximately $1.2
million has been disbursed) and deals with the remaining FY 1994 DPP
funds of up to approximately six million dollars ($6,000,000). This
program announcement consists of eight parts.
Part I covers information on the legislative authority, describes
the Departmental goals, defines terms used in the program announcement
and describes the purposes of the program.
Part II describes the types of projects that will be considered for
funding.
Part III provides details on application requirements including
project elements, definition of eligible applicants, availability of
funds, prohibition on the use of funds, project periods and budget
periods, the amount of matching funds applicants are required to
commit, limitations on administrative costs, and program beneficiaries,
partnership agreement, sub-contracting, third-party evaluation and
maintenance of effort.
Part IV provides application review criteria for the four
identified program priority categories.
Part V provides information on application procedures including the
availability of forms, where to submit an application, and criteria for
initial screening of applications.
Part VI provides instructions for completing an application.
Part VII details the contents of the application and receipt
process and Part VIII details post-award requirements.
CLOSING DATES: The closing date for submission of applications is
August 8, 1994.
FOR FURTHER INFORMATION CONTACT: Office of Community Services,
Administration for Children and Families Attn: Demonstration
Partnership Program, 370 L'Enfant Promenade, S.W., Fifth Floor,
Washington, D. C. 20447, (202) 401-9233.
This Announcement is accessible on the OCS Electronic Bulletin
Board for downloading through your computer modem by calling 1-800-627-
8886. For assistance in accessing the Bulletin Board, a Guide to
Accessing and Downloading is available from Ms. Minnie Landry at (202)
401-5309.
Table Of Contents
Part I--Preamble
A. Legislative Authority
B. Departmental Goals
C. Definitions of Terms
D. Purpose
Part II--Program Priority Areas
A. General Demonstration Projects 1.0
B. Replication Projects 2.0
C. Renewal Projects 3.0
D. Special Populations Set-Aside 4.0
Part III--Application Requirements
A. Project Elements
B. Background Information
1. Eligible applicants
2. Availability of Funds and Grant Amounts
3. Prohibition on the Use of Funds
4. Project Periods and Budget Periods
5. Matching Funds
6. Program Beneficiaries
7. Partnership Agreement
8. Sub-Contracting or Delegating Projects
9. Third-Party Evaluation
10. Maintenance of Effort
Part IV. Application Review Criteria
A. Review and Assessment of Applications in Priority Areas 1.0,
2.0, and 4.0
B. Review and Assessment of Applications for Renewal Projects
only, Priority Area 3.0
Part V. Application Procedures
A. Availability of Forms
B. Application Submission
C. Intergovernmental Review
D. Application Consideration
E. Criteria for Screening Applications
Part VI. Instructions for Completing Applications
A. SF-424--Application for Federal Assistance
B. SF-424A--Budget Information--Non-Construction
C. SF-424B--Assurances--Non-Construction
Part VII. Contents of Application and Receipt Process
A. Contents of Application
B. Acknowledgement of Receipt
Part VIII. Post-Award Information and Reporting Requirements
Part I--Preamble
A. Legislative Authority
Section 408 of the Human Services Reauthorization Act of 1986, as
amended (Pub. L. 99-425), entitled Demonstration Partnership Agreements
Addressing the Needs of the Poor, authorizes the Secretary to make
grants to eligible entities in order to stimulate the development of
new approaches to provide for greater self-sufficiency of the poor and
for the development and implementation of new and innovative approaches
to deal with particularly critical needs or problems of the poor which
are common to a number of communities.
B. Departmental Themes:
The Department has identified themes which guide the Department of
Health and Human Services' priorities and budget choices, as well as
the way the Department is run and how its services are delivered. These
are 1) preventing future problems which require identifying and
supporting early interventions; 2) fostering independence among the
people we serve which means developing strategies to ensure that
welfare recipients and other targeted populations have the means to
become as self-sufficient as possible; and 3) improving services to
customers through modern management approaches which means ensuring
that services and programs are as efficient and effective as possible.
C. Definitions of Terms
For purposes of this program announcement, the following
definitions apply:
--Budget Period: The term ``budget period'' refers to the interval of
time (usually 12 months) into which a multi-year period of assistance
(project period) is divided for budgetary and funding purposes.
--Case Management: For purposes of this announcement, case management
includes but is not limited to: assessment of the client's needs,
development of a holistic, comprehensive service plan, and delivery of
the most efficient and effective mix of services and support in the
implementation of that plan.
--Eligible entity: Any organization which is officially designated as a
community action agency or a community action program under Section
673(1) of the Community Services Block Grant (CSBG) Act, and meets all
the requirements under Section 675(c)(3) of the CSBG Act. All
``eligible entities'' are current recipients of Community Services
Block Grant funds, including Migrant and Seasonal Farmworker programs
which received CSBG funding in the previous fiscal year (FY 1993).
In those cases where ``eligible entity'' status is unclear, final
determination will be made by OCS/ACF.
--Family: For purposes of this announcement, family includes the
definition of nuclear family, as well as the inclusion of household
members and/or the extended family.
--Hypothesis: An assumption made in order to test its validity. It
should assert a relationship between an intervention and an outcome on
a target population. For example, there will be a significant increase
in the proportion of (target population) making progress toward self-
sufficiency (outcome) who receive and/or participate in (intervention)
as compared to those who do not. The outcome must be measurable.
--Innovative project: One that departs from or significantly modifies
past program practices and tests a new approach(es).
--Intervention: Any planned activity within a project that is intended
to produce changes in the target population or the environment, and can
be formally evaluated.
--Outcome evaluation: An assessment of measured results designed to
provide a valid determination of the net effects attributable to the
intervention. An outcome evaluation will produce and interpret findings
related to whether the intervention produced desirable changes and its
potential for replicability. It should answer the question, ``Did this
program work?''
--Partnership: A formal negotiated arrangement between an eligible
entity and another organization (or organizations) that provides for
substantive collaborative policy and service provision roles for each
of the partners in the planning and conduct of the project, the results
of which should be better integration of resources and services
delivery at the community level.
--Process evaluation: Descriptive information that is gathered on the
development and implementation of a program/intervention that may serve
as a document for replicating the program elsewhere. The evaluation
should also identify problems that occurred and how they were dealt
with and recommend improved means of future implementation. It should
answer the question: ``How was the program carried out?'' In concert
with the outcome evaluation, it should also help explain, ``Why did
this program work/not work?''
--Project period: The term ``project period'' refers to the total time
for which a project is approved for support, including any extensions.
--Self-sufficiency: A condition where an individual or family, by
reason of employment, does not need and is not eligible for, public
assistance.
D. Purpose
The purposes of this program are: (1) to stimulate eligible
entities to develop new approaches to provide for greater self-
sufficiency of the poor; (2) to test and evaluate the new approaches;
(3) to disseminate project results and evaluation findings so that
successful approaches can be replicated; and (4) to strengthen the
ability of eligible entities through the creation and/or strengthening
of community partnerships to integrate, coordinate, and redirect
activities to promote maximum self-sufficiency among the poor.
Part II: Program Priority Areas
Priority Area 1.0 General Demonstration Projects: (Up to approximately
$2 million)
All applications submitted under this category must focus on
developing new and innovative ways of promoting individual and family
self-sufficiency among the poor within the context of the communities
in which they live. The applicant will be expected to propose solutions
that show promise of increasing self-sufficiency and that depart from
or modify conventional approaches used by eligible entities. At a
minimum, every individual should achieve an economic self-sufficiency
goal appropriate to the age group. For adult populations (18 years of
age or more) that goal should include a job which will allow
individuals to provide for basic needs with the potential for career
development that will lead to self-sufficiency within a reasonable
period of time, enrollment in an educational program which will lead to
such a job, or interim goals on the ladder to self-sufficiency. OCS
understands that there are many rungs on that ladder, many of which
relate to the cohesiveness, resources, stability and socio-economic
infrastructure of the community, and which include, for example, safe,
affordable housing and the stabilization of living situations, adequate
child care, medical care, transportation, an emotional support network,
and skills and resourcefulness required to access needed support and
entitlement services.
OCS is interested in demonstrations that test the targeting of
services to special groups that will also improve the community in
which they live. Applications should include partnerships with
organizations which are providers of services within the community and
one of the goals of the partnerships should be a developing shift of
focus within these organizations from maintenance to the transformation
of their clientele, and a growing recognition of the value of their
services as investments in their clients' communities.
The proposed interventions should be multi-dimensional. They may
address both individual and family progress toward greater socio-
economic and psychological self-sufficiency; involve two or more
generations as both providers and beneficiaries of services; and should
address neighborhood conditions and community and institutional change.
In the spirit of ``local initiative'' OCS looks forward to
innovative proposals that grow out of the experience of eligible
entities and the needs of their clientele and communities, and that
will make the fruits of local creativity available broadly to others
seeking solutions to similar problems.
At the same time, OCS is particularly interested in receiving a
number of applications which address environmental justice and
sustainable community development in ways which will offer the poor
opportunities for long term career development as well as improving the
supportive economic infrastructure and facilities of the community.
Environmental Justice and Sustainable Community Development are
terms that have come into common usage only recently, with the growing
realization that low income and minority people and communities have
long suffered inequitable and life and health-threatening environmental
degradation. A 1987 report by the Commission for Racial Justice of the
United Church of Christ, Toxic Waste and Race in the United States,
concluded that race has been a factor in the locating of commercial
hazardous waste facilities in the United States, and that the clean-up
of uncontrolled toxic waste sites in Black and Hispanic communities
should be given the highest possible priority. The findings of this
report were confirmed by the Environmental Protection Agency in its own
study: Environmental Equity: Reducing Risks For All Communities, Vols.
I and II, U.S.EPA, June 1992. A study by the National Law Journal
published in 1992 included among many of its findings that over the
last ten years EPA fines against polluters, on average for all types of
cases, were 54 percent lower in poor neighborhoods than in wealthy
communities; and in the case of violators of RCRA, (the Resource
Conservation and Recovery Act), which is the law that governs hazardous
waste sites, violators in minority communities were fined on average
one-fifth the amounts of violators in white areas. EPA's Office of
Environmental Justice reports that as a result of both these studies
the agency is currently carrying out a comprehensive demographic study,
based on 1990 census data, of EPA enforcement and toxic waste sites.
On a related and equally critical front, a Public Health Service
Report to the Congress in 1988 stated that 55 percent of Black children
below the poverty level have toxic levels of lead in their blood whose
permanent effects include reduced intellectual function, aggressive
behavior, hearing loss and growth impairment. Since that time the
Centers for Disease Control have significantly lowered the threshold
for the blood-lead levels that it considers toxic. See: Preventing Lead
Poisoning in Young Children, A Statement By The Centers For Disease
Control--October 1991, U.S. Department of Health and Human Services,
Public Health Service.
While the environmental consciousness of many civil rights leaders
is thus being raised, many low income and minority persons and
communities still see environmental concerns and laws aimed at
protecting the environment as roadblocks to their economic advancement,
keeping needed jobs out of their communities or causing businesses to
move or retrench because of the perceived high costs of practices and
safeguards which are required as measures to protect the environment.
What they often have not understood is the degree to which they are
being subjected to life--and health-threatening conditions such as
illegal dumping of toxics, indiscriminate use of pesticides, or homes
laden with asbestos, lead, and Radon, and that these very conditions
cause physical and mental deterioration of residents and the breakdown
of community infrastructure. For low income and minority communities
are often contaminated to the point that it presents a serious barrier
to economic revitalization. For example, EPA's Office of Solid Waste
and Emergency Response (OSWER) reports that Cleveland Tomorrow, that
city's forward looking Chamber of Commerce, has after extended study
concluded that the ``economic rebirth'' of Cleveland will never happen
until the clean-up of contaminated sites in that city has been
accomplished.
By the same token, there is a growing realization that long term
survival on the planet will only be possible if we develop a
sustainable economy which husbands resources and eliminates waste. The
President's Council on Sustainable Development (PCSD) was established
by President Clinton and charged with a mandate to develop specific
policy recommendations for a national strategy for sustainable
development that can be implemented by the public and private sectors.
The Council has written: ``* * * sustainable development means a
program of domestic economic and political reform that * * * yields
broad-based economic progress accomplished in a manner that protects
and restores the quality of the natural environment, improves the
quality of life for individuals and broadens the prospects for future
generations. It means, in other words, maintaining economic growth
while producing the absolute minimum of pollution, repairing the
environmental damages of the past, using far fewer non-renewable
resources, producing much less waste, and extending the opportunity to
live in a pleasant and healthy environment to the whole population.''
The Council's Sustainable Communities Task Force suggests that:
``General principles of community sustainability include social equity,
racial justice, population stabilization, improved quality of life,
participation of stakeholders invested in the outcome, elimination of
waste, reduced consumption, encouragement of local self-reliance,
recognition of local ecosystem assets and limitations, urban
rehabilitation and clean-up, and improved public health.''
For the purposes of this Announcement, programs falling within the
rubric of Environmental Justice and Sustainable Community Development
might include community-based job development around lead abatement in
low-income dwellings, toxic clean-up of communities, holistic ``livable
house'' treatment of low-income dwellings which would combine lead
abatement with weatherization and the mitigation of other hazards such
as asbestos or radon, installation and maintenance of alternative and
renewable energy technologies in the homes of the poor, recycling, new
and non-traditional uses of agricultural crops and products, urban
pesticide programs designed to reduce the use of toxic pesticides in
low income urban communities through Integrated Pest Management and
similar techniques, or the launching of enterprises involving new and
non-polluting manufacturing or other commercial methodologies which can
provide needed goods and services in ways which are consistent with
sustainable community development.
Applications which include job and career development dependent on
the securing of contracts for services or successful marketing of goods
and/or services must include assurance that such contracts will be
forthcoming or assurance based on market surveys or other means that
sufficient markets for the proposed goods or services exist to promise
a reasonable expectation of project success. Where the development and
management of business ventures are involved in the proposed work plan,
applicant must provide evidence that such activities will be under the
direction of a person or persons having documented business experience.
Applicants seeking to identify additional resources and/or persons
within their communities who can provide guidance and expertise in the
areas of environmental justice and sustainable community development
may wish to contact one of the following offices for information and
assistance:
Sustainable Communities Task Force, President's Council on Sustainable
Development, 1849 C Street NW., Mail Stop 7456-MIB, Washington, D.C.
20240, Contact: (Ask for Staff Liaison to Task Force) (202) 208-7411,
Information on local and national organizations involved with
Sustainable Community Development.
Rural Development Administration, U.S. Department of Agriculture, AG
3202, Washington, D.C. 20250-3202, Contact: Beverly Gillot, Rural
Development Specialist, (202) 690-2516, Information on RDA programs and
resource persons at State level, and other USDA resources
Cooperative State Research Service, U.S. Department of Agriculture, 370
L'Enfant Promenade SW., 3rd Floor, Washington, D.C. 20250-2260,
Contact: Dr. Dan Kugler, Deputy Administrator for Special Programs,
(202) 401-6861, Information on New Uses and Markets for Agricultural
Products, Sustainable Agriculture, and Aquaculture.
Office of Community Planning and Development, Department of HUD, 451
7th Street SW., Room 7244, Washington, D.C. 20410, Contact: Andy
Euston, Senior Urban Design and Energy Program Officer, (202) 708-1911,
Information on Sustainable Community Development; referral to local and
regional resources.
Office of Assistant to the Secretary for Labor Relations, Department of
HUD, 451 7th Street SW., Room 7118, Washington, D.C. 20410, Contact:
Richard S. Allan, Deputy Assistant to the Sect'y, (202) 708-0370,
Information on training for lead abatement and toxic materials handling
and disposal, and Project Step-Up.
Regional and State Planning Branch, Office of Policy Planning and
Evaluation, U.S. Environmental Protection Agency, 401 M Street SW.,
Washington, DC 20460, Contact: Deborah Martin, Branch Chief, (202) 260-
2729, Environmental planning and assistance in understanding and
assessing environmental risks.
Office of Lead Paint Abatement and Poisoning Prevention, Department of
HUD, 451 7th Street SW., Room B133, Washington, DC 20410, Contact:
Dorothy Allen, (202) 755-1771, Information on funded lead abatement
projects and resources and T/TA available.
Energy-Efficiency and Renewable Energy Clearinghouse, U.S. Department
of Energy, Write: EREC, P.O. Box 3048, Merrifield, VA 22116, Call Toll-
Free: 1-800-523-2929, Publications, source lists, bibliographies;
detailed technical responses on energy efficiency and renewables;
business assistance, referrals to associations, labs, state energy
offices, and special interest groups.
Priority Area 2.0 Replication Projects: (No less than $800,000)
The Demonstration Partnership Program is required to spend at least
10% but no more than 25% of its FY 1994 appropriation to make grants to
replicate in additional geographic areas previously funded programs
that have demonstrated a significant potential for dealing with
particularly critical needs or problems of the poor that exist in a
number of communities.
For FY 1994, OCS will accomplish this by funding eligible entities
to adapt the best practices models in the following program areas which
have been shown to be effective in enhancing self-sufficiency:
--Micro-Enterprise--a combination of capital, technical business
assistance and oversight monitoring of loans, along with comprehensive
case management and supportive services can provide low-income
individuals with assistance in developing their own businesses as one
path toward self-sufficiency and reduce their need for public
assistance. Successful programs have had realistic expectations and
have provided an appropriate range of services. Applications in this
Priority Area should be based on the experiences and learning of past
DPP projects in their project design, selection of staff, range of
interventions and support services, and identification and surmounting
of structural and programmatic barriers.
At a minimum, interventions should include selective client
recruitment, business training, business plan development, strong
partnerships, multiple flexible loan sources, loan circles (or
structures that provide similar on-going peer support), and marketing
assistance. Mentoring programs are optional. Partnerships that include
Community Development Financial Institutions are particularly
encouraged. A critical support function for this program is
comprehensive case management, which may include services such as
counselling, family goal setting, training in communications and other
basic skills, home management and child development. Programs in this
category must show how case management services will be provided.
Program design should include a continuing peer support structure which
includes access to assistance in marketing, bookkeeping, and personal
or family crisis intervention.
FOR INFORMATION ON SUCCESSFUL MICRO-ENTERPRISE PROGRAMS, PLEASE
CALL THE OFFICE OF COMMUNITY SERVICES AT (202) 401-9233.
Priority Area 3.0 Renewal Projects (Up to approximately $600,000)
The factors which contribute to unemployment and welfare dependency
are complex. OCS recognizes that in seeking viable solutions to these
problems time is required to:
--establish program operations and data collection procedures;
--test assumptions regarding the population;
--achieve client stability and build client resource infrastructures;
--pilot the program and revise the approach as needed in order for the
program to have its intended effect.
For these reasons, OCS has established a priority of renewal
funding of programs that show strong process progress, and have
reasonable evaluation designs and protocols in place, and show promise
of yielding more useful results through extension of their operations.
Eligible entities which have been conducting DPP projects whose
initial approved Project Periods expire or have expired in calendar
years 1993, 1994, or 1995 may apply for a renewal grant on a
competitive basis.
OCS is interested in renewing projects for which there is evidence
that (1) the particular approach being tested is likely to yield
important results if the project is operational for a longer period of
time, (2) the additional documentation made possible by the renewal
grant will result in a more valid and useful study and (3) the renewal
grant will strengthen the partnership collaboration and will result in
a better delivery and coordination of the continued services.
The DPP legislation limits any grant made subsequent to the initial
grant to 80 percent of the total amount of the grant previously
received. Therefore, in keeping with the legislative requirements, only
one renewal grant will be made for a particular project and funding
will not exceed 80% of the total amount received for the original
project period of up to thirty (30) months.
Applications for renewal grants must contain the following
components of the initial project: the same hypotheses and
interventions, the same characteristics of the target population, the
same partnerships and third-party evaluator. However, the renewal grant
may expand the original treatment and comparison groups to increase the
number of clients and to allow for attrition. Since applicants for
renewal grants already have in place a valid third-party evaluation
contract which was initially competed, the inclusion of such contracts
are considered competitive and not sole source, (but will not have to
be competed again).
Priority Area 4.0 Special Populations Set-Aside (up to $2 million)
For Fiscal Year 1994, a set-aside fund of up to $2,000,000 will be
included for Special Populations. Grants will be made to eligible
entities for the purpose of demonstrating new and innovative approaches
to increasing the self-sufficiency of disadvantaged youth, particularly
among minority populations, between the ages of 10 and 25. Recognizing
that self-sufficiency does not take place in isolation, all proposals
submitted under this category must address 1) educational success for
the identified target group, 2) community involvement, 3) leadership
development, and 4) violence prevention.
Applicants should identify and address any individual, community,
and environmental barriers, particularly violence, which may hinder
efforts by community organizations to help the target population become
self-sufficient. OCS is particularly interested in partnerships that
address violence as a response to conditions in the family and in the
community. OCS encourages proposals that include linkages with existing
nationwide or local organizations that have experience establishing
programs that address violence as a community issue, and welcomes
proposals that address the problems and needs of people who have been
subjected to historical patterns of oppression. OCS feels that to
assure the safety of all program participants and staff it is essential
that programs be closely coordinated with local law enforcement
agencies.
Disadvantaged youth as the target population to be served should
not be considered in isolation from the community in which they live
and grow; and at a minimum, applicants should seek to involve partners
that will make possible a comprehensive, holistic approach to family
and community development, including such components as provision of
adequate housing, vocational training, apprenticeship and employment
opportunities, parenting, family mentoring, provision of daycare and
transportation, and interventions in individual and group violence. It
is particularly important that contacts and project activities be
frequent and intense enough so that the day-to-day experiences of
participating youth are affected. OCS would welcome proposals which
seek to develop career opportunities for disadvantaged youth through
job and career development in the areas of Environmental Justice and
Sustainable Community Development discussed under Priority 1, above.
Where projects propose to address populations 10 to 15 years old,
applicants should consider the stages of youth development and aim to
counter unhealthy and destructive influences on youths' lives. Projects
should aim to enhance the sense of community among young community
residents which will reduce their sense of isolation from the community
and from society at large.
OCS is interested in demonstrations that test the targeting of
services to special groups and the neighborhoods in which they live, go
to school, and work. Proposals should include partnerships with
organizations which are providers of services within the community and
one of the goals of the partnerships should be a developing shift of
focus within these organizations from maintenance to the transformation
of their clientele, and a growing recognition of the value of their
services as investments in their clients' communities. In keeping with
the Departmental theme of improving services to customers through
modern management approaches, multimedia strategies which provide more
efficient and effective delivery of services are welcomed.
Applicants seeking guidance on program design, availability of
resources, or the identification of persons or organizations in their
communities that can provide additional guidance, support, and
expertise in the areas of disadvantaged youth and violence prevention
may wish to contact one of the following persons for information and
assistance:
Clifton Mitchell, Chief, Special Projects Branch, Center for Substance
Abuse Treatment, 5515 Security Lane, Rockwall II, 7th Floor, Rockville,
MD 20852, (301) 443-6533
Warren W. Hewitt, Jr., Director, Division of Clinical Programs, Center
for Substance Abuse Treatment, 55-5 Security Lane, Rockwall II, 7th
Floor, Rockville, MD 20852, (301) 443-8160
Dr. Donald Vereen, M.D, M.P.H., Special Assistant to the Director,
National Institute on Drug Abuse, National Institutes of Health, 5600
Fishers Lane, Room 10-05, Rockville, MD 20857, (301) 443-6480
Timothy Thornton, Associate Director for Youth Programs, Division of
Violence Prevention, National Center for Injury Prevention and Control
(NCIPC), Centers for Disease Control, 4770 Buford Highway NE, Atlanta,
GA 30341, (404) 488-4646
Marilyn Silver, Information Specialist, Office of Juvenile Justice and
Delinquency Prevention, Office of Justice Programs, Department of
Justice, 633 Indiana Avenue NW., Washington, DC 20531, (202) 616-3551
and Juvenile Justice Clearinghouse, 1-800-638-8736
Part III: Application Requirements
A. Project Elements
All projects must:
1. Involve new and innovative approaches and/or significant new
combinations of resources, both of which should be identified in the
partnership agreements;
2. Include activities which can be incorporated into, or be closely
coordinated with, eligible entities' ongoing programs;
3. Be structured in a way that will, within the limits of the type
of assistance or activities contemplated, most fully and effectively
promote the purposes of the Community Services Block Grant Act as
amended;
4. Include plans for an independent, methodologically sound process
and outcome evaluation of the effectiveness of the activities carried
out with the grant;
5. Clearly specify the intended target groups;
6. Include partnership(s) between the applicant and one or more
other organizations resulting in improved methods of assisting low-
income families and individuals to achieve self-sufficiency (applicants
are encouraged to collaborate with other eligible entities and State
agencies with whom they have a history of successful joint endeavors);
7. Have the potential for producing a measurable and major impact
on the causes of poverty, be applicable to other localities with
similar problems, and have the potential for replication by eligible
entities; and
8. Be conducted on a scale broad enough to permit a valid
evaluation.
B. Background Information
This part provides necessary background information for potential
applicants. The specific information to be used in developing an
application is contained in Part IV.
1. Eligible Applicants
Eligible applicants are those ``eligible entities'' defined in Part
I, Section C., Definitions of Terms, of this announcement and whose
eligibility status and capability have been certified by the State
Director of the Community Services Block Grant program. (See Part V,
Section E.2 (a) for certification requirements.) Eligible entities
submitting applications for renewal grants must have received a
Demonstration Partnership Program grant in a prior fiscal year and
which grant expired or will expire during the calendar years of 1993 or
1994.
2. Availability of Funds
The total appropriated amount for the FY 1994 Demonstration
Partnership Program is $8,000,000, however a Set-Aside of up to
$2,000,000 for Technical Assistance/Planning Grants for EZ/EC was
issued under a separate Announcement. Approximately $6,000,000 is
available to support approximately 20 new project grant awards,
replication projects, and renewal projects for the priorities published
in this Federal Register Program Announcement.
The maximum Federal share is not to exceed $350,000 for the total
project and budget period of up to thirty-six months, which includes a
start-up period of up to six months, an operational period of twenty
four months, and an evaluation period of six months at the conclusion
of the project.
(a) For all priority areas except renewal projects, grant requests
will be considered for an amount up to $350,000 in OCS funds for the
total budget/project period of up to thirty-six months.
(b) For renewal projects under Priority Area 3.0, grant requests
will be considered for an amount not to exceed 80% of the total amount
received for the original Project Period of up to thirty (30) months.
The project period for renewal grants may be up to thirty months,
including a six month concluding evaluation period (no start-up period
being required).
3. Prohibition on the Use of Funds
The use of funds for the purchase, construction or improvement of
real property is prohibited. This prohibition includes expenditures for
weatherization and home repairs.
4. Project Periods and Budget Periods
(See Part I, C, Definitions)
Project periods for Renewal grants will be for a minimum of
eighteen months and a maximum of thirty months. Each project period
will include a basic service period of twelve to twenty-four months
plus a six month evaluation follow-up period. (This evaluation follow-
up may extend beyond the project period of the grant)
Project periods for all other grants will be for a minimum of 30
months and a maximum of 36 months (a 24 months operational period and 6
months evaluation follow-up) plus a start-up period of up to 6 months.
To insure funding stability throughout the project period, proposed
projects must have sufficient non-OCS funds committed so that, combined
with FY 94 OCS grant funds, grantees will have sufficient resources to
complete their proposed projects.
5. Matching Funds
An applicant is required to obtain commitment of at least one
private or public sector dollar or equivalent in-kind contribution for
each dollar of OCS funds awarded for all priority categories except the
Special Populations. Thus, if an applicant is requesting $250,000 in
OCS funds, at least $250,000 worth of additional resources must be
committed to the project from private or public sector sources. Public
sector resources that can be counted toward the minimum match include
funds from State and local governments, and funds from various block
grants allocated to the States by the Federal Government providing the
authorizing legislation for these grants permits such use. (Note, for
example, that CDBG funds may be counted as matching funds; CSBG funds
may not.)
Funds identified by the applicant as those to be counted toward the
minimum match requirement may be in the form of grantee-incurred costs,
cash, or third-party in-kind contributions fairly valued. OCS is
recommending that at least 50% of the match be provided by the proposed
partners through the delivery of specific services to the client
population. Such funds must be definitely committed or contingent only
upon receipt of an OCS grant, and must be applied to specific project
activities within the OCS-approved project and used only for project
purposes for the duration of the OCS grant. The firm commitment of the
specific amounts of matching funds and/or the dollar value of third-
party in-kind contributions must be documented in the project
application. Documentation of matching funds must be in the form of
letters of commitment or intent to commit from the donor, contingent
only upon receipt of OCS grant funds.
If the match is to be used as a revolving loan fund, the funds must
be cash, specifically set-aside for eligible low-income recipients of
the project.
Funds expended prior to the approved OCS starting date for a grant
cannot be considered as matching funds.
For Special Populations, Priority Area 4.0, OCS will fund 80% of
the total cost of each project. Thus, if an applicant is requesting
$200,000 in OCS funds, at least $50,000 in additional resources must be
committed to the project from private or public sector sources
(excepting those Federal funds which do not permit such use).
6. Program Beneficiaries
Projects proposed for funding under this announcement must result
in direct benefits to low-income persons whose incomes are up to 125%
of the DHHS poverty income guidelines as defined in the most recent
Annual Revision of Poverty Income Guidelines published by DHHS.
Attachment A to this announcement is an excerpt from the guidelines
currently in effect. Annual revisions of these guidelines are normally
published in February or early March of each year. These revised
guidelines may be obtained at public libraries, Congressional offices,
or by writing the Superintendent of Documents, U. S. Government
Printing Office, Washington, DC 20402.
No other government agency or privately defined poverty guidelines
are applicable for the determination of low-income eligibility for this
OCS program.
7. Partnership Agreement
An applicant is required to include in the application a signed
agreement which describes the role of the prospective partner(s) in the
project and its implementation, and which includes a commitment or
intent to commit resources from the prospective partner(s) contingent
only upon receipt of OCS funds. [See Part III, Section B 6.]
8. Sub-Contracting or Delegating Projects
An applicant will not be funded where the proposal is for a grantee
to act as a straw-party, that is, to act as a mere conduit of funds to
a third party without performing a substantive role itself. This
prohibition does not bar subcontracting or subgranting for specific
services or activities needed to conduct the project.
9. Third-Party Evaluation
A third-party evaluation is required for each project under this
program, and must be conducted by an independent evaluator, i.e., a
person with recognized evaluation skills who is organizationally
distinct from, and not under the control of, the applicant. It is
important that each successful applicant have a third-party evaluator
selected, procured and performing at the very latest by the time the
work program of the project is begun, and if possible before that time
so that he or she can participate in the final design of the program,
in order to assure that data necessary for the evaluation will be
collected and available. In addition to other relevant experience, the
evaluator must have skills in evaluating social service delivery
programs. Plans for selection and securing an evaluator should be
included in the application narrative (See Review Criterion IV).
Applicants may write or phone OCS to request a copy of the DPP
Evaluation Guidebook which includes a Guide to Selecting a Third-Party
Evaluator as well as discussions of the evaluation process and steps in
developing an evaluation program.
10. Maintenance of Effort
The activities funded under this program announcement must be in
addition to, and not in substitution for, activities previously carried
on without Federal assistance. Also, funds or other resources currently
devoted to activities designed to meet the needs of the poor within a
community, area, or State must not be reduced in order to provide the
required matching contributions. When legislation for a particular
block grant permits the use of its funds as match, the applicant must
show that it has received a real increase in its block grant allotment
and must certify that other anti-poverty programs will not be scaled
back to provide the match required for this project. The applicant must
also provide a current listing of all sources of funds and projects
conducted in the applicant's current operating year. A signed
certificate of Maintenance of Effort must be included with the
application (see Appendix).
Part IV: Application Review Criteria
Applications which pass the initial screening and pre-rating review
(see Part V, section 5) will be assessed and scored by reviewers. Each
reviewer will give a numerical score for each application reviewed.
These numerical scores will be supported by explanatory statements on a
formal rating form describing major strengths and major weaknesses
under each applicable criterion published in this program announcement.
The review process will use the following criteria coupled with the
specific requirements contained in Part III. [Applicants should write
their project narrative so that it is responsive to the review
criteria, using the same sequential order.] It is most important for
applicants to address each and every review criterion in their
applications. Failure to do so can so reduce the score of an otherwise
competitive application as to eliminate it from contention.
(Note: The following review criteria reiterate the collection of
information requirements contained in Part VI of this announcement.
These requirements are approved under OMB Control Number 0970-0062).
A. CRITERIA FOR REVIEW AND ASSESSMENT OF APPLICATIONS IN PRIORITY AREAS
1.0; 2.0; AND 4.0
Criterion I: Organizational History and Management Capability (Maximum:
10 points)
--The application recites relevant experience and capability of
applicant organization and key personnel in developing and operating
projects which deal with the poverty problems to be addressed by the
project, including experience in collaborative programming and
operations which involve evaluations and data collection;
--the application includes resumes and/or position descriptions which
demonstrate that the proposed project director, third-party evaluator,
and other key staff are well-qualified with professional experience
relevant to the successful implementation of the project. [Note: The
evaluator must be available to the project at or before the beginning
of the operational period, and in addition to other relevant
experience, must have skills in evaluating social service delivery
programs. Also: where the proposed project involves business or
entrepreneurship activities, appropriate staff must have relevant
business experience.]
Criterion II: Analysis of Need (Maximum: 15 points) (i) The poverty
problem (0-10 points)
The application includes a description of the geographic area and
population to be served, including documentation of the incidence of
poverty, unemployment rates, number and percentage of families
receiving A.F.D.C. and other relevant indicators of problems to be
addressed by the project such as school drop-out rates, teen pregnancy,
housing conditions, vacancy rates in commercial property, access to
transportation, or existence of superfund sites or other hazardous
conditions inimical to economic growth and a healthy and prosperous
community.
(ii) Innovation (0-5 points)
Applicant evidences a thorough understanding of the causes of the
problems to be addressed, and explains convincingly how the approach of
the proposed project represents an innovative departure from past
attempts to overcome or impact on the problem(s) described.
Criterion III: Project Design Maximum: 25 points) (i) The
Hypothesis(es) (0-10 points)
The hypothesis is significant, relevant, and can be reliably tested
through the planned project implementation in order to determine
validity, permitting measurement of the extent to which the target
population has achieved greater self-sufficiency as a result of its
involvement in the project.
(i-a) Additional Hypothesis Criterion for proposals under Priority Area
4.0 (0-5 of the above 10 points under (i))
The application includes demographic data such as income, age,
ethnic origin, sex and marital and parent status of the target
population, showing that the choice of target groups is relevant to the
hypothesis; or includes a survey for the collection of such data as an
early stage of the work program.
(ii) The Work Plan (0-15 points)
The application includes a Work Plan which is both sound and
feasible, covers all project activities, and is reasonably related to
the capabilities and resources of the applicant and its partner(s). It
clearly describes the implementation and conduct of the major
activities (interventions) which relate to the stated hypothesis(es),
including specific plans for conducting measurable activities in a
quarterly time frame, identifying projected lengths of time for each
proposed intervention and project milestone, and quarterly targets by
which various tasks will be completed. Critical issues or potential
problems that might impact negatively on the project are identified
with an explanation of how project objectives will be attained
notwithstanding any such potential problems.
(ii-a) Additional Work Plan Criterion for proposals under Priority Area
IV (0-5 of the above 15 points under (ii))
The proposed work plan includes methods of outreach to recruit
adequate numbers in both participant and (where appropriate) control
groups to permit reliable evaluation findings and for achieving
significant impact in the community. [The proposal should identify a
large enough group to allow for attrition and still result in
participant and control groups of at least 60 to 75 members at the
termination of the project.]
Criterion IV: Evaluation (0-15 points)
The application includes an Evaluation Plan which:
--Includes a specific working definition of ``self-sufficiency'',
consistent with the definition contained in Part I, that permits the
measurement of incremental movement of individuals and families from
dependency toward self-sufficiency;
--Provides for the completion of a process evaluation covering critical
elements of project design and implementation, including partnerships
and linkages to other community resources, and any changes in the
original plan; identifies problems that occurred and how they were
dealt with, and recommends improved means of future implementation; and
--Provides for the completion of an outcome evaluation which describes
the basic project design and specific interventions, hypothesis(es)
tested, procedures for data collection and maintenance of data
integrity, outcome measures and analytical procedures, and identifies
the factors which contributed to the success or failure of the project
to achieve its stated goals, as the case may be, and what steps could
be or were taken to reinforce or overcome them, as appropriate.
Criterion V: Partnerships (Maximum: 15 points)
--The application includes a copy of a partnership agreement which
clearly states how the partnership arrangements relate to and
adequately support the objectives of the proposed project; indicates
the role of the primary partner(s) in the planning and implementation
of the project; and provides that at least 50% of the match is provided
by the partners through delivery of specific services or resources to
the project and/or client population.
--The application includes supporting documentation that identifies the
skills, services, and/or resources that the partners have committed to
this project to fulfill the objectives of the partnership agreement.
Criterion VI: Significant and Beneficial Impact Maximum: 8 points)
--The proposed project is expected to produce permanent and measurable
results that will reduce the incidence of poverty in the community and
lead to greater self-sufficiency of the client population(s). Expected
results are quantifiable in terms of the goals discussed for each of
the priority areas which contribute to the socio-economic and
psychological self-sufficiency of the client population;
--The application includes information that shows the ways in which the
project will be incorporated into the community economic and/or service
delivery infrastructure and shows how the implementation, if
successful, will be self-sustaining and enhance integration,
coordination and access to services and community facilities for the
target population; and
--The project, if successful, will result in either or both of the
following: continued provision of services after completion of the
demonstration project without additional OCS or other Federal funds;
and/or more efficient use of existing community and anti-poverty
resources.
Criterion VII: Budget Appropriateness and Match (Maximum: 7 points)
--The applicant has provided sufficient detailed information for each
budget category;
--Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project; and
--The match resources are sufficient, necessary, reasonable and
allocable to the proposed project.
Criterion VIII: Focused, Targeted Projects (Maximum: 5 Points)
Due to the strong successes of carefully scoped, focused and
targeted projects, favorable consideration will be given to applicants
who do the following:
--Selectively identify their target populations, clearly identifying
the characteristics and requirements of the population they will be
serving, and the criteria for selecting both experimental and, if
appropriate, control group members;
--Specify effective and realistic methods for recruiting members of the
target population;
--Identify specific, targeted goals and objectives that are directly
related to the proposed interventions;
--Select a set of specific interventions that are appropriate,
necessary and sufficient to achieve the intended goals and objectives;
--Select a limited number of committed partners; and
--Demonstrate that a working relationship exists or has existed among
proposed partners.
B. CRITERIA FOR REVIEW AND ASSESSMENT OF APPLICATIONS FOR RENEWAL
PROJECTS ONLY, PRIORITY AREA 3.0
Criterion I: Project Design and Proposed Work Plan (Maximum: 25 points)
--The application has briefly restated the key elements of the initial
grant's approved work plan, including the hypothesis(es) and
interventions, quarterly timelines of interventions, description of
target population and comparison group, partnerships and the third-
party evaluator and evaluation plan. In describing the target group(s),
applicant has included the number of participants and beneficiaries
together with their major characteristics that are relevant to the
hypothesis, as well as a similarly definitive description of the
comparison group.
--The application includes a work plan for the renewal period,
including quarterly timelines, which is sound and feasible, and
reasonably related to the applicant's capabilities and project
resources. If any changes are proposed, the applicant provides
rationale and demonstrates that the proposed changes will enhance the
original project and not distort it.
Criterion II: Preliminary Evaluation Results (Maximum 15 points)
The application provides sufficient preliminary evidence of
positive outcomes demonstrating that:
--The mix of interventions for the clients have already had an impact
on their expected movement toward self-sufficiency. This has been
documented in both qualitative and quantitative terms, such as income-
producing employment secured, wages earned, educational attainments,
and stabilization of living conditions; and
--In-take procedures are adequate, including assessment, sample size,
assignment to treatment and comparison groups, measurement instruments
and data collection procedures on which preliminary analyses have been
based.
Criterion III: Research Significance (Maximum 20 points)
--The applicant has demonstrated that a longer project operational
period is needed to assure evaluation results that will have greater
significance.
--The applicant has documented that the renewal of its project will
result in more substantial progress toward self-sufficiency of the
targeted client population.
--The applicant has demonstrated that a renewal of the grant will
result in a more valid and useful study including what the anticipated
contributions to policy, practice, theory and/or research will be.
--In those instances where there has been a gap in the provision of
services to the treatment group since the expiration of the initial DPP
grant, the applicant has provided convincing evidence demonstrating
that neither the validity of the evaluation data nor the research
design will be negatively affected thereby.
Criterion IV: Continuation of Third-Party Evaluation (Maximum: 15
points)
--The evaluation plan addresses key issues of continuing the process
evaluation covering the following elements: critical elements of
program implementation and an implementation summary, partnerships,
staffing, client outreach, case management and/or support services,
policies and procedures identified for project implementation, program
linkages to other community resources, and any changes from the
original plan. The process evaluation should identify problems that
occurred and how they were dealt with, and should, if appropriate,
recommend improved means of future implementation.
--The applicant provides for the completion of the outcome evaluation
which describes the basic design and interventions and specifies the
hypotheses to be tested, sample size and selection, data collection
procedures, outcome measures, data collection instruments, timing of
measurements and analytical procedures. The outcome evaluation should
identify the significant factors which contributed to the success or
failure of the project to achieve its stated goals, as the case may be,
and what steps could be or were taken to reinforce or overcome them, as
appropriate. The outcomes evaluation report will yield findings, an
interpretation of findings and identify major issues for replication.
--The applicant indicates how it will evaluate the impact of the longer
service period on the treatment group.
Criterion V: Institutional and Community Integration Maximum: 15
points)
--The applicant shows that there has been a continuing involvement
among the partners and an increased coordination in service delivery as
a result of its initial grant.
--The applicant demonstrates how the initial grant has had a positive
impact toward strengthening community socio-economic infrastructure,
and toward achieving greater access to community facilities and/or
greater integration of available social service delivery systems.
Criterion VI: Budget Appropriateness and Match (Maximum 10 points)
--The applicant has provided sufficient detailed information in each
budget category;
--Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project; and
--The match resources are necessary and reasonable for the proposed
project.
Part V--Application Procedures
A. Availability of Forms
Attachments B, C, and D contain all of the standard forms necessary
for the application for awards under this OCS program. These
attachments and Parts VI and VII of this announcement contain all the
instructions required for submittal of applications.
Additional copies of the Federal Register containing this
announcement are available at most local libraries and Congressional
District Offices for reproduction. If copies are not available at these
sources, they may be obtained by writing or telephoning the office
listed under the section entitled FOR FURTHER INFORMATION CONTACT at
the beginning of this announcement.
B. Application Submission
The closing date for submission of applications is [Insert date 45
days from date of publication in the Federal Register].
1. Deadlines: Application shall be considered as meeting the
deadline if they are either:
a. Received on or before the deadline date at the ACF Office of
Financial Management, Division of Discretionary Grants, 6th Floor OFM/
DDG, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447, or
b. Sent on or before the deadline date and received by the granting
agency in time for the independent review under DHHS GAM Chapter 1-62.
(Applicants are cautioned to request a legibly dated U. S. Postal
Service postmark or to obtain a legibly dated receipt from a commercial
carrier or U. S. Postal Service. Private metered postmarks are not
acceptable as proof of timely mailing.)
2. Applications submitted by other means. Applications which are
not submitted in accordance with the above criteria shall be considered
as meeting the deadline only if they are physically received before the
close of business on or before the deadline date. Hand delivered
applications will be accepted at the ACF Office of Financial
Management, Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D
Street, S.W. Washington, D.C. during the normal working hours of 8:30
a.m. to 5 p.m., Monday through Friday.
3. Late Applications: Applications which do not meet one of these
criteria are considered late applications. The ACF Division of
Discretionary Grants will notify each late applicant that its
application will not be considered in this competition.
4. Extension of Deadline. The ACF Office of Community Services may
extend the deadline for all applicants because of acts of God such as
floods, hurricanes, etc. or when there is a disruption of the mails.
However, if the Office of Community Services does not extend the
deadline for all applicants, it may not waive or extend the deadline
for any applicant.
One signed original application and four copies should be
submitted.
C. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska, Oregon,
Oklahoma, Pennsylvania, South Dakota, Virginia, Washington, American
Samoa and Palau have elected to participate in the Executive Order
process and have established Single Points of Contact (SPOCs) .
Applicants from these eighteen jurisdictions need take no action
regarding E.O. 12372. All other applicants should contact their SPOC as
soon as possible to alert them of the prospective application and to
receive any necessary instructions. Applicants must submit any required
material to the SPOCs as soon as possible so that the program office
can obtain and review SPOC comments as part of the award process. It is
imperative that the applicant submit all required materials, if any, to
the SPOC and indicate the date of this submittal (or the date of
contact if no submittal is required) on the Standard Form 424, item
16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline date to comment on proposed new or competing continuation
awards. However, for this program announcement, the SPOC comment period
has been reduced to thirty (30) days in order to ensure sufficient time
for preparation and submission of applications and the making of timely
awards. These comments are reviewed as part of the award process.
Failure to notify the SPOC can result in a delay in grant award.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to differentiate clearly between mere advisory comments and
those official State process recommendations which they intend to
trigger the ``accommodate or explain'' rule under 45 CFR 100.10. It is
helpful in tracking SPOC comments if the SPOC will clearly indicate the
applicant organization as it appears on the application SF-424.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Office of Financial Management, Division of
Discretionary Grants, 6th Floor, 370 L'Enfant Promenade, S.W.,
Washington, D.C. 20447. A list of the Single Points of Contact for each
State and Territory is included at Appendix G of this announcement.
D. Application Consideration of OCS Specific Requirements
Applications which meet the screening requirements in Section E
below will be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to the purposes outlined in Part I,
Section D, the Priority Areas outlined in Part II, and the evaluation
criteria set forth in Part IV of this announcement.
Applications will be reviewed by persons outside of the OCS unit
which will be directly responsible for management of the grant. The
results of these reviews will assist the Director and OCS program staff
in considering competing applications. Reviewers' scores will weigh
heavily in funding decisions but will not be the only factors
considered. Applications will be considered in rank order of the
averaged scores. However, highly ranked applications are not guaranteed
funding since other factors are taken into consideration, including:
the timely and proper completion of projects funded with OCS funds
granted in the last (5) years; comments of reviewers and government
officials; staff evaluation and input; geographic distribution;
previous program performance of applicants; compliance with grant terms
under previous DHHS grants; audit reports; investigative reports; and
applicant's progress in resolving any final audit disallowances on OCS
or other Federal agency grants.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to determine the applicant's performance
record.
E. Criteria for Screening Applications
1. Initial Screening
All applicants will receive an acknowledgement with an assigned
identification number. This number, along with any other identifying
codes, must be referenced in all subsequent communications concerning
the application. If an acknowledgement is not received within three
weeks after the deadline date, please notify ACF by telephone at (202)
401-9234.
All applications that meet the published deadline for submission
will be screened to determine completeness and conformity to the
requirements of this announcement. Only those applications meeting the
following requirements will be reviewed and evaluated competitively:
a. The application must contain a Standard Form 424 ``Application
for Federal Assistance'' (SF-424), a budget (SF-424A) and signed
``Assurances'' (SF-424B) completed according to instructions published
in Part VI and Attachments B, C and D of this program announcement.
b. A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be limited to 50
pages, typewritten on one side of the paper only. Charts, exhibits,
letters of support and cooperative agreements are not counted against
this page limit. It is strongly recommended that you follow the format
for the narrative in Part VII, A, 10.
c. The SF-424 and the SF-424B must be signed by an official of the
organization applying for the grant who has authority to obligate the
organization legally.
2. Pre-Rating Review
Applications which pass the initial screening will be forwarded to
OCS staff prior to the programmatic review to verify that the
applications comply with this program announcement in the following
areas:
(a) Eligibility: Applicant is an ``eligible entity'' as defined in
Part I, Section C. In order to establish eligibility, the application
must contain a letter signed by the State Director of the Community
Services Block Grant program certifying that the applicant is an
``eligible entity'' as defined by this program announcement and that it
has the capacity to operate the proposed project.
Applicants must also be aware that the applicant's legal name as
required on the SF-424 (Item 5) must match that listed as corresponding
to the Employer Identification Number (Item 6).
(b) Grant Amount: The amount of funds requested does not exceed
$350,000 in OCS funds for general, replication or special populations
projects. The amount requested for renewal projects must not exceed 80
percent of the initial grant.
(c) Matching Funds: The required match has been firmly committed in
the form of letters of commitment or intent to commit a portion of the
matching funds contingent only upon receipt of OCS funds by the donors
which are included in the application.
(d) Target Populations: The application clearly serves low-income
participants and beneficiaries as defined in Part III, Section A. 6.
(e) Partnership Agreements: A copy of the partnership agreement
which states the partnership arrangements and/or contains a letter of
commitment or intent to commit contingent only upon receipt of OCS
funds from the prospective partner(s) is included.
(f) Project Evaluation: A third-party project evaluation plan is
included.
(g) Replication Project (Priority Area 2) only: The proposed
project will be operated in a geographic area other than that in which
the project being replicated was carried out.
An application may be disqualified from the competition and
returned if it fails to conform to one or more of the above
requirements.
Part VI--Instructions for Completing Applications
(Approved by the Office of Management and Budget under Control Number
0970-0062.)
The standard forms attached to this announcement shall be used when
submitting applications for all funds under this announcement. It is
suggested that you reproduce single-sided copies of the SF-424, SF-
424A, and SF-424B, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms as well as with the OCS specific instructions set forth
below:
A. SF-424--Application for Federal Assistance
Top of Page. Please enter the single priority area number under
which the application is being submitted. An application should be
submitted under only one priority area.
Item 1. For the purposes of this announcement, all projects are
considered Applications; there are no Pre-Applications. Also for the
purposes of this announcement, there are no Construction projects.
Item 2. Date Submitted and Applicant Identifier--Date application
is submitted to ACF and applicant's own internal control number, if
applicable.
Item 3. Date Received by State--N/A.
Item 4. Date Received by Federal Agency--Leave blank.
Item 5 and 6. The legal name of the applicant must match that
listed as corresponding to the Employer Identification Number. Where
the applicant is a previous Department of Health and Human Services
grantee, enter the Central Registry System Employee Identification
Number (CRS/EIN) and the Payment Identifying Number, if one has been
assigned, in the Block entitled Federal Identifier located at the top
right hand corner of the form.
Item 7. If the applicant is a non-profit corporation, enter N in
the box and specify non-profit corporation in the space marked Other.
Item 8. Type of Application--Please check the type of application.
Item 9. Name of Federal Agency--Enter DHHS/ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance Number for OCS
programs covered under this announcement is 93.573. The title is
Community Services Block Grant Discretionary Awards--Demonstration
Partnership Program.
Item 11. Descriptive Title of Applicant's Project--Enter the
project title (a brief descriptive title). The following letter
designations must be used:
General Projects: DP
Replication Projects: DR
Renewal Projects: RD
Special Populations: DS
Item 12. Areas Affected by Project--List only the larger unit or
units affected, such as State, county or city.
Item 13. Proposed Project--Enter the desirable starting date for
the project (start of start-up) and the proposed completion date.
Projects may not exceed the maximum duration specified: 30 months for
Renewal Project Applications (including 6 months for evaluation) 36
months for all other Applications (including up to 6 months start-up
and 6 months for evaluation).
Item 14. Congressional District of Applicant/Project--Enter the
number of the Congressional District where the applicant's principal
office is located and the number(s) of the Congressional district(s)
where the project will be located.
Item 15a-e. Estimated Funding: Enter the amounts requested or to be
contributed by Federal and non-Federal sources for the total project
period. Items b, c, d and e should reflect both cash and third-party,
in-kind contributions for the total project period.
Item 15f. N/A.
Item 15g. Enter the sum of Items 15a-15e.
B. SF-424A--Budget Information-Non-Construction Programs
See Instructions accompanying this page as well as the instructions
set forth below:
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS Demonstration Partnership Program funds
only, and Non-Federal will include mobilized funds from all other
sources--applicant, state, and other. Federal funds other than those
requested from the Demonstration Partnership Program should be included
in Non-Federal entries.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (matching) funds for the entire project period.
Section B contains entries for Federal (OCS) funds only.
Section A--Budget Summary
Lines 1-4.
Col. (a):
Line 1--Enter OCS Demonstration Partnership Program: Col. (b):
Line 1--Catalog of Federal Domestic Assistance Number is 93.573.
Col. (c) and (d): Not Applicable.
Column (e)-(g).
Line 1-4. Enter in columns (e), (f) and (g) the appropriate amounts
needed to support the entire project period.
Line 5--Enter the figures from Line 1 for all columns completed,
(e), (f), and (g).
Section B--Budget Categories
This Section should contain entries for OCS funds only. Please
note: This information supersedes the instructions provided following
the SF-424A.
Enter in Column 1: the amounts covering the first 12 months of the
project (including any start-up period).
Enter in Column 2: the amounts covering the second twelve months of
the project.
Enter in Column 3: the amounts covering the third twelve months of
the project (including the six-month evaluation period).
Under Column (5) enter the total funds requested by the Object
Class Categories of this section (6a-6j).
Allocability of costs are governed by applicable cost principles
set forth in 45 CFR Parts 74 and 92.
Budget estimates for administrative costs (not to exceed 10 percent
of the grant amount) must be supported by adequate detail for the
grants officer to perform a cost analysis and review. Adequately
detailed calculations for each object class are those which reflect
estimation methods, quantities, unit costs, salaries, and other similar
quantitative detail sufficient for the calculation to be duplicated.
For any additional object class categories included under the object
class Other, identify the additional object class(es) and provide
supporting calculations.
Supporting narratives and justifications are required for each
budget category, with emphasis on unique/special initiatives, large
dollar amounts; local, regional, or other travels, new positions, major
equipment purchases and training programs as indicated below:
Object Class Categories--Line 6: Enter the total amount of Federal
funds required by the Object Class Categories of this section.
Personnel--Line 6a. Enter the total costs of salaries and wages.
Justification
Identify the principal investigator or project director, if known.
Specify by title or name the percentage of time allocated the project,
the individual annual salaries, and the cost to the project of the
organization's staff who will be working on the project.
Fringe Benefits-Line 6b: Enter the total costs of fringe benefits
unless treated as part of an approved indirect cost rate which is
entered on line 6j.
Justification
Provide a breakdown of amounts and percentages that comprise fringe
benefit costs, such as health insurance, FICA, retirement insurance,
taxes, etc.
Travel-Line 6c: Enter total costs of all travel by employees of the
project. Do not enter costs for consultant's travel.
Justification
Include the total number of traveler(s), total number of trips,
destinations, number of days, transportation costs and subsistence
allowances. Travel costs to attend two national workshops in
Washington, D.C. by the project director should be included.
Equipment-Line 6d: Enter the total costs of all non-expendable
personal property to be acquired by the project. Non-expendable
personal property means tangible personal property having a useful life
of more than one year and an acquisition cost of $5,000 or more per
unit.
Justification
Only equipment required to conduct the project may be purchased
with Federal funds. The applicant organization or its subgrantees must
not already have such equipment, or a reasonable facsimile, available
for use in the project. The justification also must contain plans for
future use or disposal of the equipment after the project ends.
Supplies-Line 6e: Enter the total costs of all tangible personal
property (supplies) other than that included on line 6d.
Justification
Specify general categories of supplies and their costs.
Contractual-Line 6f: Enter the total costs of all contracts,
including the estimated cost of a third-party evaluation contract.
Travel costs for the chief evaluator to attend two national workshops
in Washington, D.C. should be included. OCS' experience with this
program has shown that a quality evaluation contract can be purchased
for 8%--10% of the OCS grant funds. [This percentage is a guide for the
applicants' use in planning its request for procurement and should not
be construed as a minimum nor maximum allowable amount.]
Justification
Attach a list of contractors, indicating the names of the
organizations, the purposes of the contracts, the estimated dollar
amounts, and selection process of the awards as part of the budget
justification. Also provide back-up documentation identifying the name
of contractor, purpose of contract, and major cost elements.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, thus entering into an interagency
agreement, the applicant/grantee must submit Sections A and B of
this Form SF-424A, completed for each delegate agency by agency
title, along with the required supporting information referenced in
the applicable instructions. The total costs of all such agencies
will be part of the amount shown on Line 6f. Provide draft Request
for Proposal in accordance with 45 CFR Part 74, Appendix H. Free and
open competition is encouraged for any procurement Activities
planned using ACF grant funds. Prior approval is required when
applicants anticipate evaluation procurements that will exceed
$25,000 and are requesting an award without competition.
The applicant's procurement procedures should outline the type of
advertisement appropriate to the nature and anticipated value of the
contract to be awarded. Advertisements are typically made in city,
regional, and local newspapers; trade journals; and/or through
announcements by professional associations.
Construction-Line 6g: Construction costs are not permitted under
the Demonstration Partnership Program.
Other-Line 6h: Enter the total of all other costs. Such costs,
where applicable, may include, but are not limited to, insurance, food,
medical and dental costs (non-contractual), fees and travel paid
directly to individual consultants, space and equipment rentals,
printing and publication, computer use, training costs including
tuition and stipends, training service costs including wage payments to
individuals and supportive service payments, and staff development
costs.
Total Direct Charges-Line 6i. Show the total of Lines 6a through
6h.
Indirect Charges-Line 6j: Enter the total amount of indirect costs.
This line generally should be used only when the applicant currently
has an indirect cost rate approved by the Department of Health and
Human Services or other Federal agencies. With the exception of local
governments, applicants should enclose a copy of the current rate
agreement if it was negotiated with a Federal agency other than the
Department of Health and Human Services. If the applicant organization
is renegotiating a rate, it should immediately upon notification that
an award will be made, develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year in accordance with the
principles set forth in the pertinent DHHS Guide for Establishing
Indirect Cost Rates, and submit it to the appropriate DHHS Regional
Office.
It should be noted that when an indirect cost rate is requested,
those costs included in the indirect cost pool should not also be
charged as direct costs to the grant. The total amount shown in Section
B, Column (5), Line 6k, should be the same as the amount shown in
Section A, Line 5, Column (e).
Totals-Line 6k: Enter total amounts of lines 6i and 6j.
Program Income-Line 7: Enter the estimated amount of income, if
any, expected to be generated from this project. Separately show
expected program income generated from OCS support and income generated
from other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification
Describe the nature, source and anticipated use of program income
in the Program Narrative Statement.
Column 5: Carry totals from Column 1 to Column 5 for all line
items.
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant is applying. Provide a brief
explanation, on a separate sheet, showing the type of contribution,
broken out by Object Class Category, (See Section Part VI, Section B.
Item 6) and whether it is cash or third-party in-kind. The firm
commitment of these required funds must be documented and submitted
with the application in order to be given credit in the Partnerships'
criterion.
Except in unusual situations, this documentation must be in the
form of letters of commitment or intent to commit contingent only upon
receipt of OCS funds from the organization(s) and/or individuals from
which funds will be received.
Justification
Describe all non-Federal resources including third-party, cash and/
or in-kind contributions.
Grant Program-Line 8. Grant Program.
Column (a): Enter the project title.
Column (b): Enter the amount of cash or donations to be made by the
applicant.
Column (c): Enter the State contribution.
Column (d): Enter the amount of cash and third-party in-kind
contributions to be made from all other sources.
Column (e): Enter the total of columns (b), (c), and (d).
Grant Program-Lines 9, 10, and 11 should be left blank.
Grant Program-Line 12.
Carry the total of each column of Line 8, (b) through (e). The
amount in Column (e) should be equal to the amount on Section A, Line
5, column (f).
Section D--Forecasted Cash Needs
Federal-Line 13. Enter the amount of Federal (OCS) cash needed for
this grant, by quarter, during the first year.
Non-Federal-Line 14. Enter the amount of cash from all other
sources needed by quarter during the first year.
Total-Line 15. Enter the total of Lines 13 and 14.
Section E--Budget Estimates of Federal Funds Needed for Balance of
Project--Not Applicable
Section F--Other Budget Information
Direct Charges-Line 21. Include a narrative justification for each
Object Class Category required under Section B for the total project
period. This narrative justification should be on a separate page and
should immediately follow the SF-424A in the application package.
Indirect Charges-Line 22. Enter the type of HHS or other Federal
agency's approved indirect cost rate (provisional, predetermined, final
or fixed) that will be in effect during the funding period, the
estimated amount of the base to which the rate is applied and the total
indirect expense. Also, enter the date the rate was approved and attach
a copy of the rate agreement.
Remarks-Line 23. Please provide any other explanations and/or
continuation sheets required or deemed necessary to justify or explain
the budget information.
C. SF-424B Assurances-Non-Construction
All applicants must fill out, sign, date and return the Assurances
(see Attachment B) with the application.
Part VII--Contents of Application and Receipt Process
A. Contents of Application
Each application submission should include a signed original and
four additional copies of the application. Each application must
include all of the following, in the order listed below:
1. An Abstract of the proposal--very brief, on one page, not to
exceed 250 words, which identifies the type of project, the target
population, the partner(s), and the major elements of the work plan,
and that would be suitable for use in an announcement that the
application has been selected for a grant award;
2. Table of Contents;
3. A completed Standard Form 424 which has been signed by an
official of the organization applying for the grant who has authority
to obligate the organization legally; [Note: The original SF-424 must
bear the original signature of the authorizing representative of the
applicant organization]
4. Budget Information-Non-Construction Programs (SF-424A);
5. A narrative budget justification for each object class category
required under Section B, SF-424A;
6. Filled out, signed and dated Assurances--Non-Construction
Programs (SF-424B), Attachment B;
7. By signing and submitting the SF-424, the applicant is
certifying that it will comply with the Federal requirements concerning
the drug-free workplace and debarment regulations set forth in
Attachments C and D.
8. Restrictions on Lobbying--Certification for Contracts, Grants,
Loans, and Cooperative Agreements: fill out, sign and date form found
at Attachment F;
9. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and
date form found at Attachment F, if appropriate;
10. A project narrative that will include all of the following
components according to the project type;
[Specific information/data required under each component is described
in Part IV, Application Review Criteria.]
Applicable to Renewal Projects (Priority 3.0) Only
(a) Project Design
(b) Preliminary Evaluation Results (A copy of the preliminary
evaluation results should be attached in appendices.)
(c) Research Significance
(d) Continuation of Third-Party Evaluation
(e) Institutional and Community Impact
(f) Budget Appropriateness
Applicable to All Other Projects (Priorities 1.0, 2.0, and 4.0)
(a) Organizational History and Management Capability
(b) Analysis of Need
(c) Project Design
(d) Third-Party Evaluation
(e) Partnerships
(f) Significant and Beneficial Impact
(g) Budget Appropriateness and Match and,
11. Appendices, including Maintenance of Effort Certification (See
Attachment H); letter signed by State CSBG Director; partnership
agreements signed by the partners; statement regarding the date of
incorporation; IRS letter on non-profit status, where applicable;
Single Point of Contact comments, if applicable and available; resumes;
Certification Regarding Lobbying; letters of match commitment or
letters of intent; a current listing of all sources of funds and
projects operated in the applicant's current operating year; and, for
continuation projects only, the preliminary evaluation results of the
original project.
The total number of pages for the narrative portion of the
application package must not exceed 50 pages, excluding Appendices.
Pages should be numbered sequentially throughout the application
package, excluding Appendices, beginning with the Proposal Abstract as
Page #1. The application may also contain letters that show
collaboration or substantive commitments to the project by
organizations other than partners with committed match. Such letters
are not part of the narrative and should be included in the Appendices.
These letters are, therefore, not counted against the fifty-page limit.
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8\1/2\ x 11 inch paper only.
They must not include colored, oversized or folded materials. Do not
include organizational brochures or other promotional materials,
slides, films, clips, etc. in the proposal. They will be discarded if
included. The applications should be two-holed punched at the top
center and fastened separately with a compressor slide paper fastener,
or a binder clip. The submission of bound applications, or applications
enclosed in binders is specifically discouraged.
Attachment I provides a checklist to applicants in preparing a
complete application package.
B. Acknowledgement of Receipt
Applicants who meet the initial screening criteria outlined in Part
V, Section E, 1, will receive an acknowledgement postcard with an
assigned identification number. Applicants are requested to supply a
self-addressed mailing label with their application which can be
attached to this acknowledgement post-card. This number and the program
priority area letter code must be referred to in all subsequent
communication with OCS concerning the application. If an
acknowledgement is not received within three weeks after the deadline
date, please notify ACF by telephone at (202) 401-9234.
Part VIII--Post-Award Information and Reporting Requirements
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which provides the amount of Federal funds approved
for use in the project, the project and budget periods for which
support is provided, the terms and conditions of the award, the total
project period for which support is contemplated, and the total
required financial grantee participation.
In addition to the General Conditions and Special Conditions (where
the latter are warranted) which will be applicable to grants, grantees
will be subject to the provisions of 45 CFR Part 74 or 92.
Project directors and chief evaluators will be required to attend a
national DPP evaluation workshop in Washington, D.C. which will be
scheduled shortly after the effective date of the grant. They also will
be required to attend, as presenters, a workshop on utilization and
dissemination to be held after the end of the project period.
Grantees will be required to submit quarterly progress and
financial reports (SF 269) throughout the project period, as well as a
final progress and financial report within 90 days of the termination
of the project. An interim evaluation report, along with the written
policies and procedures resulting from the process evaluation, will be
due 30 days after the first twelve months of the project period and a
final evaluation report will be due 90 days after the expiration of the
grant. These reports will be submitted in accordance with instructions
to be provided by OCS, and will be the basis for the dissemination
effort to be conducted by the Office of Community Services.
Grantees are subject to the audit requirements in 45 CFR Parts 74
(non-governmental), 92 (governmental), OMB Circular A-133 and OMB
Circular A-128.
Section 1352 of Public Law 101-121, signed into law on October 23,
1989, imposes new prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides exemptions for
Indian tribes and tribal organizations. Current and prospective
recipients (and their subtier contractors and/or grantees) are
prohibited from using Federal funds, other than profits from a Federal
contract, for lobbying Congress or any Federal agency in connection
with the award of a contract, grant, cooperative agreement or loan. In
addition, for each award action in excess of $100,000 (or $150,000 for
loans) the law requires recipients and their subtier contractors and/or
subgrantees (1) to certify that they have neither used nor will use any
appropriated funds for payment to lobbyists; (2) to disclose the name,
address, payment details, and purpose of any agreements with lobbyists
whom recipients or their subtier contractors or subgrantees will pay
with profits or nonappropriated funds on or after December 22, 1989 and
(3) to file quarterly up-dates about the use of lobbyists if material
changes occur in their use. The law establishes civil penalties for
noncompliance. See Attachment H for certification and disclosure forms
to be submitted with the applications for this program.
Attachment G indicates the regulations which apply to all
applicants/grantees under the Demonstration Partnership Program.
Dated: June 17, 1994.
Thornell Page,
Acting Director, Office of Community Services.
Attachment A
1994 Poverty Income Guidelines for All States (Except Alaska and Hawaii)
and the District of Columbia
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $7,360
2.......................................................... 9,840
3.......................................................... 12,320
4.......................................................... 14,800
5.......................................................... 17,280
6.......................................................... 19,760
7.......................................................... 22,240
8.......................................................... 24,720
------------------------------------------------------------------------
For family units with more than 8 members, add $2,480 for each
additional member.
Poverty Income Guidelines for Alaska
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $9,200
2.......................................................... 12,300
3.......................................................... 15,400
4.......................................................... 18,500
5.......................................................... 21,600
6.......................................................... 24,700
7.......................................................... 27,800
8.......................................................... 30,900
------------------------------------------------------------------------
For family units with more than 8 members, add $3,100 for each
additional member.
Poverty Income Guidelines for Hawaii
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $8,470
2.......................................................... 11,320
3.......................................................... 14,170
4.......................................................... 17,020
5.......................................................... 19,870
6.......................................................... 22,720
7.......................................................... 25,570
8.......................................................... 28,420
------------------------------------------------------------------------
For family units with more than 8 members, add $2,850 for each
additional member. (The same increment applies to smaller family
sizes also, as can be seen in the figures above.)
BILLING CODE 4184-01-P
TN23JN94.108
BILLING CODE 4184-01-C
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project, if more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction of real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
0BILLING CODE 4184-01-P
TN23JN94.109
TN23JN94.110
BILLING CODE 4184-01-C
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions to be
made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter totals for each Columns (b)-(e). The amount in
Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of the
Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
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.
4. Will initiate and complete the work 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. Secs. 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 OPM'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.
Secs. 1681-1683, and 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. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 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) Secs. 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. Sec. 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 statute(s) 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.
Secs. 1501-1508 and 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. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
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
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. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the State 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. Secs. 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. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction of 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.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
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Date Submitted
BILLING CODE 4184-01-P
TN23JN94.111
TN23JN94.112
BILLING CODE 4184-01-C
Attachment D
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined
as the primary participant in accordance with 45 CFR Part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) are not presently indicted or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph (1)
(b) of this certification; and
(d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) determination
whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such person from participation in this
transaction.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction.'' provided below without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tier Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR Part 76,
certifies to the best of its knowledge and belief that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any federal department or
agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion--Lower Tier Covered Transactions.'' without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Attachment E--Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, P.O. Box 3278, Little Rock, Arkansas 72203,
Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado
80203, Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street NW., Suite 500,
Washington, D.C. 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington, Street SW., Atlanta, Georgia 30334, Telephone (404)
656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities
and Development, 100 Cambridge Street, Room 1803, Boston,
Massachusetts 02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J. Jaskolka,
State Review Process, Division of Community Resources, CN 814, Room
609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656,
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, Attn:
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building, 109 State Street,
Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, 3541
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802, Please direct correspondence to: Linda Clarke,
Telephone (809) 774-0750.
Attachment F.--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and
belief, that:
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, 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 the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated 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 Federal contract, grant, loan or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
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
undersigned shall complete and submit Standard Form-LLL ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the require statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
TN23JN94.113
BILLING CODE 4184-01-C
Attachment G
The following DHHS regulations apply to all applicants/grantees
under the Demonstration Partnership Program, Special Set-Aside for
Empowerment Zone/Enterprise Community--Technical Assistance/Planning
Grants:
Title 45 of the Code of Federal Regulations:
Part 16--Procedures of the Departmental Grant Appeals Board
Part 74--Administration of Grants (non-governmental)
Part 74--Administration of Grants (state and local governments and
Indian Tribal affiliates):
Sections 74.62(a)--Non-Federal Audits
74.173--Hospitals
74.174(b)--Other Nonprofit Organizations
74.304--Final Decisions in Disputes
74.710--Real Property, Equipment and Supplies
74.715--General Program Income
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension form Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-discrimination Under Programs Receiving Federal Assistance
through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Nondiscrimination on the basis of sex in the admission of
individuals to training programs
Part 84--Non-discrimination on the Basis of Handicap in Programs
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial Assistance
Part 92--Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments (Federal Register, March 11,
1988)
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human
Services Programs and Activities
Attachment H.--Certification Regarding Maintenance of Effort
The undersigned certifies that:
(1) activities funded under this program announcement are in
addition to, and not in substitution for, activities previously carried
on without Federal assistance.
(2) funds or other resources currently devoted to activities
designed to meet the needs of the poor within a community, area, or
State have not been reduced in order to provide the required matching
contributions.
When legislation for a particular block grant permits the use of
its funds as match, the applicant must show that it has received a real
increase in its block grant allotment and must certify that other anti-
poverty programs will not be scaled back to provide the match required
for this project.
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Organization
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Authorized Signature
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Title
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Date
Attachment I.--Checklist for Use in Submitting OCS Grant
Applications (Optional)
The application should contain:
1. Table of Contents
2. A completed, signed SF-424, ``Application for Federal
Assistance. The letter code for the priority area should be in the
lower right-hand corner of the page.
3. A completed SF-424A, ``Budget Information--Non-Construction''.
4. A signed SF-424B, ``Assurances--Non-Construction''.
5. A signed copy of ``Certification Regarding Anti-Lobbying
Activities''.
6. A completed Disclosure of Lobbying Activities, if applicable.
7. A Project Narrative beginning with a Table of Contents that
describes the project in the following order:
(a) Eligibility Confirmation
(b) Organizational Experience and Staff Responsibilities
(c) Analysis of Need
(d) Work Program
(e) Third Party Evaluation
8. A signed copy of the Cooperative Partnership Agreement or letter
of intent.
9. Appendices, including proof of non-profit status, Bylaws,
Articles of Incorporation, SPOC comments self-addressed mailing label
which can be affixed to a postcard to acknowledge receipt of
application.
The Project Narrative should not exceed a total of 50 pages. It
should include one original and four identical copies, printed on white
8\1/2\ by 11 inch paper, two-holed punched at the top center and
fastened separately with a compressor slide paper fastener, such as an
ACCO clip, or a binder clip. The submission of bound applications,
enclosed in binders, is specifically discouraged.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace and
debarment regulations set forth in Attachments C and D.
[FR Doc. 94-15342 Filed 6-22-94; 8:45 am]
BILLING CODE 4184-01-P