[Federal Register Volume 60, Number 70 (Wednesday, April 12, 1995)]
[Notices]
[Pages 18668-18698]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-8833]




[[Page 18667]]

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Part II





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



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Request for Applications Under the Office of Community Services' FY 
1995 Demonstration Partnership Program (DPP); Notice

  Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / 
Notices   
[[Page 18668]] 

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. OCS-95-05]


Request for Applications Under the Office of Community Services' 
FY 1995 Demonstration Partnership Program (DPP)

AGENCY: Office of Community Services, 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) (Pub. L. 99-
425), of the Human Services Reauthorization Act of 1986 as amended.

CLOSING DATE: The closing date for submission of applications is June 
12, 1995.

FOR FURTHER INFORMATION CONTACT: Office of Community Services, 
Administration for Children and Families, Division of Community 
Demonstration Programs, 370 L'Enfant Promenade, SW., Fifth Floor, 
Washington, DC 20447, Attention: Richard Saul, (202) 401-9347.
    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. Introduction
    A. Legislative Authority
    B. Eligibility
    C. Definition of Terms
Part II. Background Information
    A. Project Periods and Budget Periods
    B. Availability of Funds and Grant Amounts
    C. Matching Funds
    D. Prohibition on the Use of Funds
    E. Program Beneficiaries
    F. Sub-Contracting or Delegating Projects
    G. Maintenance of Effort
    H. Multiple Submittals and Multiple Grants
Part III. Program Priority Areas
    1.0  General Demonstration Projects (Approximately $2.4 million 
available)
    2.0  Replication Projects (Approximately $1.5 million available, 
including Urban Youth project)
    3.0  EZ/EC Continuous Improvement Grants (Maximum of $1,000,000 
available)
    4.0  Urban Youth Projects (Up to $2.5 million available, 
including Replication project)
Part IV. Application Elements and Review Criteria
    A. Program Elements, Review and Assessment Criteria for 
Applications under Priority Areas 1.0 and 4.0
    B. Special Program Elements, Review and Assessment Criteria for 
Applications for Replication Projects under Priority Area 2.0
    C. Program Elements, Review and Assessment Criteria for 
Applications for EZ/EC Continuous Improvement Grants under 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 Application Forms
    A. SF-424--Application for Federal Assistance
    B. SF-424A--Budget Information--Non-Construction Programs
    C. SF-424B--Assurances--Non-Construction
Part VII. Contents of Application
Part VIII. Post-Award Information and Reporting Requirements

Part I. Introduction

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, to 
test and evaluate such new approaches, to disseminate project results 
and evaluation findings, 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. 
Additionally, the legislation provides for grants to demonstrate new 
approaches to dealing with the problems caused by entrenched, chronic 
unemployment and lack of economic opportunities for urban youth.
    Proposed projects must be carried out in partnership with other 
organizations or institutions, public or private, which can be local, 
regional or national in character, and should, through these 
partnerships, strengthen the community's socio-economic infrastructure 
and the integration, coordination, and redirection of community 
resources to support progress toward self-sufficiency. Projects must 
include plans and funding for a third party evaluation which can lead 
to replication of successful programs.
    This solicitation is requesting applications with proposal 
narratives of not more than twenty (20) pages (accompanied by the usual 
forms and appropriate appendices) on the basis of which funding 
decisions will be made.

B. Eligibility

    Eligible entities for these grants are all current recipients of 
Community Services Block Grant funds which are officially designated as 
Community Action Agencies or Community Action Programs under Section 
673(1) of the Community Services Block Grant (CSBG) Act, and which meet 
all the requirements under Section 675(c)(3) of that Act; and 
organizations serving migrant and seasonal farmworkers which received 
CSBG funding in Fiscal Year 1994.
    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 in Section C below and that it has the capacity to operate 
the proposed project.

C. Definition of Terms

    For purposes of this Announcement, the following definitions apply:

--Budget Period: The term ``budget period'' refers to the interval of 
time into which a multi-year period of assistance (project period) is 
usually divided for budgetary and funding purposes. (In the case of 
grants under this Announcement, project and budget periods may run 
concurrently for up to three years)
--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 organizations serving migrant and seasonal 
farmworkers which received [[Page 18669]] CSBG funding in the previous 
fiscal year (FY 1994). In those cases where ``eligible entity'' status 
is unclear, final determination will be made by OCS/ACF.
--Family: For purposes of this Notice, 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.

Part II. Background Information

A. Project Periods and Budget Periods

(See Part I, C, Definitions)

    Project and budget periods for all DPP projects will be for a 
minimum of 30 months and a maximum of 36 months. These will consist of:
    1. A six-month start-up period during which project staff can be 
hired, agreements with Project Partners will be finalized, the Third 
Party Evaluator will be brought on board, and the final Project 
Evaluation Plan will be completed with the assistance of the approved 
evaluator and the OCS Evaluation Technical Assistance Contractor. This 
start-up period should be used to refine the project implementation 
plan and budget to reflect any changes in the evaluation strategy; and 
during this period the Project Director and the Evaluator will 
participate in a workshop conference with staff of OCS and the TA 
contractor;
    2. A twenty-four month (2 year) operational period during which the 
project implementation plan will be carried out; and
    3. A close-out period of up to six months for completion of the 
final evaluation and report, and any planned dissemination of project 
results. To insure funding stability throughout the project period, 
proposed projects must have sufficient non-OCS funds committed so that, 
combined with FY 95 OCS grant funds, grantees will have sufficient 
resources to complete their proposed projects and final evaluations. 
[Note: Where grantees can show that a significant improvement in the 
extent or validity of evaluation findings will be the result, projects 
may receive refunding after the two-year operational period, on a 
competitive basis and subject to the availability of funds, in an 
amount not to exceed 80 per cent of the original grant for continuation 
of the project for an additional period of up to thirty (30) months (a 
start-up period not being required).]

B. Availability of Funds and Grant Amounts

    The total appropriated amount for the FY 1995 Demonstration 
Partnership Program is $7,977,000, of which approximately $7,000,000 
will be available for grants pursuant to this Announcement to support 
new general project grant awards, replication projects, EZ/EC 
Continuous Improvement grants, and projects directed at the problems of 
urban youth.
    1. For priority areas 1.0 General Projects and 2.0 Replication 
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, except that, of the four suggested Replication Projects under 
Priority Area 2.0, one will be considered an Urban Youth Project with a 
maximum grant amount of $500,000, as explained in Part III, below.
    2. For priority area 3.0 EZ/EC Continuous Improvement Projects 
grant requests will be considered for an amount not to exceed $50,000. 
The project/budget periods for these grants may be up to thirty-six 
months.
    3. For priority area 4.0 Urban Youth Projects grant requests will 
be considered for an amount up to $500,000 for the total project/budget 
period of up to 36 months.

C. 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 4.0 
Urban Youth. 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. For Urban Youth 
Projects, Priority Area 4.0, OCS will fund 80% of the total cost of 
each project, that is, 80% of the total of the federal and non-federal 
shares. This means that the match must be 25% of the OCS grant. Thus, 
if an applicant is requesting $500,000 in OCS funds, which represents 
80% of the total project cost, that total cost will amount to $625,000, 
and the match 20% of that total, or $125,000, which is 25% of the 
$500,000 OCS grant amount.
    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 Community Development Block Grant (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 [[Page 18670]] that at least 50% of the match be provided 
by the proposed partners through the delivery of specific services or 
resources to the client population. Such resources 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 any part of match is to be used as a revolving loan fund, those 
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.

D. Prohibition on the Use of Funds

    The use of funds for the purchase or construction of real property 
is prohibited.

E. Program Beneficiaries

    Projects proposed for funding under this announcement must result 
in direct benefits to low-income persons whose incomes are no more than 
125% of the DHHS poverty income guidelines as defined in the most 
recent Annual Revision of Poverty Income Guidelines published by DHHS.
    Attachment C to this Notice 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. These Guidelines are also 
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.
    No other government agency or privately defined poverty guidelines 
are applicable for the determination of low-income eligibility for this 
OCS program.

F. 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.

G. 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. A signed 
certificate of Maintenance of Effort must be included with the 
application (see Attachment J).

H. Multiple Submittals and Multiple Grants

    In accordance with the statutory provision that limits grants to 
any eligible entity to one in any given fiscal year, no eligible 
applicant will receive more than one grant pursuant to this 
Announcement.

Part III. Program Priority Areas

1.0  General Demonstration Projects (Approximately $2.4 Million 
Available)

    For Fiscal Year 1995 OCS plans to fund approximately seven General 
Demonstration Projects at $350,000 or less each.
    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 their 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.
    While self-sufficiency implies reliance on one's own initiative and 
abilities, such a transformation cannot occur independently of the 
context of the relationships, resources, and institutions in the 
surrounding community. OCS understands the importance to self-
sufficiency of such community resources as adequate child care, safe 
and affordable housing, accessible medical care, good transportation, 
adequate municipal services and other elements of the community's 
socioeconomic infrastructure. Also important to real progress toward 
self-sufficiency is readily available and empathetic help in accessing 
these institutional resources and the emotional support networks that 
enable people to overcome adversity and move ahead.
    Accordingly, OCS is interested in demonstrations of strategies that 
offer real promise of transforming the lives of poor individuals and 
families in part by improving the community infrastructure and the 
workings of the community's service institutions. 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 one of 
client maintenance to client transformation, and a growing recognition 
of the value of the agency's services as investments in their clients' 
communities.
    In the spirit of ``local initiative'' OCS looks forward to 
innovative proposals that grow out of the experience of community 
action and the needs of the applicants' 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 again interested in receiving applications 
that propose a realistic plan for harnessing self-sufficiency support 
activities to Environmental Justice and Sustainable Community 
Development initiatives 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. (See 
Attachment A for a fuller discussion of Environmental Justice and 
Sustainable Community Development.)
    For the purposes of this Announcement, programs falling within the 
rubric of Environmental Justice and [[Page 18671]] Sustainable 
Community Development might include community-based job and career 
development around lead abatement in low-income dwellings; in clean-up 
of toxic wastes or leaking underground storage tanks; in 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; in the installation and maintenance of 
alternative and renewable energy technologies in the homes of the poor; 
in recycling; in the exploitation of new and non-traditional uses of 
agricultural crops and products; in forest or watershed restoration; in 
urban pesticide programs designed to reduce the use of toxic pesticides 
in low income urban communities through Integrated Pest Management and 
similar techniques; or in 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 non-polluting 
and consistent with sustainable community development.
    When, in addition, these community-based improvement initiatives 
capitalize upon significant new public programs or private market 
forces that offer good potential for continuing financial support of 
these activities, the initiatives have reasonable chances of growing 
and prospering, thereby offering additional jobs to entry-level workers 
and career prospects to employees who perform well. Applications that 
offer a sound plan for capitalizing upon such public and/or private 
market forces to provide real employment and career opportunities for 
low-income individuals will be especially welcome.
    Applications which propose initiatives involving activities which 
will expose program participants or community residents to toxic or 
poisonous substances, including, but not limited to, lead paint or 
dust, asbestos, toxic wastes, radon gas, or toxic pesticides, must 
include, as an appendix to the application, specific assurances that 
all applicable federal, state, and local laws and regulations for the 
protection of workers and community residents will be strictly adhered 
to.
    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 a new business venture are a major focus of the proposed 
work plan, applicant must provide assurance that such activities will 
be under the direction of a person or persons having business 
experience, and the application must include, as an appendix, a 
Business Plan based on the outline included as Attachment B to this 
Announcement.
    The interventions that applicants propose for this program should 
be multi-dimensional in nature in order to provide the kind of 
comprehensive approach needed as an effective basis for individual 
transformation. They should, where appropriate, address both individual 
and family progress toward self-sufficiency, and may also involve two 
or more generations as both providers and beneficiaries of project 
services.

2.0  Replication Projects (Approximately $1.5 Million Available, 
Including 1 Urban Youth Project)

    The Demonstration Partnership Program is required by its 
authorizing legislation to invest at least 10% (but no more than 25%) 
of its appropriation 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 Fiscal Year 1995 OCS plans to fund up to three general 
replication projects at up to $350,000 each, and one replication urban 
youth project at up to $500,000, for a total of up to approximately 
$1,500,000. OCS seeks to stimulate, with these grants, additional 
experimentation and application of approaches that seem to offer 
special promise in fostering social and economic self-sufficiency among 
a variety of low-income people.
    The eligibility, match requirements, and time frame for General 
Replication Projects are the same as for General Demonstration 
Projects; for Urban Youth Replication Projects they are the same as for 
Urban Youth Projects.
    For FY 1995, OCS has identified four previously funded 
Demonstration Partnership Projects that have, in their design and 
implementation, demonstrated a significant potential for dealing 
successfully with a number of critical needs and problems of poor 
people in differing circumstances. The four projects are:
    A. Micro-Enterprise Development Program (MEDP), [Now called the 
Neighborhood Economic Development Self-Employment Program (NEDSEP)], 
Philadelphia, sponsored by the Mayor's Office of Community Services, 
which has successfully carried out a project of Micro-Enterprise/Self-
Employment development, supported by training and technical assistance, 
comprehensive case management, and peer counselling, among homeless 
residents of a North Philadelphia low-income neighborhood. Project 
partners included the Philadelphia County Assistance Office, the 
Philadelphia Private Industry Council (PIC), the Minority Business 
Enterprise Council, the Philadelphia Office of Services for Homeless 
and Adults, the Service Corps of Retired Executives, and the Beech 
Consortium, a consortium of 45 local private and public organizations. 
The Philadelphia Project can be reached through: Rosalind Johnson, 
Project Manager, Mayor's Office of Community Services, 1608 N. Carlisle 
St., Philadelphia, PA 19121, (215) 978-5930.
    B. The Success Connection, Yakima, Washington, sponsored by Yakima 
Valley Opportunities Industrialization Center, which has successfully 
carried out a project of Case Management, support groups, skills 
training, and family involvement for Hispanic at risk teen-age children 
of Migrant and Seasonal Farmworker families in the Yakima Valley. In 
partnership with the state Migrant Education Services, Central 
Washington University, and local school districts, the project reduced 
truancy and drop-out rates, increased school attendance and 
achievement, developed employment opportunities, and encouraged post-
secondary schooling among participating youth. The success of the 
program has led to the State of Washington's decision to support its 
implementation State-wide. The Yakima Project can be reached through: 
Mr. Henry Beauchamp, Executive Director, Yakima Valley OIC, 815 
Fruitvale Blvd., Yakima, WA 98902, (509) 839-2717.
    C. Homeless Opportunity Project, Bath, Maine, sponsored by Coastal 
Economic Development, Inc., which has combined three innovative 
components into a successful program to foster self-sufficiency among 
the homeless poor. These include a shelter-based job training program, 
a system-wide change in delivery of services to an integrated case-
management approach, and an assessment instrument which can be used in 
the design of individualized development plans for program 
participants. Project partners include the area's homeless shelter and 
three other local non-profit providers, Shoreline Community Mental 
Health Systems, the Addiction Resource [[Page 18672]] Center, and the 
United Way of Mid-Coast Maine. The Maine Project can be reached 
through: Jessica Harnar, Executive Director, Coastal Economic 
Development, Inc., 39 Andrews Road, Bath, ME 04530, (207) 442-7963.
    D. Step-Up Young Father Mentor Program, Phoenix, Arizona, sponsored 
by the City of Phoenix Human Services Department in partnership with 
the Valley Big Brothers/Big Sisters of Arizona, which has successfully 
brought ``Big Brother'' mentoring to youthful, largely minority (62% 
Hispanic, 20% Black, 4% Native American) fathers, between the ages of 
16 and 22, as part of a comprehensive program of education, pre-
employment and skills training, and case management/family development 
services to enable them to assume greater responsibility for their 
families. This is the first time that the Big Brother organization 
nationally has worked with this age group. Additional project partners 
include the Centers for Advancement of Educational Practices, City of 
Phoenix Parks, Recreation and Library Dept., Maricopa County Community 
Colleges, and City of Phoenix Employment and Training. The Phoenix 
project can be reached through: William Chipman, Project Director, 1250 
South 7th Ave., Phoenix, AZ 85007, (602) 262-6907.
    OCS is interested in replicating each of these programs in a 
geographically different but appropriate setting.
    The Philadelphia project design should function effectively in 
another large urban setting with a substantial homeless population. It 
would seem well suited to a city which has received designation as an 
Empowerment Zone or Enterprise Community, where activities pursuant to 
the EZ/EC Strategic Plan could stimulate markets for project 
participants' enterprises.
    The Yakima project design should be tried with Hispanic Farmworker 
populations in another section of the country, perhaps in California or 
the Southwest.
    The Maine project design should be tried with homeless populations 
in another rural setting, perhaps in a more economically depressed 
community to test its applicability to higher concentrations of 
homeless.
    The Phoenix project design should function effectively with 
minority urban youth in a community with an active Big Brothers/Big 
Sisters or comparable organization willing to participate as an active 
partner in the project. In the case of the Phoenix project, the 
replication project will be considered an Urban Youth project for 
purposes of grant amount (up to $500,000) and match requirement (25% of 
the OCS grant amount); but proposals will be reviewed under the 
Priority Area 2.0 Replication Project Elements and Review Criteria.
    In each case, the application for a Replication Project should 
provide for an extensive site visit or site visits by key staff to the 
project to be replicated (Host Project), during which such staff can 
receive orientation training and actually serve a brief apprenticeship 
in the program. In addition, provision should be made for a site visit 
by staff of the Host Project to the Replication Project during the 
first year of its operations. The proposed Project Budget should make 
provision for the costs of such site visits/apprenticeships, as well as 
for appropriate consulting fees for staff of the Host Project; and the 
application should include, as an appendix, a Memorandum of 
Understanding or Letter of Agreement between the applicant and the Host 
Project setting forth training/apprenticeship undertakings and the 
attendant financial arrangements.

3.0  EZ/EC Continuous Improvement Grants (Maximum of $1,000,000 
Available)

    OCS in FY 1994 made approximately 115 $10,000 DPP grants to CAA's 
involved locally with developing Strategic Plans for submission to the 
Departments of HUD and Agriculture seeking designation as Empowerment 
Zones or Enterprise Communities (EZ/EC). The purpose was to strengthen 
CAA involvement in the local planning process so as to assure the 
fullest possible participation of low-income residents of the affected 
communities.
    OCS in FY 1995 is interested in making a number of ``Continuous 
Improvement'' grants to CAA's or eligible farmworker organizations 
which had and have major involvement in the planning and implementation 
of these Strategic Plans in their communities. The purpose of these 
grants will be to continue to support the involvement of low income 
residents in the improvement and implementation of these Strategic 
Plans through activities which will seek to develop innovative ways to 
increase the self-sufficiency of the poor. Another important purpose of 
the grants will be to assist grantees to establish or participate in 
the establishment of a system of information and data collection that 
will track the activities carried out and identify those which develop 
and implement new and innovative approaches to deal with particularly 
critical needs or problems of the poor which are common to a number of 
communities, including new approaches to dealing with the problems 
caused by entrenched, chronic unemployment and lack of economic 
opportunities for urban youth.
    OCS proposes, therefore, to fund up to 20 grants of up to $50,000 
apiece, for a maximum total of approximately $1,000,000, to enable 
applicants eligible for the Demonstration Partnership Program to 
participate in the continuous planning and improvement, and to monitor 
the implementation, of these Strategic Plans at the local level. OCS 
hopes these grants will enable grant recipients, through the collection 
and use of information about strategic planning, implementation and 
performance, to influence the shape and priorities of these 
initiatives, and to make possible the closer monitoring of progress at 
the local community level.
    Each grant under this Priority Area will be for up to $50,000. As 
with Priority Areas 1.0 and 2.0, a 100% match will be required, which 
can be in cash or in-kind fairly valued, and the operational project 
time frame for these Continuous Improvement projects is two years, with 
up to six additional months for start-up and six months after the 
operational period to complete evaluation and reporting.
    OCS expects the project funds to be used to facilitate 
participation of low income residents and to expand the grantee's human 
and/or technical resources, which with OCS support will enable it to 
broaden its involvement in the implementation and monitoring of the 
Strategic Plan. Applicants are encouraged to contact their State 
Corporation for National Service Offices and/or their State 
Commissioner for National Service to discuss possible national service 
participation in their projects (e.g. Americorps-VISTA, Americorps USA, 
National Senior Service Corps, Learn and Serve). Such participation 
could provide two or more volunteers to support the work of the planner 
and assist staff in the Continuous Improvement project.
    Applicants for these Continuous Improvement grants should represent 
communities that have developed EZ/EC Strategic Plans and are 
proceeding to implement them, either with or without the support of 
designation as an Empowerment Zone/Enterprise Community. OCS hopes to 
make grants to at least two communities that did not receive EZ/EC 
designation. But in all cases applicants must provide evidence of close 
working relationships with those involved in the EZ/EC planning and/or 
implementation process, the local nominating officials, and the other 
agencies and resources that participated in the development of the 
community's strategic plan document. Special emphasis should also be 
given in [[Page 18673]] applications to establishing and documenting 
working relationships with additional data collection and analysis 
resources such as Historically Black Colleges and Universities and 
Minority Institutions with strong ties to the low-income community.

4.0  Urban Youth Projects (up to $2.5 Million Available, Including 1 
Replication Project)

    For FY 1995, OCS expects to award five or six grants of up to 
$500,000 for a total of up to $2.5 million for projects that propose to 
demonstrate new approaches to dealing with the problems caused by 
entrenched, chronic unemployment and lack of economic opportunities for 
urban youth, between 10 and 25 years of age. As noted above, under 
Priority Area 2.0, these could include one Urban Youth Project for 
replication of the Step-Up Young Father Mentor Program in Phoenix, 
Arizona.
    The authorizing legislation provides that ``demonstrations shall 
include such initiatives as peer counseling, mentoring, development of 
job skills, assistance with social skills, community services, family 
literacy, parenting skills, opportunities for employment or 
entrepreneurship, and other services designed to assist such at-risk 
youth to continue their education, to secure meaningful employment, to 
perform community service, or to pursue other productive alternatives 
within the community.''
    OCS recognizes that greater self-sufficiency and productivity among 
urban youth will not occur in isolation of new innovative approaches to 
address the conditions that prevent dependency. Urban youth, between 
the ages of ten (10) and twenty-five (25), experience a number of 
systemic conditions that prohibit the achievement of self-sufficiency 
and independence as they grow into adulthood.
    Over two-thirds of urban youth are born to unmarried women. 
Nationally, families consisting of children in households headed by 
unmarried females rose from some 10 percent in 1960 to over 35 percent 
today, according to the Joint Center for Economic Studies. This 
development alone has serious economic implications. The growth in 
female-headed families contributes significantly to the overall 
deepening of poverty among urban children.
    Declines in economic opportunities play at least as great a part in 
increasing the prevalence of poverty as the change in family structure. 
The growing prevalence and geographic concentration of urban youth tend 
to be associated with poor schools, high public social service usage, 
greater exposure to crime, and fewer employment options.
    Urban males who grow up in poor, mother-only families appear to be 
at special risk for a variety of problems. They are at special risk of 
becoming alienated and marginalized adults.
    Today's urban youth find themselves and their parent(s) caught in a 
downward shift from working poor (mother-only) families to dependent 
poor (mother-only) families. They are not only subject to greater 
economic deprivation, but they:

--Are very likely to be unemployed and on public assistance;
--Grow up with few material or educational resources;
--Are likely to engage in substance abuse and/or criminal activities;
--Lack guidance from responsible adults to teach them how to respect 
themselves and others while they track through adolescence to 
adulthood;
--Are at special risk for a variety of behavioral problems;
--Are too often inclined to detach themselves from parental authority; 
and,
--Are likely to assert themselves in gangs and street cultures that 
support a flamboyant lifestyle through illicit trafficking.

    Applicants are encouraged to develop cooperative learning 
partnerships of the type that will blend regular classroom curriculum 
and instructions with stay-in-school programs (including college 
programs) and the world of work. Innovative concepts might include 
ideas built around matching scholarship and grant funds offered from 
other public and private sources to promising low income urban youth.
    Projects might also include requests for funds to support 
diversified occupation projects (projects designed to bridge the gap 
between school-based programs and the world of work). Envisioned is the 
promotion of joint projects between local public schools and private 
sector businesses to develop partial or after school and weekend job 
apprenticeships or placement opportunities for urban youth. Projects 
seeking to develop opportunities around computer technology repair 
work, machine tool manufacturing, and career development in the areas 
of abatement of environmental hazards and pollution are encouraged.
    The target group of disadvantaged youth should not be considered in 
isolation from the community in which they live. Applicants should seek 
to involve partners in their project that make possible a 
comprehensive, holistic approach to individual, family, and community 
development; including agencies that can assist with parenting, 
housing, family mentoring, vocational training, day care, 
transportation, apprenticeships and employment, and interventions in 
violent situations. OCS is interested, for this set-aside as well as 
for the other grants, in demonstrations that test the targeting and 
delivery of these and other services to the disadvantaged youths and 
their urban neighborhoods and that employ computer workstations and 
similar strategies for improving the efficiency and effectiveness of 
the delivery of those services.
    Applicants should identify any barriers that might hinder efforts 
by the project team/partnership to help members of the target 
population become self-sufficient and include in their proposals 
specific plans to counteract them. OCS is particularly interested in 
partnerships that propose creative ways to deal with problems of 
individual and group violence, including violence as a response to 
conditions in families and communities that 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 such 
programs be closely coordinated with local law enforcement agencies.
    Where projects propose to work with youth 10 to 15 years of age, 
applicants should consider the stages of youth development and seek to 
counter unhealthy influences on that development by strengthening this 
population's sense of community through project activities. It is 
important, in this regard, that project-related contacts and activities 
be frequent and intense enough to make a positive impact on 
participating youths. Applications that include linkages with national 
and local organizations with significant experience in this issue are 
encouraged.
    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 [[Page 18674]] 
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 Ave. NW, Washington, DC 20531, (202) 616-3551
James Breiling, PhD., Violence and Traumatic Stress Research Branch, 
National Institute of Mental Health, NIH, Parklawn Bldg. Room 10C-24, 
5600 Fishers Lane, Rockville, MD 20857, (301) 443-3728

Part IV. Application Elements and Review Criteria

    The ultimate goals of the projects to be funded under the 
Demonstration Partnership Program are to realize, through project 
interventions, significant improvements in the social and economic 
self-sufficiency of members of the communities served, to evaluate the 
effectiveness of these interventions and of the project design through 
which they were implemented, and thus to make possible the replication 
of successful programs. As noted above, OCS intends to make the awards 
of all the above grants on the basis of brief, concise applications. 
The elements and format of these applications, along with the review 
criteria that will be used to judge them, will be outlined in this 
Part.
    In order to simplify the application preparation and review 
process, OCS seeks to keep grant proposals cogent and brief.
    Applications with project narratives (excluding appendices) of more 
than 20 letter-sized pages of 12 c.p.i. type or equivalent on a single 
side will not be reviewed for funding. Applicants should prepare and 
assemble their project description using the following outline of 
required project elements. They should, furthermore, build their 
project concept, plans, and application description upon the guidelines 
set forth for each of the project elements.
    For each of the Project Elements or Sub-Elements below there is at 
the end of the discussion a suggested number of pages to be devoted to 
the particular element or sub-element. These are suggestions only; but 
the applicant must remember that the overall Project Narrative cannot 
be longer than 20 pages.
    The competitive review of proposals will be based on the degree to 
which applicants:
    (1) Incorporate each of the Elements and Sub-Elements below into 
their proposals, so as to:
    (2) Describe convincingly a project that will develop and implement 
new and innovative approaches to address particularly critical needs or 
problems of the poor;
    (3) In ways that appear likely to increase their self-sufficiency; 
and
    (4) Test and evaluate such approaches so as to make possible 
replication of a successful program.

A. Program Elements, Review and Assessment Criteria for Applications 
Under Priority Areas 1.0 and 4.0

Element I. Organizational Experience and Capability
(Weight of 0 to 5 points in proposal review.)

    Applicants should cite their organization's capability and relevant 
experience in developing and operating programs which deal with poverty 
problems similar to those to be addressed by the proposed project. They 
should also cite the organization's experience in collaborative 
programming and operations which involve evaluations and data 
collection. While the proposed project management team will be 
identified and described elsewhere in the application, applicants 
should identify agency executive leadership in this section and briefly 
describe their involvement in the proposed project and provide 
assurance of their commitment to its successful implementation. An 
important indicator of the applicant organization's capability will be 
the certification to that effect by the State CSBG Director in the 
required letter of eligibility certification. (See Part I. B., 
Eligibility, above.)
    Applicants should use no more than 2 pages for this element.
Element II. Project Theory, Design, and Plan
(Total Weight of 0-25 points in proposal review)

    OCS seeks to learn from the application why and how the project as 
proposed is expected to lead to significant improvements in individual 
and family self-sufficiency.
    Applicants are urged to design and present their project in terms 
of a conceptual cause-effect framework. In the following paragraphs a 
``logic model'', or framework is described, that suggests a way to 
present a project so as to show the ``logic'' of the cause-effect 
relations between project activities and project results. Applicants 
don't have to use the exact ``logic model'' language described; but it 
is important to present the project in a way that makes clear the 
cause-effect relationship between what the project plans to do and the 
results it expects to achieve.
    Sub-Element II(a). Description of Target Population, Analysis of 
Need, and Project Assumptions. (Weight of 0-10 points in application 
review)
    The ``logic model'' begins with identifying the underlying 
assumptions about the program. These are the beliefs on which the 
proposed program is built: the assumptions about the needs of the 
client population to be served; about the current services available to 
those clients, and where and how they fail to meet their needs; about 
why the proposed services or interventions are appropriate, and will 
meet those needs; and about the impact the proposed interventions will 
have on the clients.
    In other words, the underlying assumptions of the program are the 
applicant's analysis of the needs and problems to be addressed by the 
project, and the applicant's theory of how its proposed interventions 
will address those needs and problems to achieve the desired result. 
Thus a strong application is based upon a clear description of the 
needs and problems to be addressed and a persuasive understanding of 
the causes of those problems.
    In this sub-element of the proposal the applicant should precisely 
identify the target population to be served. The geographic area to be 
impacted should then be briefly highlighted, selectively emphasizing 
the socioeconomic/poverty and other data that are relevant to the 
project design. Applicants for environmental justice projects, for 
instance, might include as much data about neighborhood pollution and 
recycling markets as they do about poverty conditions.
    The needs of this target population should then be clearly defined, 
and the applicant should state its underlying assumptions about how 
these needs can be addressed by the proposed project.
    Applicants should use no more than 2 pages for this application 
sub-element.
    Sub-Element II(b). Project Strategy and Design Framework: 
Interventions, [[Page 18675]] Outcomes, and Goals (Weight of 0-10 
points in proposal review.)
    To continue with the ``logic model'':
    The underlying assumptions concerning client needs and the theory 
of how they can be effectively addressed, which are discussed above, 
lead in the project design to the conduct of a variety of project 
activities or interventions, each of which is assumed to result in 
immediate changes, or outcomes.
    The immediate changes lead to intermediate outcomes; and the 
intermediate outcomes lead to the final project goals.
    So in this sub-element the applicant should describe the major 
activities, or interventions, which are to be carried out to address 
the needs and problems identified in the previous sub-element. And it 
should discuss the immediate changes, or outcomes, which are expected 
to result. These are the results expected from each service or 
intervention immediately after it is provided. For example, a job 
readiness training program might be expected to result in clients 
having increased knowledge of how to apply for a job, improved grooming 
for job interviews, and improved job interview skills. Or peer 
mentoring coupled with training in dispute settlement might be expected 
to result in young urban clients acquiring skills useful in avoiding 
violent confrontations.
    At the next level are the intermediate outcomes which result from 
these immediate changes. Often an intermediate project outcome is the 
result of several immediate changes resulting from a number of related 
interventions such as training and mentoring. Intermediate project 
outcomes should be expressed in measurable changes in knowledge, 
attitudes, behavior, or status/condition. In the above examples, the 
immediate changes achieved by the job readiness program could be 
expected to lead to intermediate outcomes of client employment and 
increased income. The acquisition of dispute settlement skills, coupled 
with mentoring, could be expected to result in the actual avoidance of 
confrontation and violence.
    Finally, the application should describe how the achievement of 
these intermediate outcomes will be expected to lead to the attainment 
of the project goals: Employment, new careers in environmental clean-
up, successful business ventures, enrollment in post secondary 
education, or whatever they may be. Applicants must remember that if 
the major focus of the project is to be the development and start-up of 
a new business, then a Business Plan which follows the outline in 
Attachment B to this announcement must be submitted as an appendix to 
the Proposal.
    Applicants don't have to use the exact ``logic model'' terminology 
described above, but it is important to describe the project in a way 
that makes clear the expected cause-and-effect relationship between 
what the project plans to do--the activities or interventions, the 
changes that are expected to result, and how those changes will lead to 
achievement of the project goals of greater self-sufficiency.
    This design section should cover no more than 3 pages of the 
proposal.
    Sub-Element II(c). Work Plan (Weight of 0-5 points in proposal 
review).
    Once the project strategy and design framework are established, the 
applicant should present the highlights of a work plan for the project. 
The plan should explicitly tie into the project design framework and 
should be feasible, i.e., capable of being accomplished with the 
resources and partners available. The plan should briefly describe the 
key project tasks, and show the timelines and major milestones for 
their implementation. Critical issues or potential problems that might 
affect the achievement of project objectives should be explicitly 
addressed, with an explanation of how they would be overcome, and how 
the objectives will be achieved notwithstanding any such problems. The 
plan should be presented in such a way that it can be correlated with 
the budget narrative included earlier in the application.
    The applicant should use no more than 2 pages for this part of this 
proposal element.
    Applicant may be able to use a simple Gantt or time line chart to 
convey the work plan in minimal space.
Element III. Project Partnerships
    (Weight of 0-15 points in the proposal review.)

    Suitable project partners are a required component of the 
Demonstration Partnership Program, and are critical to the kind of 
service concentration and systemic change envisioned by OCS. Project 
partners should have skills, resources, and experience that complement 
those of the applicant, so that the partnership is stronger than its 
individual parts. Applicants should use this section to identify their 
project partners, describe the roles that they have agreed to play, and 
document that at least 50% of the matching funds will be provided by 
these partners through the delivery of specific services or resources 
to the target population.
    The application should include, in an appendix, commitment letters 
from, or Partnership Agreements with these proposed partners signed by 
the executive of the partnering entity. These documents should describe 
the role of the partner in the project, including the relevant skills 
of the partner, the services to be provided, and the resources and 
levels of effort to be provided to the project.
    Applicants should use no more than 3 pages for this proposal 
element (plus the Partnership Agreement(s) in the appendix).
Element IV. Project Innovations
(Weight of 0 to 10 points in the proposal review.)

    Applicant should briefly describe the ways in which the proposed 
project represents a new and innovative approach or approaches to 
provide for greater self-sufficiency of the poor and/or to deal with 
particularly critical needs or problems of the poor that are common to 
a number of communities. Innovation can be in the characteristics of 
the target population to be served, or the needs to be addressed; the 
kinds of activities, or interventions, that will be carried out; the 
ways in which they will be carried out; new and different combinations 
of activities or interventions that will be implemented; or in the 
settings in which the project will function: e.g. new and innovative 
types of work or businesses or institutions in which the project will 
function.
    Applicants should use no more than 1 page for this proposal 
element.
Element V. Project Management and Organization
(Weight of 0 to 10 points in the proposal review.)

    While the experience of agency leadership is important to project 
success, the caliber of day-to-day project management is critical. 
Applicants should identify the Project Director and other key staff 
they feel are especially important to the success of the project, and 
include resumes as an appendix to the proposal. Where the staff have 
not been identified, a position description should be included in the 
appendix. The application should describe their relevant capabilities 
for managing this multi-faceted project, with emphasis placed on 
successful management experience in directing both on-budget and 
leveraged resources to create community conditions capable of 
supporting effective interventions and transforming lives. This 
individuals' commitment and planned level-of-effort [[Page 18676]] to 
the project should be specified. Project proposals will be assessed, 
for this element, on the relevant experience, capabilities, commitment 
and planned level of effort to the project of the Project Director and 
key staff members as described in the application.
    Applicants should also, in this section, describe (and diagram if 
necessary) the organization of the project. The relationships among the 
Project Director and the key officials in the applicant and partnering 
organizations should be depicted, and the project-related authorities 
and responsibilities of these key actors should be made clear.
    Applicants should use no more than 2 pages for this proposal 
element (plus the resumes and/or position descriptions in the 
appendix).
Element VI. Project Budget
(Weight of 0-5 points in the proposal review.)

    Applicants will be required to submit Federal budget forms with 
their proposals to provide basic applicant and project information (SF 
424) and information about how Federal and other project funds will be 
used (424A). In addition to and immediately following the completed 
Federal budget forms, applicants must submit a Budget Narrative, or 
explanatory budget information. This Budget Narrative is not considered 
a part of the Project Narrative, and does not count as part of the 
twenty pages; but rather is included in the application following the 
budget forms.
    The budget narrative should briefly explain the adequacy of the 
Federal and match funds to accomplish project purposes, should explain 
the source and nature of matching funds, and should identify and 
briefly explain any imbalances between level of activities undertaken 
and project funds expended. Applicants should nonetheless use no more 
than two or three pages for this proposal element (not including the 
federal budget forms).
    Resources in addition to the required matching amounts are 
encouraged by OCS, both to augment project resources and to strengthen 
the basis for continuing partnerships to benefit the target community. 
The amounts of such resources beyond the required match, their 
appropriateness to the project design, and the likelihood that they 
will continue beyond the project time frame will be taken into account 
in judging the application.
Element VII. Project Evaluation
(Weight of 0-15 points in the proposal review.)

    Sound evaluations are essential to the Demonstration Partnership 
Program. OCS requires applicants to include in their applications a 
well thought through outline of an evaluation plan for their project. 
The outline should explain how the applicant proposes to answer the key 
questions about how effectively the project is being/was implemented 
(the Process Evaluation) and whether and why/why not the project 
activities, or interventions achieved the expected outcomes and goals 
of the project (the Outcome Evaluation).
    Applicants are not being asked to submit a complete and final 
Evaluation Plan as part of their proposal; but they must include:
    (1) A well thought through outline of an evaluation plan which 
identifies the principal cause-and-effect relationships to be tested, 
and which demonstrates the applicant's understanding of the role and 
purpose of both Process and Outcome Evaluations (see previous 
paragraph);
    (2) The identity and qualifications of the proposed third party 
evaluator, or if not selected, the qualifications which will be sought 
in choosing an evaluator, which must include successful experience in 
evaluating social service delivery programs, and the planning and/or 
evaluation of programs designed to foster self-sufficiency in low 
income populations; and
    (3) A commitment to the selection of a third-party evaluator 
approved by OCS, and to completion of a final evaluation design and 
plan, in collaboration with the approved evaluator and the OCS 
Evaluation Technical Assistance Contractor during the six-month start-
up period of the project, if funded.
    Applicants should ensure, above all, that the evaluation outline 
presented is consistent with their project design. A clear project 
framework of the type recommended earlier identifies the key project 
assumptions about the target populations and their needs, and the 
hypotheses, or expected cause-effect relationships to be tested in the 
project: that the proposed project activities, or interventions, will 
address those needs in ways that will lead to the achievement of the 
project goals of self-sufficiency. It also identifies in advance the 
most important process and outcome measures that will be used to 
identify performance success and expected changes in individual 
participants, the grantee organization, and the community.
    For these reasons, the evaluator that the applicant expects to work 
with should be involved--at least briefly but substantively--in the 
development of the project design and proposal.
    The applicant should use no more than 3 pages for this proposal 
element, plus the Resume or Position Description for the evaluator, 
which should be in an Appendix.
Element VIII. Significant and Beneficial Impact
(Weight of 0-10 points in the proposal review.)

    OCS seeks, with its Demonstration Partnership Program, to use a 
modest amount of money to support innovative approaches that will 
create significant benefits for low-income individuals, families, and 
communities. Accordingly, it intends to make grants that have a strong 
likelihood of creating beneficial impacts both within the project 
communities and, through wide dissemination of useful project results 
and findings, in other communities facing similar challenges.
    The proposed project is expected to lead to tangible achievements 
toward individual and family self-sufficiency and, as a result, 
verifiable reductions in the incidence of poverty in the targeted 
community. Applicants should summarize, in this section, the beneficial 
impacts that they propose to make in that community, their expectations 
for the continuation of those benefits beyond the project's life, and 
the kind of information that they expect to share with OCS and the 
social service/community development fields from their demonstration 
project. Project proposals will be assessed, for this element, on the 
likely value of the project to the target community over time--given 
the proposed outcomes and the likelihood that they will be realized--
and to the larger community of CSBG grantees across the nation.
    Applicants should use no more than 1 page for this proposal 
element. The score for the element will be based to some extent on the 
coherence and feasibility of the entire application.
Element IX. Community Empowerment Consideration
(Weight of 0-5 points in proposal review.)

    Special consideration will be given to applicants who are located 
in areas which are characterized by poverty and other indicators of 
socio-economic distress such as a poverty rate of at least 20%, 
designation as an Empowerment Zone or Enterprise Community, high levels 
of unemployment, and a high incidence of violence, gang activity, 
crime, or drug use. If such is the case, applicants should document 
that they [[Page 18677]] were involved in the preparation and planned 
implementation of a comprehensive community-based strategic plan to 
achieve both economic and human development in an integrated manner and 
how the proposed project supports the goal(s) of that plan. (0-5 
points)
    Applicants should use no more than 1 page for this proposal 
element.

B. Special Program Elements, Review and Assessment Criteria for 
Applications for Replication Projects Under Priority Area 2.0

    The Project Narrative should begin with the statement that the 
proposal is for a replication project in priority area 2.0, and 
identify which of the projects described in Part II is to be 
replicated. Note that proposals for replication of the Philadelphia; 
Yakima, Washington; and Bath, Maine projects are limited to a maximum 
grant amount of $350,000 with a 100% match, similar to General 
Demonstrations under Priority Area 1.0. Proposals for replication of 
the Phoenix project will, for purposes of grant amount and match 
requirement, be considered Urban Youth Projects under Priority Area 4.0 
with a maximum grant amount of $500,000 and a required match of 25% of 
the OCS grant amount. In all other respects, proposals for replication 
of the Phoenix project should follow the elements and criteria of this 
Sub-Part, which follow.
Element I. Organizational Experience and Capability
(Weight of 0 to 5 points in proposal review.)

[This element should be the same as under Priority Areas 1.0 and 4.0, 
and should take no more than 2 pages of the Project Narrative.]
Element II. Project Theory, Design, and Plan
(Total Weight of 0-25 points in proposal review.)

    OCS seeks to learn from this element of the application why and how 
the project as proposed is expected to lead to significant improvements 
in individual and family self-sufficiency.
    Applicants may find it helpful to design and present their project 
in terms of a conceptual cause-effect framework. A ``logic model'' that 
may be helpful is developed in the following paragraphs.
    Sub-Element II(a). Description of Target Population, Analysis of 
Need, and Project Assumptions. (Weight of 0-10 points in application 
review.)
    The ``logic model'' begins with identifying the underlying 
assumptions about the program. These are the beliefs on which the 
proposed program is built: The assumptions about the needs of the 
client population to be served; about the current services available to 
those clients, and where and how they fail to meet their needs; about 
why the proposed services or interventions are appropriate, and will 
meet those needs; and about the impact the proposed interventions will 
have on the clients.
    In other words, the underlying assumptions of the program are the 
applicant's analysis of the needs and problems to be addressed by the 
project, and the applicant's theory of how its proposed interventions 
will address those needs and problems to achieve the desired result. In 
this sub-element of the proposal the applicant should precisely 
identify the target population to be served. The geographic area to be 
impacted should then be briefly highlighted, selectively emphasizing 
the socioeconomic/poverty and other data that are relevant to the 
project design.
    The needs of this target population should then be clearly defined, 
with particular attention to whether and how the characteristics and 
needs of this target population appear to differ from those of the 
project being replicated (the Host Project). The applicant should state 
its underlying assumptions about how these needs can be addressed by 
the proposed project, including its assumptions about any modifications 
to the design and interventions of the Host Project that it believes 
are needed to address such differences.
    Applicants should use no more than 2 pages for this application 
sub-element.
    Sub-Element II(b). Project Strategy and Work Plan: Interventions, 
Outcomes, and Goals. (Weight of 0-15 points in proposal review.)
    To continue with the ``logic model'':
    The underlying assumptions concerning client needs and the theory 
of how they can be effectively addressed, which are discussed above, 
lead in the project design to the conduct of a variety of project 
activities or interventions, each of which is assumed to result in 
immediate changes, or outcomes.
    The immediate changes lead to intermediate outcomes; and the 
intermediate outcomes lead to the final project goals.
    In this sub-element, applicants for replication projects under 
Priority Area 2.0 should explain the strategy and design of the project 
being replicated (the Host Project), and how they plan to implement 
and/or adapt the activities, or interventions of the Host Project to 
the particular needs of the new target population and the setting of 
the replication project, as described in the previous sub-element. The 
applicant should describe the immediate changes expected to result from 
the project activities, or interventions, and how they can lead to 
intermediate outcomes, and in turn to attainment of the final project 
goals.
    Again, applicants don't have to use this exact terminology, but it 
is important to describe the project in a way that makes clear the 
expected cause-and-effect relationship between what the project plans 
to do--the activities or interventions, the changes that are expected 
to result, and how those changes will lead to achievement of the 
project goals of greater self-sufficiency.
    Finally, the applicant should present the highlights of a work plan 
for the project patterned after the work plan of the Host Project, and 
highlight any differences from that plan. It should explicitly tie into 
the project design framework and should be feasible, i.e., capable of 
being accomplished with the resources and partners available. The plan 
should briefly describe the key project tasks, and show the timelines 
and major milestones for their implementation. Critical issues or 
potential problems that might affect the achievement of project 
objectives should be explicitly addressed, with an explanation of how 
they would be overcome, and how the objectives will be achieved 
notwithstanding any such problems. The plan should be presented in such 
a way that it can be correlated with the budget narrative developed 
later in the application.
    The applicant should use no more than 4 pages for this proposal 
sub-element. Applicant may be able to use a simple Gantt or time line 
chart to convey the work plan in minimal space.
Element III. Project Partnerships
(Weight of 0-30 points in the proposal review.)

    Sub-element III(a). Arrangements with Host Project. (Weight of 0-15 
points in the proposal review.)
    Applicant must have made arrangements with the project to be 
replicated (the Host Project) for an extensive site visit or site 
visits by key staff to the Host Project, during which such staff can 
receive orientation training and actually serve a brief apprenticeship 
in the program. In addition, provision should be made for a site visit 
by staff of the Host Project to the Replication Project during the 
first year of its operations.
    In this sub-element applicant should briefly describe the steps 
that it has taken to learn about the design, work plan, and findings of 
the Host Project, and the arrangements that have been 
[[Page 18678]] made for site visits and/or apprenticeships. The 
proposed Project Budget should make provision for the costs of such 
site visits/apprenticeships, as well as for appropriate consulting fees 
for staff of the Host Project; and the application should include, as 
an appendix, a Memorandum of Understanding or Letter of Agreement 
between the applicant and the Host Project setting forth training/
apprenticeship undertakings and the attendant financial arrangements.
    Applicants should use no more than 3 pages for this proposal 
element (plus the Memorandum of Understanding or Letter of Agreement 
with the Host Project, which should be in an Appendix).
    Sub-element III(b). Project Partnerships. (Weight of 0-15 points in 
the proposal review.)
    Suitable project partners are a required component of the 
Demonstration Partnership Program, and are critical to the kind of 
service concentration and systemic change envisioned by OCS. Project 
partners should have skills, resources, and experience that complement 
those of the applicant, so that the partnership is stronger than its 
individual parts. Applicants should use this section to identify their 
project partners, describe the roles that they have agreed to play, and 
document that at least 50% of the required match will be provided by 
these partners through the delivery of specific services or resources 
to the target population.
    The application should include, in an appendix, commitment letters 
from, or Partnership Agreements with these proposed partners signed by 
the executive of the partnering entity. These documents should describe 
the role of the partner in the project, including the relevant skills 
of the partner, the services to be provided, and the resources and 
levels of effort to be provided to the project.
    Applicants should use no more than 2 pages for this proposal 
element (plus the Partnership Agreement(s) in the Appendix).
Element IV. Project Management and Organization
(Weight of 0 to 10 points in the proposal review.)

[This element should be the same as Element V under Priority Areas 1.0 
and 4.0 and should take no more than 2 pages of the Project Narrative]
Element V. Project Budget
(Weight of 0-5 points in the proposal review.)

    Applicants will be required to submit Federal budget forms with 
their proposals to provide basic applicant and project information (SF 
424) and information about how Federal and other project funds will be 
used (424A). In addition to and immediately following the completed 
Federal budget forms, applicants must submit a Budget Narrative, or 
explanatory budget information. This Budget Narrative is not considered 
a part of the Project Narrative, and does not count as part of the 
twenty pages; but rather is included in the application following the 
budget forms.
    The budget narrative should briefly explain the adequacy of the 
Federal and match funds to accomplish project purposes, should explain 
the source and nature of matching funds, and should identify and 
briefly explain any imbalances between level of activities undertaken 
and project funds expended.
    Resources in addition to the required matching amounts are 
encouraged by OCS, both to augment project resources and to strengthen 
the basis for continuing partnerships to benefit the target community. 
The amounts of such resources beyond the required match, their 
appropriateness to the project design, and the likelihood that they 
will continue beyond the project time frame will be taken into account 
in judging the application.
    For replication projects under Priority Area 2.0 the budget and 
budget narrative must include provision for the costs of site visits/
apprenticeships pursuant to the arrangements between the applicant and 
the Host Project, as well as for appropriate consulting fees for staff 
of the Host Project as provided in the Memorandum of Understanding or 
Letter of Agreement between the parties.
    Although as noted, the Budget Narrative does not count against the 
twenty page limitation on the Project Narrative, applicants should use 
no more than two or three pages for this proposal element (not 
including the federal budget forms).
Element VI. Project Evaluation
(Weight of 0-10 points in the proposal review.)

[This element should be the same as Element VII under Priority Areas 
1.0 and 4.0, and should not use more than 3 pages of the Project 
Narrative.]
Element VII. Significant and Beneficial Impact
(Weight of 0-10 points in the proposal review.)

[This element should be the same as Element VIII under Priority Areas 
1.0 and 4.0, and should not use more than 1 page of the Project 
Narrative.]
Element VIII. Community Empowerment Consideration
(Weight of 0-5 points in proposal review.)

[This element should be the same as Element IX under Priority Areas 1.0 
and 4.0, and should not use more than 1 page of the Project Narrative.]

C. Program Elements, Review and Assessment Criteria for Applications 
for EZ/EC Continuous Improvement Grants Under Priority Area 3.0

Element I. Organizational Experience and Capability
(Weight of 0 to 10 points in proposal review.)

[This element should be the same as under Priority Areas 1.0 and 4.0, 
and should take no more than 2 pages of the Project Narrative.]
Element II. Relationship to EZ/EC Strategic Planning Process
(Weight of 0-25 points in proposal review.)
    Applicants should describe the part they played in the development 
of the community's EZ/EC Strategic Plan, and provide evidence of a 
continuing collaborative relationship with the public and private 
agencies which took part in the planning process. The OCS review 
process will give the highest scores to applicants who can show that 
they were intimately involved in the development of the Strategic Plan 
and will be active participants in its implementation. Letters of 
support from involved community agencies may be included in the 
appendix to the proposal to support applicant's role in the process.

[Applicant should use no more than 3 pages for this proposal element, 
plus any support letters included in the appendix.]
Element III. Project Goals, Activities, and Work Plan
(Weight of 0-25 points in proposal review.)

    In this element the applicant should:
    (1) Define its goals in relation to the Strategic Plan 
implementation, the involvement of low income residents, and the 
collection of data concerning both the implementation process and the 
impact of programs carried out as part of the Strategic Plan;
    (2) Describe the activities it is proposing to carry out which it 
expects will lead to the achievement of these goals; and 
[[Page 18679]] 
    (3) Present the highlights of a work plan briefly describing the 
key project tasks and showing the timelines and major milestones for 
their implementation.
    Applicant should use no more than 4 pages for this proposal 
element.
Element IV. Partnerships
(Weight of 0-15 points in proposal review.)

    Suitable project partners are a required component of the 
Demonstration Partnership Program, and are critical to the kind of 
involvement by the applicant in the community's Strategic Plan 
implementation which is envisioned by OCS. Project partners should also 
have important roles in the community, and should have skills, 
resources, and experience that complement those of the applicant. 
Applicants should use this section to identify their project partners, 
describe the roles that they have agreed to play, and document that at 
least 50% of the required match will be provided by these partners 
through the provision of specific services or resources to the project.
    The application should include, in an Appendix, commitment letters 
from these proposed partners signed by the executive of the partnering 
entity, and briefly describing the role of the partner in the project, 
including the relevant skills of the partner, and the resources and 
levels of effort to be provided to the project.
    Applicants should use no more than 3 pages for this proposal 
element (plus the partnership letter(s) in the Appendix).
Element V. Project Management and Organization
(Weight of 0-15 points in proposal review.)

    Applicants should identify the Project Director and other key staff 
they feel are especially important to the success of the project, and 
include resumes as an appendix to the proposal. Where the staff members 
have not been identified, position descriptions should be included in 
the appendix. Applicants should also, in this section, describe (and 
diagram if necessary) the organization of the project. The 
relationships among the Project Director and the key officials in the 
applicant and partnering organizations should be depicted, and the 
project related authorities and responsibilities of these key actors 
should be made clear.
    Applicants should use no more than 2 pages for this proposal 
element (plus the resumes and/or position descriptions in the 
appendix).
Element VI. Project Budget
(Weight of 0-10 points in the proposal review.)

    Applicants will be required to submit Federal budget forms with 
their proposals to provide basic applicant and project information (SF 
424) and information about how Federal and other project funds will be 
used (424A). In addition to and immediately following the completed 
Federal budget forms, applicants must submit a Budget Narrative, or 
explanatory budget information. This Budget Narrative is not considered 
a part of the Project Narrative, and does not count as part of the 
twenty pages; but rather is included in the application following the 
budget forms.
    The budget narrative should briefly explain the adequacy of the 
Federal and match funds to accomplish project purposes, and should 
explain the source and nature of matching funds.
    Although as noted, the Budget Narrative does not count against the 
twenty page limitation on the Project Narrative, applicants should use 
no more than one or two pages for this proposal element (not including 
the federal budget forms).

Part V. Application Procedures

A. Availability of Forms

    Attachments D through J 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 Notice contain all the 
instructions required for submittal of applications.
    Additional copies of this Announcement may be obtained by writing 
or telephoning the office listed under the section entitled FOR FURTHER 
INFORMATION CONTACT at the beginning of this announcement. In addition, 
it 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.

B. Application Submission

    1. Number of Copies Required. One signed original application and 
four copies should be submitted. (Approved by the Office of Management 
and Budget under Control Number 0970-0062.)
    2. Acknowledgment of Receipt. All applicants will receive an 
acknowledgement 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. The assigned 
identification 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) 401-9365.
    3. Deadlines: The closing date for receipt of applications is June 
12, 1995. To be considered as meeting the deadline, applications must 
be received before 4:30 p.m. EDST on the deadline date at the ACF 
Office of Financial Management, Division of Discretionary Grants, 6th 
Floor OFM/DDG, 370 L'Enfant Promenade, SW, Washington, DC 20447.
    4. 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 ACF Guard 
Station, 901 D Street, SW, Washington, DC during the normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday.
    5. Late Applications: Applications which do not meet the criteria 
above will be considered late applications. ACF will notify each late 
applicant that its application will not be considered in this 
competition.
    6. Extension of Deadline. ACF 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 ACF does not 
extend the deadline for all applicants, it may not waive or extend the 
deadline for any applicant.

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, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, 
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia, 
[[Page 18680]] 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 nineteen 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. 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, SW, 
Washington, DC 20447. A list of the Single Points of Contact for each 
State and Territory is included at Attachment L to this announcement.

D. Application Consideration

    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 Legislative Authority, the 
Priority Areas outlined in Part III, and the Application Elements and 
Review 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 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 Attachment D to this Announcement.
    b. A project narrative must also accompany the standard forms, and 
must be limited to no more than twenty (20) pages, typewritten on one 
side of the paper only, in type no smaller than 12 c.p.i., 11 point, or 
equivalent, with margins no less than one inch. Charts, exhibits, 
letters of support, cooperative agreements, resumes and position 
descriptions are not counted against this page limit and should be 
included in the appendices to the proposal. It is strongly recommended 
that you follow the format for the narrative discussed in Part IV, 
Application Elements and Review Criteria.
    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 or replication projects under 
Priority Areas 1.0 and 2.0 (other than an application for replication 
of the Step-Up Young Father Mentor Program in Phoenix, AZ, which may 
request up to $500,000); does not exceed $50,000 for EZ/EC Continuous 
Improvement projects under Priority Area 3.0; or does not exceed 
$500,000 for Urban Youth projects under Priority Area 4.0.
    c. Matching Funds: The required match has been firmly committed in 
the form of letters of commitment or intent to commit the required 
matching funds contingent only upon receipt of OCS funds. Such letters 
must be included as appendices to the application.
    d. Target Populations: The application clearly serves low-income 
participants and beneficiaries as defined in Part II, Section E.
    e. Partnership Agreements: Partnership arrangements have been 
briefly described in the application and a copy of the partnership 
agreement(s) describing the partnership arrangements and containing a 
letter of commitment or intent to commit from the prospective 
partner(s), contingent only upon receipt of OCS funds, has been 
included in the appendix.
    f. Project Evaluation: The outline of a third-party project 
evaluation plan is an element of the application, and includes a 
commitment to the selection of a third party evaluator approved by OCS 
and to completion of a final evaluation design and plan in 
collaboration with the approved evaluator and the OCS Evaluation 
Technical Assistance Contractor during the six-month start-up 
[[Page 18681]] period. A resume or position description of the 
evaluator should be included in the appendix.
    g. Replication Project (Priority Area 2.0) only: The proposed 
project will be operated in a geographic area other than that in which 
the project being replicated (Host Project) was carried out, and 
arrangements for site visits/apprenticeships between the applicant and 
the Host Project are reflected in the proposal narrative and budget.
    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 Application Forms

(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. 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.
    Items 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
EZ/EC Continuous Grants: DE
Urban Youth: DY

    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: 36 months for 
all Applications (including up to 6 months start-up, a 24 months 
operational period 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: 
[[Page 18682]] 
    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. Travel costs to attend two national workshops in 
Washington, DC by the project director should be included (see Part 
VIII). 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.
    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, DC should be included (see Part VIII). 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. Free and open 
competition is encouraged for any procurement activities planned 
using ACF grant funds. Prior approval from OCS 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 Part VI, B, SF-424A, Section 
B, Line 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. [[Page 18683]] 
    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 if negotiated with an agency other than 
the Department of Health and Human Services.
    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 D) with the application.

Part VII--Contents of Application

    Each application submission should include a signed original and 
four additional copies of the application. Pages should be numbered 
sequentially throughout the application package, beginning with the 
Proposal Abstract as page number one, and 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 D;
    7. Attachments E and F, setting forth the Federal requirements 
concerning the drug-free workplace and debarment regulations with which 
the applicant is certifying that it will comply, by signing and 
submitting the SF-424.
    8. Certification Regarding Environmental Tobacco Smoke
    9. Restrictions on Lobbying--Certification for Contracts, Grants, 
Loans, and Cooperative Agreements: fill out, sign and date form found 
at Attachment H;
    10. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and 
date form found at Attachment I, if appropriate;
    11. A project narrative, limited to no more than twenty (20) pages, 
which includes all of the elements described in Part IV, according to 
the project Priority Area:

[Specific information/data required under each component is described 
in Part IV Application Elements and Review Criteria.]

    The total number of pages for the narrative portion of the 
application package must not exceed 20 pages, excluding Appendices. 
Typewritten on one side of the paper only, in type no smaller than 12 
c.p.i., 11 point, or equivalent, with margins no less than one inch. 
Pages should be numbered sequentially throughout the application 
package, excluding Appendices, beginning with the Abstract as Page #1.
    12. Appendices, including Maintenance of Effort Certification (See 
Attachment J); letter signed by State CSBG Director; partnership 
agreements signed by the partners; statement regarding the date of 
incorporation; Single Point of Contact comments, if applicable and 
available; resumes and/or position descriptions; a Business Plan if 
appropriate or required (see Program Sub-Element IIb); Certification 
Regarding Lobbying, if appropriate; and letters of match commitment or 
letters of intent.
    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 twenty 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-hole 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 M provides a checklist to applicants in preparing a 
complete application package.

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 
[[Page 18684]] 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, DC which will be 
scheduled shortly after the effective date of the grant, during the 6-
month start-up period. 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 semi-annual 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 Pub. L. 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 Attachments H and I for certification and disclosure 
forms to be submitted with the applications for this program.
    Attachment K indicates the regulations which apply to all 
applicants/grantees under the Demonstration Partnership Program.

    Dated: April 4, 1995.
Donald Sykes,
Director, Office of Community Services.

Attachment A

Environmental Justice and Sustainable Community Development

    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. Toxic Waste and Race 
Revisited, Center for Policy Alternatives, 1994, a study co-sponsored 
by the Center for Policy Alternatives, the NAACP, and the United Church 
of Christ Commission for Racial Justice, using data updated to 1993 
from the 1990 U.S. Census, found that ``Despite growing national 
attention to the issue of `environmental justice', people of color 
today are even more likely than whites to live in communities with 
commercial hazardous waste facilities than they were a decade ago. The 
disproportionate environmental impacts first identified and documented 
in the 1987 report * * * have grown more severe.''
    A study by the National Law Journal published in 1992 included 
among many of its findings that over the previous 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 they consider 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. [[Page 18685]] 
    Nor has there been until recently a realization that these same 
environmental justice issues offer unprecedented opportunities for the 
creation of long term, well paid jobs with career potential in work 
that can be meaningful and satisfying in terms of human needs. On 
February 11, 1994 President Clinton issued Executive Order 12898: 
``Federal Actions To Address Environmental Justice in Minority 
Populations and Low-Income Populations'', calling on each Federal 
Department and Agency to ``develop an agency-wide environmental justice 
strategy * * * that identifies and addresses disproportionately high 
and adverse human health or environmental effects of its programs * * 
*''. The Draft Environmental Justice Strategy of the Department of 
Health and Human Services includes the following Strategy:

    *Make the development and support of community-based projects 
that create environmentally-related jobs and career opportunities 
for low-income and minority residents a high priority for all the 
Department's programs that deal with job training, job and economic 
development, job support services and welfare reform.
    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.''

    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, 730 Jackson Place NW., Washington, DC 20503, Contact: 
Angela Park (202) 408-5342, Information on local and national 
organizations involved with Sustainable Community Development.
Rural Development Administration, U.S. Department of Agriculture AG 
3202, Washington, DC 20250-3202, Contacts: Stanley Zimmerman, (202) 
690-2514, [email protected], Information and resources on Rural 
Economic and Community Development.
Cooperative State Research Service, U.S. Department of Agriculture, 370 
L'Enfant Promenade, SW., 3rd Floor, Washington, DC 20250-2260, Contact: 
Dr. Dan Kugler (202) 401-6861, Deputy Administrator for Special 
Programs, Information on New Uses and Markets for Agricultural 
Products, Sustainable Agriculture, and Aquaculture.
Office of Community Planning and Development, HUD, 451 7th Street SW., 
Room 7244, Washington, DC 20410, Contact: Andy Euston, Leader for 
Sustainable Community Development Explorations (202) 708-1911, 
Information on Sustainable Community Development; referral to local and 
regional resources.
Office of Assistant to the Secretary for Labor Relations, HUD, 451 7th 
Street SW., Room 7118, Washington, DC 20410, Contact: Richard S. Allan, 
Deputy Assistant, (202) 708-0370, Information on training for lead 
abatement and toxic materials, handling and disposal, and Project Step-
Up.
Office of Lead Paint Abatement and Poisoning Prevention, 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.
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.
Energy-Efficiency and Renewable Energy Clearinghouse, U.S. Department 
of Energy, Write: EREC, PO 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.

Attachment B: Outline of Business Plan

    The Business Plan should include the following:
    1. The business and its industry. This section should describe the 
nature and history of the business and provide some background on its 
industry.
    a. The Business: as a legal entity; the general business category;
    b. Description and Discussion of Industry: Current status and 
prospects for the industry;
    2. Products and Services: This section deals with the following:
    a. Description: Describe in detail the products or services to be 
sold;
    b. Proprietary Position: Describe proprietary features of any of 
the products, e.g. patents, trade secrets; and
    c. Potential: Features of the product or service that may give it 
an advantage over the competition.
    3. Market Research and Evaluation: This section should present 
sufficient information to show that the product or service has a 
substantial market and can achieve sales in the face of competition;
    a. Customers: Describe the actual and potential purchasers for the 
product or service by market segment.
    b. Market Size and Trends: State the size of the current total 
market for the product or service offered;
    c. Competition: An assessment of the strengths and weaknesses of 
competitive products and services;
    d. Estimated Market Share and Sales: Describe the characteristics 
of the product or service that will make it competitive in the current 
market.
    4. Marketing Plan: The marketing plan should detail the product, 
pricing, distribution, and promotion strategies that will be used to 
achieve the estimated market share and sales projections. The marketing 
plan must describe what is to be done, how it will be done and who will 
do it. The plan should address the following topics--Overall Marketing 
Strategy, Packaging, Service and Warranty, Pricing, Distribution and 
Promotion.
    5. Design and Development Plans: If the product, process or service 
of the [[Page 18686]] proposed venture requires any design and 
development before it is ready to be placed on the market, the nature 
and extent and cost of this work should be fully discussed. The section 
should cover items such as Development Status and Tasks, Difficulties 
and Risks, Product Improvement and New Products, and Costs.
    6. Manufacturing and Operations Plan: A manufacturing and 
operations plan should describe the kind of facilities, plant location, 
space, capital equipment and labor force (part and/or full time and 
wage structure) that are required to provide the company's product or 
service.
    7. Management Team: The management team is the key in starting and 
operating a successful business. The management team should be 
committed with a proper balance of technical, managerial and business 
skills, and experience in doing what is proposed. This section must 
include a description of: the key management personnel and their 
primary duties; compensation and/or ownership; the organizational 
structure; Board of Directors; management assistance and training 
needs; and supporting professional services.
    8. Overall Schedule: A schedule that shows the timing and 
interrelationships of the major events necessary to launch the venture 
and realize its objectives. Prepare, as part of this section, a month-
by-month schedule that shows the timing of such activities as product 
development, market planning, sales programs, and production and 
operations. Sufficient detail should be included to show the timing of 
the primary tasks required to accomplish each activity.
    9. Critical Risks and Assumptions: The development of a business 
has risks and problems and the Business Plan should contain some 
explicit assumptions about them. Accordingly, identify and discuss the 
critical assumptions in the Business Plan and the major problems that 
will have to be solved to develop the venture. This should include a 
description of the risks and critical assumptions relating to the 
industry, the venture, its personnel, the product's market appeal, and 
the timing and financing of the venture.
    10. Community Benefits: The proposed project must contribute to 
economic, community and human development within the project's target 
area. A section that describes and discusses the potential economic and 
non-economic benefits to low-income members of the community must be 
included as well as a description of the strategy that will be used to 
identify and hire individuals being served by public assistance 
programs and how linkages with community agencies/organizations 
administering the JOBS program will be developed. The following project 
benefits must be described:

Economic

--Number of permanent jobs that will be created for low-income people 
during the grant period;
--Number of jobs to be created for low-income people that will have 
career development opportunities and a description of those jobs;
--Number of jobs that will be filled by individuals on public 
assistance;
--Ownership opportunities created for poverty-level project area 
residents;
--Specific steps to be taken to promote the self-sufficiency of program 
participants.

    Other benefits which might be discussed are:

Human Development

--New technical skills development and associated career opportunities 
for community residents;
--Management development and training.

Community Development

--Development of community's physical assets;
--Provision of needed, but currently unsupplied, services or products 
to community;
--Improvement in the living environment.

    11. The Financial Plan: The Financial Plan is basic to the 
development of a Business Plan. Its purpose is to indicate the 
project's potential and the timetable for financial self-sufficiency. 
In developing the Financial Plan, the following exhibits must be 
prepared for the first three years of the business' operation:
    a. Profit and Loss Forecasts-quarterly for each year;
    b. Cash Flow Projections-quarterly for each year;
    c. Pro forma balance sheets-quarterly for each year;
    d. Initial sources of project funds;
    e. Initial uses of project funds; and
    f. Any future capital requirements and sources.

                              Attachment C                              
------------------------------------------------------------------------
                                                               Poverty  
                    Size of family unit                       guideline 
------------------------------------------------------------------------
1995 Poverty Income Guidelines for All States (Except Alaska and Hawaii)
                      and the District of Columbia                      
1..........................................................       $7,470
2..........................................................       10,030
3..........................................................       12,590
4..........................................................       15,150
5..........................................................       17,710
6..........................................................       20,270
7..........................................................       22,830
8..........................................................       25,390
                                                                        
     For family units with more than 8 members, add $2,560 for each     
 additional member. (The same increment applies to smaller family sizes 
               also, as can be seen in the figures above.)              
                                                                        
------------------------------------------------------------------------
                  Poverty Income Guidelines for Alaska                  
                                                                        
------------------------------------------------------------------------
1..........................................................        9,340
2..........................................................       12,540
3..........................................................       15,740
4..........................................................       18,940
5..........................................................       22,140
6..........................................................       25,340
7..........................................................       28,540
8..........................................................       31,740
                                                                        
     For family units with more than 8 members, add $3,200 for each     
 additional member. (The same increment applies to smaller family sizes 
               also, as can be seen in the figures above.)              
                                                                        
------------------------------------------------------------------------
                  Poverty Income Guidelines for Hawaii                  
                                                                        
------------------------------------------------------------------------
1..........................................................        8,610
2..........................................................       11,550
3..........................................................       14,490
4..........................................................       17,430
5..........................................................       20,370
6..........................................................       23,310
7..........................................................       26,250
8..........................................................       29,190
                                                                        
For family units with more than 8 member, add $2,940 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-M
[[Page 18687]]

[GRAPHIC][TIFF OMITTED]TN12AP95.000


BILLING CODE 4184-01-C
[[Page 18688]]

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 or 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 applicants's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.

                                                 BILLING CODE 4184-01-M
[[Page 18689]]

[GRAPHIC][TIFF OMITTED]TN12AP95.001


[[Page 18690]]

[GRAPHIC][TIFF OMITTED]TN12AP95.002



BILLING CODE 4184-01-C
[[Page 18691]]

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 on 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 Column (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 the totals of Lines 6a to 6h 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 Column (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 agency 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 the total for each of Columns (b)-(e). The amount 
of 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 
[[Page 18692]] 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 personnel or organizational conflict of interest, or 
personal gains.
    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 of a Merit 
System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statues 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. 290dd-3 and 290ee-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 refinancing 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.O. 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.
    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 Safe Drinking Water 
Act of 1974, as amended, (P.L. 93-523); and (h) protection of 
endangered species under the Endangered Species Act of 1973, as 
amended, (P.L. 93-205)
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers systems.
    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 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 
paint in construction or rehabilitation of residence structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

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Attachment F

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 statute 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 of 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 Tire 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 form 
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 Esclusion--Lower Tier Covered Transactions. ``without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Attachment G

Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also 
known as the Pro-Children Act of 1994 (Act), requires that smoking 
not be permitted in any portion of any indoor facility owned or 
leased or contracted for by an entity and used routinely or 
regularly for the provision of health, day care, education, or 
library services to children under the age of 18, if the services 
are funded by Federal programs either directly or through State or 
local governments, by Federal grant, contract, loan, or loan 
guarantee. The law does not apply to children's services provided in 
private residences, facilities funded solely by Medicare or Medicaid 
funds, and portions of facilities used for inpatient drug or alcohol 
treatment. Failure to comply with the provisions of the law may 
result in the imposition of a civil monetary penalty of up to $1000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for children's services and that all subgrantees shall 
certify accordingly.

Attachment H

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 an 
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 required 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

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BILLING CODE 4184-01-C [[Page 18697]] 

Attachment J

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 meeting 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 K--DHHS Regulations Applying to All Applicants/Grantees 
Under the Demonstration Partnership Program

    Title 45 of the Code of Federal Regulations:

Part 16--Department of Grant Appeals Process
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 from 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--Non-discrimination 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 L

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, PO 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

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, DC 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,
PO 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:

[[Page 18698]] 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, PO. 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 and 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, PO 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, PO 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, PO. Box 41119, San Juan, Puerto 
Rico 00940-9985, Telephone (809) 727-4444

Virgin Islands

Jose L. George, Director, Office of Management and Budget, #41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802

    Please direct correspondence to:

Linda Clarke, Telephone (809) 774-0750

Attachment M--Checklist for Use in Submitting OCS Grant Applications 
(Optional)

    The application should contain:
    1. Proposal abstract--250 words or less.
    2. Table of Contents.
    3. 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.
    4. A completed SF-424A, ``Budget Information--Non-
Construction''.
    5. Narrative budget justification.
    6. A signed SF-424B, ``Assurances--Non-Construction''.
    7. Attachments E and F concerning drug free workplace and 
debarment regulations.
    8. Certification regarding Environmental Tobacco Smoke.
    9. A signed copy of ``Certification Regarding Anti-lobbying 
Activities'' (Attachment H).
    10. A completed Disclosure of Lobbying Activities, if applicable 
(Attachment I).
    11. A Project Narrative not to exceed twenty pages, which 
includes all of the elements described in Part IV.
    12. Appendices, including:

--Maintenance of Effort Certification (Attachment J)
--Letter signed by State CSBG Director certifying eligibility
--Partnership Agreements signed by the partners
--Single Point of Contact comments, if applicable and available
--Resumes and/or position descriptions
--A Business Plan if appropriate or required (see Program Sub-
Element IIb in Part IV)
--Letters of match commitment or letters of intent
--Statement regarding worker safety, if appropriate (see Part III, 
discussion of Program Priority Area 1.0)

[FR Doc. 95-8833 Filed 4-11-95; 8:45 am]
BILLING CODE 4184-01-M