[Federal Register Volume 62, Number 58 (Wednesday, March 26, 1997)]
[Notices]
[Pages 14536-14565]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-7520]
[[Page 14535]]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Request for Applications Under the Office of Community Services' Fiscal
Year 1997 Discretionary Grants Program; Notice
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 /
Notices
[[Page 14536]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-97-01]
Request for Applications Under the Office of Community Services'
Fiscal Year 1997 Discretionary Grants Program
AGENCY: Office of Community Services, ACF, DHHS.
ACTION: Request for applications under the Office of Community
Services' Discretionary Grants Program.
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SUMMARY: The Administration for Children and Families, Office of
Community Services (OCS) announces that competing applications will be
accepted for new grants pursuant to the Secretary's discretionary
authority under sections 681(a) and (b) of the Community Services Block
Grant Act of 1981, as amended. This Program Announcement consists of
nine parts:
Part A covers information on legislative authorities and defines
terms used in the Program Announcement;
Part B provides details on application prerequisites, funds
available in each priority area, limitations on grant amounts, project
periods, who should benefit from the programs, and other application
requirements;
Part C lists the two program priority areas under which grants will
be made, describes the types of projects that will be considered for
funding under each priority area, and defines which organizations are
eligible to apply;
Part D provides the criteria for review and evaluation of each
application to program elements of the program priority area;
Part E describes the application procedures, including the
availability of forms, where and how to submit an application, the
criteria used in screening and compliance with Federal requirements
regarding the drug-free workplace and debarment requirements in
submitting the application;
Part F describes the contents of the application package and
receipt process;
Part G provides instructions for completing the SF-424 following
standard Federal guidelines as well as OCS specific requirements, and
describes how the project narrative should be ordered and presented;
Part H details post-award information and reporting requirements;
and
Part I provides for an appendices of additional applicable Federal
Regulations in Attachments A-K.
CLOSING DATE: The closing time and date for receipt of applications is
4:30 p.m. ( Eastern Standard Time) May 27, 1997. Applications received
after 4:30 p.m. on that day will be classified as late. Postmarks and
other similar documents do not establish receipt of an application.
Detailed application submission instructions including the addresses
where applications must be received, are found in Part E of this
announcement.
FOR FURTHER INFORMATION CONTACT: Joseph Carroll, Office of Community
Services, Division of Community Discretionary Programs, Administration
for Children and Families, 370 L'Enfant Promenade, SW, Washington, D.C.
20447, telephone (202) 401-9345 and fax (202) 401-4687.
Table of Contents
Part A--Preamble
1. Legislative Authority
2. Departmental Goals
3. Definition of Terms
Part B--Application Prerequisites
1. Eligible Applicants
2. Availability of Funds
3. Project and Budget Periods
4. Mobilization of Resources
5. Program Beneficiaries
6. Number of Projects in Application
7. Multiple Submittals
8. Sub-contracting or Delegating Projects
9. Previous Performance and Current Grants
Part C--Program Priority Areas
Part D--Criteria for Review and Evaluation of all Applications
Part E--Application Procedures
1. Availability of Forms
2. Application Submission
3. Intergovernmental Review
4. Application Consideration
5. Criteria for Screening Applicants
Part F--Contents of Application and Receipt Process
1. Contents of Application
2. Acknowledgement of Receipt
Part G--Instructions for Completing Application Package
1. SF-424 ``Application for Federal Assistance''
2. SF-424A ``Budget Information--Non-Construction Programs''
3. SF-424B ``Assurances--Non-Construction''
4. Restrictions on Lobbying Activities
5. Disclosure of Lobbying Activities, SF-LLL
6. Certification Regarding Environmental Tobacco Smoke
7. Project Abstract
8. Project Narrative
Part H--Post Award Information and Reporting Requirements of Community
Services' Discretionary Grants Program
Part I--Appendices
1. Attachments A-K
Part A--Preamble
1. Legislative Authority
Section 681(a) and 681(b)(2) of the Community Services Block Grant
Act, as amended, authorizes the Secretary to make funds available to
support program activities of national or regional significance to
alleviate the causes of poverty in distressed communities with special
emphasis on community and economic development activities.
2. Departmental Goals
This announcement is particularly relevant to the Departmental goal
of strengthening the American family and promoting self-sufficiency.
These programs have objectives of increasing the access of low-income
people to employment and business development opportunities, and
improving the integration, coordination, and continuity of the various
HHS (and other Federal Departments') funded services potentially
available to families living in poverty.
3. Definition of Terms
For purposes of this Program Announcement the following definitions
apply:
--Budget Period: The interval of time into which a grant period of
assistance is divided for budgetary and funding purposes.
--Cash Contributions: The cash outlay which includes the money
contributed to the project or program by the recipient and third
parties.
--Community Development Corporation: A private, nonprofit entity,
governed by a board consisting of residents of the community and
business and civic leaders, which has as a principal purpose planning,
developing, or managing low-income housing or community development
projects.
--Community Economic Development (CED): An economic process by which a
community uses its resources to attract capital and increase business
development and job opportunities for its residents. CED enhances the
quality of the economic and physical environment of the community.
--Construction Projects: For the purpose of this announcement,
construction projects involve land improvements and development or
major renovation of (new or existing) facilities and
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buildings, including their improvements, fixtures and permanent
attachments.
--Displaced Worker: An individual who is in the labor market but has
been unemployed for six months or longer.
--Distressed Community: A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
--Eligible Applicant: (See appropriate Priority Area under Part C.)
--Employment Education and Training Program: A program that provides
education and/or training to welfare recipients, at-risk youth, public
housing tenants, displaced workers, homeless and low-income individuals
and that has demonstrated organizational experience in education and
training for these populations (TANF, JTPA, etc).
--Empowerment Zones and Enterprise Communities: Those communities
designated as such by the Secretaries of Agriculture or Housing and
Urban Development.
--Equity Investment: The provision of capital to an organization for
use as working capital or for some other specified purpose in return
for a portion of ownership.
--Indian Tribe: A tribe, band, or other organized group of Indians
recognized in the State in which it resides or which is considered by
the Secretary of the Interior to be an Indian tribe or an Indian
organization for any purpose. For the purpose of Priority Area 1.0
(Urban and Rural Community Economic Development) an Indian tribe or
Indian organization is ineligible unless the applicant organization is
a private non-profit community economic development corporation.
--Job Creation: New jobs that are realized as a result of the OCS
funded project which includes development of either new or expanding
business, service, physical and commercial activities. The jobs created
must not have been in existence prior to the start of the project.
Note: Job creation is to be distinguished from job placement services.
--Job Placement: Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
--Job Retention: Jobs that are saved as a result of the OCS grant. (For
example, saving a business that may be headed towards bankruptcy or
stopping a business that may be relocating which would cause the loss
of low-income jobs).
--Letter of Commitment: A signed, written binding pledge from a grantor
or lender of funds for a specified purpose which sets forth terms and
conditions only subject to receiving an award of OCS Grant Funds.
--Loan: Money lent to a borrower under a binding pledge for a given
purpose to be repaid, usually at a stated rate of interest and within a
specified period of time.
--Poverty Income Guidelines: The guidelines, published annually by the
U.S. Department of Health and Human Services, which establish the level
of poverty defined as low-income for individuals and their families.
--Program Income: Gross income earned by the recipient (during the
project period) that is directly generated by a supported activity or
earned as a result of the award.
--Project Period: The total time for which a project is approved for
OCS support, including any approved extensions.
--Revolving Loan Fund: A capital fund established to make loans whereby
principal repayments of loans are re-paid into the fund and re-lent to
other borrowers.
--Self-employment: The state of an individual or individuals who engage
in self-directed economic activities.
--Self-sufficiency: The economic state not requiring public assistance
for an individual and his (her) immediate family.
--Technical Assistance: A problem-solving event generally utilizing the
services of an expert. Such services may be provided on-site, by
telephone, or by other communications. These services address specific
problems and are intended to assist with the immediate resolution of a
given problem or set of problems.
--Temporary Assistance to Needy Families (TANF): Title I of the
Personal Responsibility and Work Opportunity Reconciliation Act of 1996
(P.L. 104-193) creates the TANF program which transforms welfare into a
system that requires work in exchange for time-limited assistance. The
law specifically eliminates any individual entitlement to or guarantee
of assistance, repeals the Aid to Families with Dependent Children
(AFDC) program, Emergency Assistance (EA) and Job Opportunities and
Basic Skills Training (JOBS) programs, and replaces them with a Block
grant entitlement to States under Title IV of the Social Security Act.
--Third Party In-kind Contributions: The value of non-cash
contributions provided by non-federal third parties which may be in the
form of real property, equipment, supplies and other expendable
property, and the value of goods and services directly benefitting and
specifically identifiable to the project or program.
Part B--Application Prerequisites
1. Eligible Applicants
Priority areas included in this Program Announcement have differing
eligibility requirements. Therefore, eligible applicants are identified
in the individual priority area descriptions found in Part C.
2. Availability of Funds
a. All grant awards are subject to the availability of appropriated
funds. Approximately $25,332,000 is available for FY 1997. The
approximate amount of funds anticipated to be available for each
Priority Area is summarized below:
------------------------------------------------------------------------
Fiscal year
Priority area 1997 funds
------------------------------------------------------------------------
Priority Area 1.0 Urban and Rural Community Economic
Development:
1.1 Urban and Rural Community Economic Development
(Operational)...................................... $15,772,000
1.2 Urban and Rural Community Economic Development
(HBCU Set-Aside)................................... 2,100,000
1.3 Urban and Rural Community Economic Development
(Pre-Developmental Set-Aside)...................... 750,000
1.4 Urban and Rural Community Economic Development
(Developmental Set-Aside).......................... 2,500,000
1.5 Administrative and Management Expertise (Set
Aside)............................................. 500,000
1.6 Training & Technical Assistance (Set Aside).... 210,000
Priority Area 2.0 Rural Community Development
Activities:
2.1 Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)..... 3,500,000
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b. Grant Amounts. The approximate amounts to be granted for
projects under the Priority Areas are indicated below:
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Sub-priority area Funding limit
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1.1........................................ Approximately 10 at $700,000.
Approximately 20 at $350,000.
1.2........................................ Approximately 6 at $350,000.
1.3........................................ Approximately 10 at $75,000.
1.4........................................ Approximately 10 at $250,000.
1.5........................................ Approximately 1 at $500,000.
1.6........................................ Approximately 1 at $210,000.
2.1........................................ Approximately 8 from $300,000-$533,000.
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3. Project and Budget Periods
For Sub-Priority Areas 1.1, 1.2, and 1.4, applicants with projects
involving construction only, may request project and budget periods of
up to 36 months. Applicants for non-construction projects under these
priority areas may request projects and budget periods of up to 17
months. Sub-Priority Areas 1.5, and 1.6 may request project and budget
periods of up to 17 months. For Sub-Priority Area 2.1, grantees will be
funded for a 12 month project period. For Sub-Priority Area 1.3,
applicants may request project and budget periods of up to 12 months.
4. Mobilization of Resources
OCS encourages and strongly supports leveraging of resources
through public/private partnerships which can mobilize cash and/or
third-party in-kind contributions.
5. Program Beneficiaries
Projects proposed for funding under this Announcement must result
in direct benefits to low-income people as defined in the most recent
Annual Revision of Poverty Income Guidelines published by DHHS.
Attachment A of the appendices to this Announcement is an excerpt
from the Poverty Income Guidelines currently in effect. Annual
revisions of these guidelines are normally published in the Federal
Register in February or early March of each year. Grantees will be
required to apply the most recent guidelines throughout the project
period. These revised guidelines may be obtained at public libraries,
Congressional offices, or by writing the Superintendent of Documents,
U.S. Government Printing Office (GPO), Washington, D.C. 20402. Also,
see ``For Further Information Contact'' at the beginning of this
Announcement.
No other government agency or privately-defined poverty guidelines
are applicable for the determination of low-income eligibility for
these OCS programs.
Note, however, that low-income individuals granted lawful temporary
resident status under Sections 245A or 210A of the Immigration and
Nationality Act, as amended by the Immigration Reform and Control Act
of 1986 (Public law 99-603) may not be eligible for direct or indirect
assistance based on financial need under this program for a period of
five years from the date such status was granted.
6. Number of Projects in Application
An application may contain only one project except for Sub-Priority
Areas 1.3, 1.5, and 1.6 where applicants are researching various
opportunities, are sharing administrative and management expertise with
current OCS grantees, or are providing training and/or technical
assistance for current OCS grantees, including the organization of
seminars and other activities in assisting Community Development
Corporations. Applications which are not in compliance with this
requirement will be ineligible for funding.
7. Multiple Submittals
There is no limit to the number of applications that can be
submitted under a specific program priority area as long as each
application contains a proposal for a different project. However, an
applicant can receive only one grant in each Priority Area. Also
applicants that receive more than one grant for a common budget/project
periods must be mindful that salaries and wages claimed for the same
persons cannot collectively exceed 100% of total annual salary.
8. Sub-contracting or Delegating Projects
OCS does not fund projects where the role of the applicant is
primarily to serve as a conduit for funds to organizations other than
the applicant. The applicant must have a substantive role in the
implementation of the project for which funding is requested.
9. Previous Performance and Current Grants
Previous performance of applicants will be considered an important
determining factor in the grant award decisions. Any applicant which
has three or more active OCS grants may only be funded under
exceptional circumstances.
Part C--Program Priority Areas
The program priority areas of the Office of Community Services'
Discretionary Grants Program are as follows:
Priority Area 1.0 Urban and Rural Community Economic Development
Sub-Priority Areas under 1.0
1.1 Urban and Rural Community Economic Development (Operational).
1.2 Urban and Rural Community Economic Development (HBCU Set-
Aside).
1.3 Urban and Rural Community Economic Development (Pre-
Developmental Set-Aside).
1.4 Urban and Rural Community Economic Development (Developmental
Set-Aside).
1.5 Administrative and Management Expertise (Set-Aside)
1.6 Training and Technical Assistance (Set-Aside)
Priority Area 2.0 Rural Community Development Activities
Sub-Priority Area under 2.1
Rural Community Facilities Development (Water and Waste Water
Treatment Systems Development).
Priority Area 1.0 Urban and Rural Community Economic Development
Eligible applicants are private, non-profit community development
corporations (CDCs) governed by a board consisting of residents of the
community and business and civic leaders which have as a principal
purpose planning, developing, or
[[Page 14539]]
managing low-income housing or community development projects.
The purpose of this priority area is to encourage the creation of
projects intended to provide employment and business development
opportunities for low-income people through business, physical or
commercial development. Generally the opportunities must aim to improve
the quality of the economic and social environment of AFDC/TANF
recipients; low-income residents including displaced workers; at-risk
teenagers; noncustodial parents, particularly those of children
receiving AFDC/TANF assistance; individuals residing in public housing;
individuals who are homeless; and those with developmental
disabilities. It is intended to provide resources to eligible
applicants (CDCs) but also has the broader objectives of arresting
tendencies toward dependency, chronic unemployment, and community
deterioration in urban and rural areas. Sub-Priority Area 1.5 is
intended to provide administrative and management expertise to current
Office of Community Services' grantees who are experiencing problems in
the implementation of urban and rural community economic development
projects. Sub-Priority Area 1.6 is intended to provide training and
technical assistance to groups of community development corporations in
developing or implementing projects funded under this section and to
generally enhance the viability and competence of community development
corporations.
This program also seeks to attract additional private capital into
distressed communities, including empowerment zones and enterprise
communities, and to build and/or expand the ability of local
institutions to better serve the economic needs of local residents.
Sub-Priority Area 1.1 Urban and Rural Community Economic Development
(Operational)
Funds will be provided to a limited number of private non-profit
community development corporations for business development activities
at the local level. Funding will be provided for specific projects and
will require the submission of work plans and/or business plans that
meet the test of economic feasibility.
For Fiscal Year 1997, it is anticipated that approximately twenty
(20) grants up to a maximum of $350,000 will be awarded and
approximately ten (10) grants over $350,000 but up to $700,000 will be
made. Competition for these funds will be restricted to either the
$350,000 and under or over $350,000 but up to $700,000 categories. Each
category of funds will compete only among themselves.
Projects must further the Departmental goals of strengthening
American families and promoting their self-sufficiency. OCS is
particularly interested in receiving applications that stress public-
private partnerships that are directed toward the development of
economic self-sufficiency in distressed communities through projects
that focus on providing employment and business development
opportunities for low-income people through business, service, physical
and commercial development.
Applicants located in empowerment zones and enterprise communities
are urged to submit applications. Likewise, applicants are encouraged
to foster partnerships with child support enforcement agencies to
increase the capability of low-income noncustodial parents,
particularly those of children receiving AFDC/TANF assistance, to
fulfill their parental responsibilities. Such applicants may request
funds for a business development project or a project that demonstrates
innovative ways to create jobs for low income persons in the targeted
group or community.
Applications must show that the proposed project:
(1) Creates full-time permanent jobs except where an applicant
demonstrates that a permanent part-time job produces actual wages that
exceed the HHS poverty guidelines. Seventy-five percent (75%) of those
jobs created must be filled by low-income residents of the community
and must also provide for career development opportunities. Project
emphasis should be on employment of individuals who are unemployed or
on public assistance, with particular emphasis on those that are at-
risk teenagers; AFDC/TANF recipients; low-income noncustodial parents,
particularly those of children receiving AFDC/TANF assistance;
individuals residing in public housing; and individuals who are
homeless. While projected employment in future years may be included in
the application, it is essential that the focus of employment projects
concentrate on those jobs created during the duration of the OCS
project period; and/or
(2) Creates a significant number of business development
opportunities for low-income residents of the community or
significantly aids such residents in maintaining economically viable
businesses; and
(3) Provides for establishing the self-sufficiency of program
participants.
In the evaluation process, favorable consideration will be given to
applicants under this priority area who show the lowest cost-per-job
created. Unless there are extenuating circumstances, OCS will not fund
projects where the cost-per-job in OCS funds exceeds $15,000.
In addition, favorable consideration in the evaluation process will
be given to applicants who demonstrate their intention to coordinate
services with the local AFDC/TANF offices and/or other employment
education and training offices and child support enforcement agencies
that serve the proposed area. The offices and agencies should serve
welfare recipients, at-risk youth, public housing tenants, displaced
workers, homeless and low-income individuals (as defined by the Annual
Revision to Poverty Income Guidelines published by DHHS) including
noncustodial parents. Applicants should submit a written agreement from
the applicable office or agency that indicates what actions will be
taken to integrate/coordinate services that relate directly to the
project for which funds are being requested. The agreement should
include the goals and objectives (including target groups) that the
applicant and the employment education and training office and child
support enforcement agency expect to reach through their collaboration.
It should describe the cooperative relationship, including specific
activities and/or actions each of these entities proposes to carry out
in support of the project, and the mechanism(s) to be used in
coordinating those activities if the project is funded by OCS.
Documentation that illustrates the organizational experience of the
employment education and training office should also be included.
Any applicant which proposes to use the requested OCS funds to make
an equity investment such as the purchase of stock, or a loan to a
business concern, including a wholly-owned subsidiary, or to make a
sub-grant with a portion of the OCS funds, in addition to submission of
a business plan, must include the terms of the proposed transaction.
For example, regarding a stock purchase, the cost per share, number of
shares and percentage of ownership is needed. Also the application must
include a written agreement with the third party that commits the
latter to the following:
1. A minimum of 75% of the jobs to be created under the grant will
be for low-income individuals.
2. The grantee will have authority to screen applicants for jobs to
be filled by
[[Page 14540]]
low-income individuals and to verify their eligibility.
3. The grantee will have a seat on the Board of Directors of the
third party's firm if the grantee's investment equals 25% or more of
the firm's assets. (Not applicable to loans made to third parties.)
4. Reports will be made on a regular basis to the grantee on the
use of grant funds.
5. A procedure will be developed to assure that there are no
duplicate counts of jobs created.
6. Detailed information will be provided on how the grant funds
will be used by the third party by submitting a Source and Use of Funds
Statement. In addition, the agreement will provide details on how the
community development corporation will provide support and technical
assistance to the third-party in areas of recruitment and retention of
low-income individuals.
OCS encourages applications that will develop linkages or
agreements with local agencies responsible for administering AFDC/TANF
programs and child support enforcement agreements. OCS would expect
these programs to create new jobs for AFDC/TANF recipients; and low-
income noncustodial parents, particularly those of children receiving
AFDC/TANF assistance. These initiatives can be accomplished through a
variety of business development projects funded under this priority
area, i.e., business expansions, new business development and self-
employment activities, etc.
OCS does not fund education and training programs. In projects
where participants must be trained, any funds that are proposed to be
used for training purposes must be limited to providing specific job-
related training to those individuals who have been selected for
employment in the grant supported project which includes development of
either new or expanding business, service, physical and commercial
activities.
Projects involving training and placement for existing vacant
positions will be disqualified.
Projects which would result in the relocation of a business from
one geographic area to another with the possible displacement of
employees are discouraged.
OCS will not consider applications that propose to establish or
expand revolving loan funds nor proposals that are geared towards the
establishment of Small Business Investment Corporations or Minority
Enterprise Small Business Investment Corporations.
OCS does not anticipate approving the funding of applications which
propose to sub-grant all or most of the grant activities to an
unrelated entity.
Applicants must be aware that projects funded under this priority
area must be operational by the end of the project period, i.e.,
businesses must be in place, and low-income individuals actually
employed in those businesses.
See Part G 8 for special instructions on developing a program
narrative for this priority area.
Sub-Priority Area 1.2 Urban and Rural Community Economic Development
(HBCU Set-Aside)
For Fiscal Year 1997, it is anticipated that a set-aside fund of
$2,100,000 will be included under this priority area for eligible
applicants that submit projects that will be carried out in conjunction
with Historically Black Colleges and Universities (HBCU), as defined in
Executive Order Number 12677, dated April 28, 1989, through contract or
sub-grant. Such projects must conform to the purposes, requirements and
prohibitions applicable to those submitted under Sub-Priority Area 1.1.
These projects should reflect a significant partnership role for
the college or university, and the applicant in doing so will be
considered to have fulfilled the goals of the evaluation criterion for
Public-Private Partnerships and will be granted the maximum number of
points in that category. Applications for these set-aside funds which
are not funded due to the limited amount of funds available will also
be considered competitively within the larger pool of eligible
applicants under Sub-Priority Area 1.1.
Any funds that are not used under this sub-priority area due to the
limited number of highly scored applications will be rolled over into
Sub-Priority Area 1.1.
Any funds that are proposed to be used for training purposes must
be limited to providing specific job related training to those
individuals who have been selected for employment in the grant
supported project which includes development of either new or expanding
business, service, physical and commercial activities.
See Part G 8 for special instructions on developing a work program
for this priority area.
Sub-Priority Area 1.3 Urban and Rural Community Economic Development
(Pre-Developmental Set-Aside)
OCS intends in this Sub-priority area to provide funds to recently-
established private, non-profit community development corporations
which propose to undertake economic development activities in
distressed communities.
OCS recognizes that there are a number of newly-organized non-
profit community development corporations which have identified needs
in their communities but have not had the staff or other resources to
develop projects to address those needs. This lack of resources also
might be affecting their ability to compete for funds, such as those
provided under Sub-priority area 1.1 (Operational Grants), since their
limited resources would preclude them from developing a comprehensive
business plan and/or mobilizing resources. OCS has an interest in
providing support to these new entities in order to enable them to
become more firmly established in their communities, thereby bringing
technical expertise and new resources to these previously unserved or
underserved communities. Therefore, OCS is setting aside funds in
Fiscal Year 1997 for grants to private, non-profit community
development corporations that have never received OCS funding; have
been in existence for no more than three years or have been in
existence longer than three years but have no record of participation
in economic development type projects. For the latter, a CDC must state
that it has not been active. Also, for this sub-priority area only, the
phrase ``no participation in economic development type projects'' means
an eligible applicant has not sponsored nor had any significant
participation in projects that have provided employment or business
development opportunities through business, service, physical and
commercial activities. In addition, applicants with housing experience
must not have significant participation in planning, developing and
managing housing with an aggregate cost or investment value of $1
million or more. We anticipate that grants of up to $75,000 each will
be made to eligible applicants. These grants will be made for a period
of one year and will not require leveraged or mobilized funds.
These grants will be pre-developmental grants under which CDCs may
incur costs to: (1) Evaluate the feasibility of potential projects
which address identified needs in the low-income community and which
conform to those projects and activities allowable under Sub-Priority
Areas 1.1, 1.2, and 1.4; (2) develop a Business Plan related to one of
those projects; and (3) mobilize resources to be contributed to one of
those projects, including the utilization of HBCUs.
Based on the availability of funds in Fiscal Year 1998, OCS will
consider establishing a set-aside to provide
[[Page 14541]]
operational funds to those organizations which received pre-
developmental grants. Grants might be for a maximum of $250,000 and
competition for those funds would be restricted to those organizations
receiving Fiscal Years 1996 and 1997 pre-developmental grants. The
Business Plan developed as a result of the pre-developmental grant
would be submitted as part of the competitive application.
Specifically, each application for Fiscal Year 1997 funded under
this Sub-priority Area must include the following as part of the
project narrative:
1. Description of the impact area, i.e., a description of the low-
income area it proposes to address;
2. Analysis of need in the distressed community;
3. How the potential projects relate to applicant's organizational
goals and previous experience (if any);
4. Project design and implementation factors including a discussion
of potential projects that might be implemented to address identified
needs, a strategy for conduct of feasibility studies on potential
projects and quarterly work plans with specific task timelines and a
self-evaluation component; and
5. Project objectives and measurable impact, i.e., a discussion of
preparing a business plan on only one selected project based on results
of the feasibility studies and plan for mobilization of
nondiscretionary dollars to implement it.
Applications for these set-aside funds which are not funded due to
the limited amount of funds available may also be considered
competitively within the larger pool of eligible applicants under Sub-
Priority Area 1.1.
Sub-Priority Area 1.4 Urban and Rural Community Economic Development
(Developmental Set-Aside)
OCS intends in this Sub-priority area to provide funds to
organizations which received grants from OCS in Fiscal Years 1995 and
1996 under the Pre-Developmental grant program. These organizations
will compete only among themselves. Such projects must conform to the
purposes, requirements and prohibitions applicable to those submitted
under Priority Area 1.1. Applications which are not funded within this
set-aside due to the limited amount of funds available will also be
considered competitively within the larger pool of eligible applicants
under Sub-Priority Area 1.1.
Sub-Priority Area 1.5 Administrative and Management Expertise (Set-
Aside)
OCS believes that one of the most effective means of assuring the
successful operation of a project under the Discretionary Grants
Program area is through the sharing amongst CDCs of their experiences
in dealing with the day-to-day issues and challenges presented in
promoting community economic development. Accordingly, OCS strongly
encourages more experienced CDCs to share their administrative and
management expertise with less experienced CDCs or with those who have
encountered difficulties in operationalizing their work programs. In
order to facilitate this, OCS will provide funds to one or more
community development corporations to assist with their efforts to
enhance the management and operational capacities of the less
experienced CDCs or those having difficulties.
We anticipate that the grant(s) would be for a maximum of $500,000
with a project period not to exceed 17 months. OCS will share with the
grantee(s) information on other grantees seeking to benefit from such
assistance. Such formal requests could also be initiated by a grantee
with the concurrence of OCS. These contacts may occur on-site, by
telephone, or by other methods of communication. Costs incurred in
connection with participating in such activities will be borne by the
recipient(s) of the OCS grant under this sub-priority area.
Sub-Priority Area 1.6 Training and Technical Assistance (Set-Aside)
Funds will be awarded to one organization under this priority area
for the purpose of providing training and technical assistance to
strengthen the network of CDCs.
We anticipate that the grant will be for $210,000 with a grant
period not to exceed 17 months. Applicant must have the ability to
collect and analyze data nationally that may benefit CDCs and be able
to disseminate information to all of OCS funded grantees; publish a
national directory of funding sources for CDCs (public, corporate,
foundation, religious); publish research papers on specific aspects of
job creation by CDCs; design and provide information on successful
projects and economic niches that CDCs can target. The applicant will
also be responsible for the development of instructional programs,
national conferences, seminars, and other activities to assist
community development corporations.
Eligible applicants are private non-profit organizations.
Applicants must operate on a national basis and have significant and
relevant experiences in working with community development
corporations.
Priority Area 2.0 Rural Community Development Activities
Sub-Priority Area 2.1 Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)
Funds will be provided under this sub-priority area to help low-
income rural communities develop the capability and expertise to
establish and/or maintain affordable, adequate and safe water and waste
water treatment facilities.
Funds provided under this Sub-priority area may not be used for
construction of water and waste water treatment systems or for
operating subsidies for such systems, but other mobilized funds may be
used for these activities. Therefore, it is suggested that applicants
coordinate projects with the Farmers Home Administration (FmHA) and
other Federal and State agencies to ensure that funds for hardware for
local community projects are available.
Eligible applicants are multi-state, regional private non-profit
organizations that can provide training and technical assistance to
small, rural communities in meeting their community facility needs.
See Part G 8 for special instructions on developing a program
narrative for this priority area.
Part D--Criteria for Review and Evaluation of all Applications
1. Criteria for Review and Evaluation of All Applications Submitted
Under Sub-Priority Areas 1.1, 1.2, and 1.4
(a) Criterion I: Analysis of Need (Maximum: 5 points) The
application documents that the project addresses a vital need in a
distressed community. (0-3 points)
Most recent available statistics and other information are provided
in support of its contention. (0-2 points)
(b) Criterion II: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 25 points)
(i) Organizational Experience in Program Area (sub-rating: 0-15
points).
Documentation provided indicates that projects previously
undertaken have been relevant and effective and have provided permanent
benefits to the low-income population. (0-5 points)
The applicant has demonstrated the ability to implement major
activities in such areas as business development,
[[Page 14542]]
commercial development, physical development, or financial services;
the ability to mobilize dollars from sources such as the private sector
(corporations, banks, etc.), foundations, the public sector, including
State and local governments, or individuals; that it has a sound
organizational structure and proven organizational capability; and an
ability to develop and maintain a stable program in terms of business,
physical or community development activities that will provide needed
permanent jobs, services, business development opportunities, and other
benefits to community residents. (0-10 points)
(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points).
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but his/
her professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description which indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. (0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-2 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-3 points)
(c) Criterion III: Project Implementation (Maximum: 25 points).
The Work Plan, or Business Plan where appropriate, is both sound
and feasible. Briefly the plan should describe the key work tasks and
show how the project objectives will be accomplished including the
development of business and creation of jobs for low-income persons
during the allowable OCS project period. The project is responsive to
the needs identified in the Analysis of Need. (0-5 points)
It sets forth realistic quarterly time targets by which the various
work tasks will be completed. (0-5 points)
Critical issues or potential problems that might impact negatively
on the project are defined and the project objectives can be reasonably
attained despite such potential problems. (0-5 points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. Also, if the
project proposes the development of a new or expanding business,
service, physical or commercial activity, the application must address
applicable elements of a business plan which are included in the
section on ``Instructions for Completing Application Package'' of the
Program Announcement. Special attention should be given to assure that
the financial plan element, which indicates the project's potential and
timetable for financial self-sufficiency, is included. It must include
the following exhibits for the first three years (on a quarterly basis)
of business' operations: Profit and Loss Forecasts, Cash Flow
Projections and Proforma Balance Sheets. Also, an initial Source and
Use of Funds statement for all project funding must be included. (0-10
points)
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 20
points).
(i) Significant and Beneficial Impact (sub-rating: Maximum: 0-5
points).
The proposed project will produce permanent and measurable results
that will reduce the incidence of poverty and AFDC/TANF assistance in
the community. (0-3 points)
The OCS grant funds, in combination with private and/or other
public resources, are targeted into low-income communities, distressed
communities, and/or designated enterprise zones and enterprise
communities. (0-2 points)
(ii) Community Empowerment Consideration and Partnership with Child
Support Enforcement Agency (Maximum: 0-5 points).
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 or AFDC/TANF assistance rate
of at least 20%, designation as an Empowerment Zone or Enterprise
Community (EZ/EC), high levels of unemployment, high levels of
incidences of violence, gang activity, crime, drug use and low-income
noncustodial parents of children receiving AFDC/TANF. (0-3 points)
Applicants should document that they were involved in the
preparation and implementation of a comprehensive community-based
strategic plan to achieve both economic and human development in an
integrated manner; and how the proposed project will support the goals
of that plan. Also applicants should document that they have entered
into partnership agreements with local Child Support Enforcement
agencies to increase capability of low-income parents and families to
fulfill their parental responsibilities. (0-2 points)
Note: Applicants that have projects located in EZ/EC target
areas or those who have included signed current agreements with
child support enforcement agencies will automatically receive the
maximum 2 points.
(iii) Cost-per-Job (sub-rating: 0-5 points).
During the project period, the proposed project will create new,
permanent jobs or maintain permanent jobs for low-income residents at a
cost-per-job below $15,000 in OCS funds unless there are extenuating
circumstances, i.e., Alaska where the cost of living is much higher.
(Note: The maximum number of points will be given to those
applicants proposing estimated cost-per-job for low-income residents
of $10,000 or less of OCS requested funds. Higher cost-per-job
estimates will receive correspondingly fewer points unless
adequately justified by extenuating circumstances.)
(iv) Career Development Opportunities (sub-rating: 0-5 points).
The application documents that the jobs to be created for low-
income people have career development opportunities which will promote
self-sufficiency.
(e) Criterion V: Public-Private Partnerships (Maximum: 20 points).
(i) Mobilization of resources (sub-rating: 15 points).
The application documents that the applicant will mobilize from
public and/or private sources cash and/or in-kind contributions valued
at an amount equal to the OCS funds requested. Applicants documenting
that the value of such contributions will be at least equal to the OCS
funds requested will receive the maximum number of points for this
subcriterion. Lesser contributions will be given consideration based
upon the value documented.
Note 1: Cash resources such as cash or loans contributed from
all project sources (except for those contributed directly by the
applicant) must be documented by letters of commitment from third
parties making the contribution. Third party in-kind contributions
such as equipment or real property contributed by applicant or third
parties must be documented by an inventory for equipment and a copy
of deed or other legal document for real property. In addition,
future or projected program income such as gross or net profits from
the project or business operations will not be recognized as
mobilized or contributed resources.
Note 2: Applicants under Sub-Priority Area 1.2 who have a
signed, written agreement for a partnership with Historically Black
Colleges and Universities are deemed to have fully met this
criterion and will receive the maximum number of points if they
include the agreement with the HBCU.
[[Page 14543]]
(ii) Integration/coordination of services (sub-rating: 5 points).
The applicant demonstrates a commitment to or agreements with local
agencies responsible for administering, child support enforcement,
employment, education and training programs (such as JTPA) to ensure
that welfare recipients, at-risk youth, displaced workers, public
housing tenants, homeless and low-income individuals and low-income
noncustodial parents will be trained and placed in the newly created
jobs. The applicant provides written agreements from the local AFDC/
TANF or other employment, education and training office, and child
support enforcement agency indicating what actions will be taken to
integrate/coordinate services that relate directly to the project for
which funds are being requested. (0-2 points)
Specifically, the agreements should include: (1) The goals and
objectives that the applicant and (a) the AFDC/TANF or other
employment, education and training office and/or (b) child support
enforcement agency expect to achieve through their collaboration; (2)
the specific activities/actions that will be taken to integrate/
coordinate services on an on-going basis; (3) the target population
that this collaboration will serve; (4) the mechanism(s) to be used in
integrating/coordinating activities; (5) how those activities will be
significant in relation to the goals and objectives to be achieved
through the collaboration; and (6) how those activities will be
significant in relation to their impact on the success of the OCS-
funded project. (0-2 points)
The applicant should also provide documentation that illustrates
the organizational experience related to the employment education and
training program (refer to Criterion II for guidelines). (0-1 point)
(f) Criterion VI: Budget Appropriateness and Reasonableness
(Maximum: 5 points).
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. (0-2 points)
The application includes a detailed budget break-down for each of
the budget categories in the SF-424A. The applicant presents a
reasonable administrative cost. (0-2 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
2. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.3
(a) Criterion I: Analysis of Need (Maximum: 15 points).
The application documents that there are clearly identified needs
in a low-income community not being effectively addressed. (0-10
points)
Most recent available statistics and other information are provided
in support of its contention. (0-5 points)
(b) Criterion II: Organizational Capability and Capacity (Maximum:
20 Points).
(i) Organizational experience in program area (sub-rating: 5
Points).
Each applicant must briefly show why their organization can
successfully implement the project for which they are requesting funds.
(0-3 points)
If an applicant has a history of prior achievements in economic
development within the past three (3) years, it should address the
relevance and effectiveness of those projects undertaken, especially
their cost effectiveness and the relevance and effectiveness of any
services and the permanent benefits provided to the targeted
population. (0-2 points)
(ii) Management capacity (sub-rating: 5 points).
Applicants must fully detail their ability to implement sound and
effective management practices and if they have been recipients of
other Federal or other governmental grants, they must also detail that
they have consistently complied with financial and program progress
reporting and audit requirements. (0-3 points)
Applicants should submit any available documentation on their
management practices and progress reporting procedures along with a
statement by a Certified or Licensed Public Accountant as to the
sufficiency of the applicant's financial management system to protect
adequately any Federal funds awarded under the application submitted.
(0-2 points)
Note: The documentation of the applicant's management practices,
etc., and statement from the Accountant on the financial management
system must address the applicant organization's own internal system
rather than an external system of an affiliate, partner or
management support organization, etc.
(iii) Staffing (sub-rating: 5 points).
The application must fully describe (e.g., resumes) the experience
and skills of key staff showing that they are not only well qualified
but that their professional capabilities are relevant to the successful
implementation of the project.
(iv) Staffing responsibilities (sub-rating: 5 points).
The application must describe how the assigned responsibilities of
the staff are appropriate to the tasks identified for the project.
(c) Criterion III: Project Design, Implementation and Evaluation
(Maximum: 30 Points).
(i) Project implementation component (sub-rating: 25 points).
The work plan must address a clearly identified need in the low-
income community described in Criterion I. The plan must include a
methodology to evaluate the feasibility of potential projects that
conform to the type projects and activities allowable under Sub-
priority areas 1.1, 1.2, and 1.4 (0-10 points)
It must set forth realistic quarterly time schedules of work tasks
by which the objectives (including the development of a business plan
and mobilization of resources) will be accomplished. Because quarterly
time schedules are used by OCS as a key instrument to monitor progress,
failure to include these time targets will seriously reduce an
applicant's point score in this criterion. (0-10 points)
It must define critical issues or potential problems that might
impact negatively on the project and it must indicate how the project
objectives will be attained notwithstanding any such potential
problems. (0-5 points)
(ii) Evaluation component (sub-rating: 5 points).
All proposals should include a self-evaluation component. The
evaluation data collection and analysis procedures should be
specifically oriented to assess the degree to which the stated goals
and objectives are achieved. (0-3 points)
Qualitative and quantitative measures reflective of the scheduling
and task delineation in (1) above should be used to the maximum extent
possible. This component should indicate the ways in which the
potential grantee would integrate qualitative and quantitative measures
of accomplishment and specific data into its program progress reports
that are required by OCS from all pre-development grantees. (0-2
points)
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25
Points).
Funding under this Sub-priority area is targeted to result in a
Business Plan for a proposed project. The proposed project around which
the Business Plan is developed with the use of OCS grant funds must be
targeted into low-income communities, and/or designated empowerment
zones or enterprise communities with the goals of
[[Page 14544]]
increasing the economic conditions and social self-sufficiency of
residents. Also the project proposes to produce permanent and
measurable results that will reduce the incidence of poverty and AFDC/
TANF recipients in the low-income area targeted. (0-20 points)
Note: This Sub-priority area permits applicants to conduct
several feasibility studies related to various potential projects.
However on completion of the studies, one proposed project must be
selected and a business plan prepared for the selected project.
The activity targets mobilization of non-discretionary program
dollars from private sector individuals, public resources,
corporations, and foundations including the utilization of Historically
Black Colleges and Universities, if the proposed project is
implemented. (0-5 points)
(e) Criterion V: Budget Appropriateness and Reasonableness
(Maximum: 10 points).
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The estimated
cost to the government of the project also is reasonable in relation to
the anticipated results. (0-5 points)
The application includes a narrative detailed budget break-down for
each of the budget categories in the SF 424-A. The applicant presents a
reasonable administrative cost. (0-5 points)
3. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.5
(a) Criterion I: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 20 points).
(i) Organizational Experience in Program Area (sub-rating: 0-10
points).
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. (0-2 points)
Applicant must document a capability (including access to a network
of skilled individuals and/or organizations) in two or more of the
following areas: Business Management, including strategic planning and
fiscal management; Finance, including development of financial packages
and provision of financial/accounting services; and Regulatory
Compliance, including assistance with zoning and permit compliance. (0-
2 points)
Further, the applicant has the demonstrated ability to mobilize
dollars from sources such as the private sector (corporations, banks,
foundations, etc.) and the public sector, including state and local
governments. (0-2 points)
Applicant also demonstrates that it has a sound organizational
structure and proven organizational capability as well as an ability to
develop and maintain a stable program in terms of business, physical or
community development activities that have provided permanent jobs,
services, business development opportunities, and other benefits to
poverty community residents. (0-2 points)
Applicants must indicate why they feel that their successful
experiences would be of assistance to existing grantees which are
experiencing difficulties in implementing their projects. (0-2 points)
(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points).
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but who
has professional capabilities relevant to the successful implementation
of the project. If the key staff person has not yet been identified,
the application contains a comprehensive position description which
indicates that the responsibilities to be assigned to the project
director are relevant to the successful implementation of the project.
(0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-3 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-2 points)
(b) Criterion II: Work Program (Maximum: 30 points).
Based upon the applicant's knowledge and experience related to
OCS's Discretionary Grants Program (particularly community economic
development), the application should demonstrate in some specificity a
thorough understanding of the problems a grantee may encounter in
implementing a successful project. (0-15 points)
The application should include a strategy for assessing the
specific nature of the problems, outlining a course of action and
identifying the resources required to resolve the problems. (0-15
points)
(c) Criterion III: Significant and Beneficial Impact (Maximum: 30
points).
Project funds under this sub-priority area must be used for the
purposes of transferring expertise directly, or by a contract with a
third party, to other OCS funded grantees. Applicants must document how
the success or failure of collaboration with these grantees will be
documented. (0-15 points)
Applicants must demonstrate an ability to disseminate results on
the kinds of programmatic and administrative expertise transfer efforts
in which they participated and successful strategies that they may have
developed to share expertise with grantees during the grant period. (0-
10 points)
Applicants must also state whether the results of the project will
be included in a handbook, a progress paper, an evaluation report or a
general manual and why the particular methodology chosen would be most
effective. (0-5 points)
(d) Criterion IV: Public-Private Partnerships (15 Points).
The applicant demonstrates that it has worked with local, regional,
state or national offices to ensure that AFDC/TANF recipients, at-risk
youth, displaced workers, public housing tenants, low-income
noncustodial parents, homeless and otherwise low-income individuals
have been trained and placed in newly created jobs. (0-10 points)
Applicant should demonstrate how it will design a comprehensive
strategy which makes use of other available resources to resolve
typical and recurrent grantee problems. (0-5 points)
(e) Criterion V: Budget Appropriateness and Reasonableness
(Maximum: 5 points).
Applicant documents that the funds requested are commensurate with
the level of effort necessary to accomplish the goals and objectives of
the project. The application includes a narrative detailed budget
break-down for each of the appropriate budget categories in the SF-
424A. (0-3 points).
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-2 points)
4. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.6
(a) Criterion I: Need for Assistance (Maximum: 10 points).
The application documents that the project addresses a vital
nationwide need related to the purposes of Priority
[[Page 14545]]
Area 1.0 and provides data and information in support of its
contention.
(b) Criterion II: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 20 points).
(i) Organizational Experience.
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. Applicant must document a capability
(including access to a network of skilled individuals and/or
organizations) in two or more of the following areas: Business
Management, including strategic planning and fiscal management;
Finance, including development of financial packages and provision of
financial/accounting services; and Regulatory Compliance, including
assistance with zoning and permit compliance. (0-10 points)
(ii) Staff Skills.
The applicants's proposed project director and primary staff are
well qualified and their professional experiences are relevant to the
successful implementation of the proposed project. (0-10 points)
(c) Criterion III: Work Plan (Maximum 35 points).
Based upon the applicant's knowledge and experience related to
OCS's Discretionary Grants Program (particularly community economic
development), the applicant must develop and submit a detailed and
specific work plan that is both sound and feasible. Specifically, the
work plan should include the following elements:
(i) Demonstrate that all activities are comprehensive and
nationwide in scope, and adequately described and appropriately related
to the goals of the program.(0-10 points)
(ii) Demonstrate in some specificity a thorough understanding of
the kinds of training and technical assistance that can be provided to
the network of Community Development Corporations. (0-10 points)
(iii) Delineate the tasks and sub-tasks involved in the areas
necessary to carry out the responsibilities to include training,
technical assistance, research, outreach, seminars, etc. (0-5 points)
(iv) State the intermediate and end products to be developed by
task and sub-task.(0-5 points)
(v) Provide realistic time frames and chronology of key activities
for the goals and objectives. (0-5 points)
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25
points).
Project funds under this sub-priority area must be used for the
purpose of providing training and technical assistance on a national
basis to the network of Community Development Corporations.
Applicant must document how the success or failure of the
assistance provided will be documented.
(i) Application should adequately describe how the project will
assure long-term program and management improvements for Community
Development Corporations; (0-10 points)
(ii) The project will impact on a significant number of Community
Development Corporations; (0-10 points)
(iii) Applicant should document how the project will leverage or
mobilize significant other non-federal resources for the direct benefit
of the project; (0-5 points)
(e) Criteria V: Budget Reasonableness (Maximum 10 points).
(i) The resources requested are reasonable and adequate to
accomplish the project. (0-5 points)
(ii) Total costs are reasonable and consistent with anticipated
results. (0-5 points)
5. Criteria for Review and Evaluation of All Applications Under
Priority Area 2.1
(a) Criterion I: Analysis of Need (Maximum: 5 points).
The application documents that the project addresses a vital need
in a distressed community and provides statistics and other data and
information in support of its contention.
(b) Criterion II: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 15 points).
(i) Organizational Experience in Program Area (sub-rating: 0-5
points)
Documentation provided indicates that projects previously
undertaken have been relevant and effective and have provided permanent
benefits to the low-income population.
Organizations which propose providing training and technical
assistance have detailed competence in the specific program priority
area and as a deliverer with expertise in the fields of training and
technical assistance. If applicable, information provided by these
applicants also addresses related achievements and competence of each
cooperating or sponsoring organization.
(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points).
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but his/
her professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description which indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. The applicant has adequate facilities and resources (i.e.
space and equipment) to successfully carry out the work plan. The
assigned responsibilities of the staff are appropriate to the tasks
identified for the project and sufficient time of senior staff will be
budgeted to assure timely implementation and cost effective management
of the project.
(c) Criterion III: Project Implementation (Maximum: 25 points).
The Business Plan is both sound and feasible. The project is
responsive to the needs identified in the Analysis of Need. It sets
forth realistic quarterly time targets by which the various tasks will
be completed. Critical issues or potential problems that might impact
negatively on the project are defined and the project objectives can be
reasonably attained despite such potential problems.
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 30
points).
The application contains a full and accurate description of the
proposed use of the requested financial assistance. The proposed
project will produce permanent and measurable results that will reduce
the incidence of poverty in the areas targeted and significantly
enhance the self sufficiency of program participants. Results are
quantifiable in terms of program area expectations, e.g., number of
units of housing rehabilitated, agricultural and non-agricultural job
placements, etc. The OCS grant funds, in combination with private and/
or other public resources, are targeted into low-income and/or
distressed communities and/or designated empowerment zones and
enterprise communities.
(e) Criterion V: Public-Private Partnerships (Maximum: 20 points).
The application documents that the applicant will mobilize from
public and/or private sources cash and/or in-kind contributions valued
at an amount equal to the OCS funds requested. Applicants documenting
that the value of such contributions will be at least equal to the OCS
funds requested will receive the maximum number of points for this
Criterion. Lesser contributions will be given consideration based upon
the value documented.
[[Page 14546]]
(f) Criterion VI: Budget Appropriateness and Reasonableness
(Maximum: 5 points).
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The application
includes a narrative detailed budget break-down for each of the budget
categories in the SF-424A. The applicant presents a reasonable
administrative cost. The estimated cost to the government of the
project also is reasonable in relation to the anticipated results.
Part E--Application Procedures
1. Availability of Forms
Attachments B, C, and D contain all of the standard forms necessary
for the application for awards under these OCS programs. These forms
may be photocopied for the application.
Copies of the Federal Register containing this announcement are
available at most local libraries and Congressional District Offices
for reproduction. If copies are not available at these sources, they
may be obtained by telephoning the office listed under the section
entitled FOR FURTHER INFORMATION at the beginning of this announcement.
Also, the Federal Register can be found on the Internet through GPO
access at the following web address: http://www.access.gpo.gov/
su__docs/aces/aces140.html For purposes of this announcement, all
applicants will use the following forms:
SF 424
SF 424A
SF 424B
Applications proposing construction projects will also present all
required financial data using SF-424A. Instructions for completing the
SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D.
Part G contains instructions for the project abstract and project
narrative. They will be submitted on plain bond paper along with the
SF-424 and related forms.
Attachment K provides a checklist to aid applicants in preparing a
complete application package for OCS.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace and
debarment regulations set forth in Attachments E and F.
2. Application Submission
The closing time and date for receipt of applications are 4:30 p.m.
(Eastern Standard Time) 60 days after publication in the Federal
Register. Applications received after 4:30 p.m. will be classified as
late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U. S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, 370 L'Enfant Promenade, S. W., Mail Stop 6C-462, Washington, D.
C. 20447, Attention: Application for Discretionary Grants Program.
Applicants are responsible for mailing applications well in advance,
when using all mail services, to ensure that the applications are
received on or before the deadline time and date.
Applications handcarried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m., at the U. S. Department
of Health and Human Services, Administration for Children and Families,
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,
Aerospace Center, 901 D Street, S. W., Washington, D. C. 20024, between
Monday and Friday (excluding Federal holidays). (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is widespread 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.
One signed original application and four copies are required. The
first page of the SF-424 must contain in the lower right-hand corner, a
designation indicating under which sub-priority area funds are being
requested (for example 1.1, 1.2, 1.3, 1.4, 1.5, 1.6 or 2.1). See Part
F, section 1, subsection 11 for details.
3. 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, American Samoa,
Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, Palau,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia and Washington
have elected to participate in the Executive Order process and have
established Single Points of Contact (SPOCs). Applicants from these
twenty-three jurisdictions need take no action regarding E.O. 12372.
Applicants for projects to be administered by Federally-recognized
Indian Tribes are also exempt from the requirements of E.O. 12372.
Otherwise, applicants should contact their SPOCs as soon as possible to
alert them of the prospective applications and 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.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to clearly differentiate between mere advisory comments and
those official State process recommendations which they intend to
trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, S.W., Mail Stop 6C-462, Washington, D.C. 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G of this announcement.
[[Page 14547]]
4. Application Consideration
Applications which meet the screening requirements in sections 5a
and b below may be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to program priority area guidelines and
evaluation criteria published in this announcement.
Applications submitted under all priority areas (with the exception
of Sub-Priority Area 1.6) will be reviewed by persons outside of the
OCS unit which will be directly responsible for programmatic 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 generally will be considered in order
of the average scores assigned by reviewers. However, highly ranked
applications are not guaranteed funding since the Director may also
consider other factors deemed relevant including, but not limited to,
the timely and proper completion of projects funded with OCS funds
granted in the last five (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 previous OCS or other Federal agency grants.
Applicants with three or more active OCS grants at the time of review
may be denied funding. In addition, for applications received under
1.0, OCS will consider the geographic distribution of funds among
States and the relative proportion of funding among rural and urban
areas in accordance with Section 681(b)(1)(D) of the Act.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to ascertain the applicant's performance
record.
5. Criteria for Screening Applicants
(a) 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.
Others will be returned to the applicants with a notation that they
were unacceptable.
(i) 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 Parts F and G and Attachments B, C, and D of this Program
Announcement.
(ii) A project abstract must also accompany the standard forms.
(iii) 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.
(iv) The application must be submitted for consideration under one
priority area only.
(b) Pre-rating Review
Applications which pass the initial screening will be forwarded to
reviewers and/or OCS staff prior to the programmatic review to verify
that the applications comply with this Program Announcement in the
following areas:
(i) Eligibility: Applicant meets the eligibility requirements for
the priority area under which funds are being requested. Proof of non-
profit status, i.e. the IRS determination letter of tax exemption, must
be included in the Appendices of the Project Narrative where
applicable. Applicants must also be aware that the applicant's legal
name as required in SF-424 (Item 5) must match that listed as
corresponding to the Employer Identification Number (Item 6).
(ii) Number of Projects: An application may contain only one
project under Sub-Priority Areas 1.1, 1.2 and 1.4. However, an
application may contain more than one project under Sub-Priority Areas
1.3, 1.5, and 1.6 where applicants are researching various
opportunities, sharing administrative and management expertise with
current OCS grantees, or are providing assistance to current OCS
grantees, or providing training and/or technical assistance for current
OCS grantees, including the organization of seminars and other
activities to assist Community Development Corporations and this
project must be identified as responding to one of the program priority
areas stated in this Announcement.
Applicants which are not in compliance with this requirement will
be ineligible for funding.
(iii) Grant amount: The amount of funds requested does not exceed
the limits indicated in Part C, 2, b for the appropriate priority area.
(iv) Written Agreement When Applicant Proposes to Make Equity
Investment, Loan, or Sub-Grant: (Sub-Priority Areas 1.1, 1.2 and 1.4);
The application contains a written agreement signed by the applicant
and the third party which includes all of the elements required in Part
C.
An application may be disqualified from the competition and
returned if it does not conform to one or more of the above
requirements.
(c) Evaluation Criteria
Applications which pass the pre-rating review will be assessed and
scored by reviewers. Each reviewer will give a numerical score for each
application reviewed. These numerical scores will be supported by
explanatory statements on a formal rating form describing major
strengths and weaknesses under each applicable criterion published in
the announcement.
The in-depth evaluation and review process will use the following
criteria coupled with the specific requirements contained under each
program priority area as described in Part C.
(d) Paperwork Reduction
Under the Paperwork Reduction Act of 1995, Public Law 104-13. An
agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number. This program announcement does not contain
information collection requirements beyond those approved for ACF grant
applications under OMB Control Number 0970-0062.
Part F--Contents of Application and Receipt Process
1. Contents of Application
Each application, whether involving construction or not, should
include one original and four additional copies of the following:
I. A signed ``Application for Federal Assistance'' (SF-424);
II. ``Budget Information-Non-Construction Programs'' (SF-424A);
III. A signed ``Assurances-Non-Construction Programs'' (SF-424B);
IV. A Project Abstract (a paragraph which succinctly describes the
project (in 500 characters or less));
V. A Project Narrative consisting of the following elements
preceded by a consecutively numbered Table of Contents that will
describe the project in the following order:
A. Eligibility Confirmation
B. Analysis of Need (except for Sub-Priorities 1.5 and 1.6)
C. Organizational Experience in Program Area and Staff Responsibilities
[[Page 14548]]
1. Organizational experience in program area
a. Grantee
b. CPA certification of management system (applies to Sub-priority
Area 1.3 only)
2. Staff Skills, Resources and Responsibilities
D. Project Implementation
1. Includes work plan or business plan. See instructions in Part G,
``Instructions for Completing Application Package''.
2. Self evaluation component (applies to Sub-priority Area 1.3
only)
E. Significant and Beneficial Impacts
1. Significant and Beneficial Impacts
2. Cost Per Job (except Sub-priority Areas 1.3, 1.5 and 1.6)
3. Career Development Opportunities (except Sub-priority Areas 1.3,
1.5 and 1.6)
4. Strategy for mobilization of resources and development of
business plan (applies to Sub-priority Area 1.3 only)
F. Public/Private Partnerships and Agreements
G. Budget Appropriateness and Reasonableness
VI. Appendices including: proof of nonprofit status by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the Articles
of Incorporation bearing the seal of the State in which the corporation
or association is domiciled; proof of CDC status by providing a copy of
the purposes section of its Articles of Incorporation and a listing of
the current Board of Directors' names, titles and addresses; resumes of
the project director and other key management team members; written
agreements i.e., third party participation, coordination with AFDC/
TANF, etc.; Single Point of Contact comments, where applicable;
certification regarding anti-lobbying activities; smokefree workplace
assurance; a disclosure of lobbying activities, etc.
The application package should not exceed 65 pages for applications
submitted under sub-priority areas 1.1, 1.2 and 1.4, and 30 pages for
all applications submitted under the other sub-priority areas.
Applications should be two holed punched at the top center and
fastened with a compressor slide paper fastener or a binder clip. The
submission of bound applications, or applications enclosed in binders,
is especially discouraged.
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.
2. Acknowledgement of Receipt
All applicants will receive an acknowledgement notice 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 notice. The identification number and
the program priority area letter code must be referred to in all
subsequent communications with OCS concerning the application. If an
acknowledgement is not received within three weeks after the deadline
date, please notify ACF by telephone (202) 401-9365.
Part G--Instructions for Completing Application Package
It is suggested that the applicant reproduce the SF-424 and SF-
424A, and type its organization's legal name on the copies. If an item
on the SF-424 cannot be answered or does not appear to be related or
relevant to the assistance requested, write ``NA'' for ``Not
Applicable.''
Prepare your application in accordance with the standard
instructions given in Attachments B and C corresponding to the forms,
as well as the OCS specific instructions set forth below:
1. SF-424 ``Application for Federal Assistance.''
Item 1. For the purposes of this announcement, all proposals are
considered ``Applications''; there are no ``Pre-Applications.'' For the
purpose of this announcement, construction projects involve land
improvements and development or major renovation of (new or existing)
facilities and buildings, including their improvements, fixtures and
permanent attachments. All others are considered non-construction.
Check the appropriate box under ``Application.'' Whether applications
involve construction or non-construction projects, all applicants are
required to complete the ``Budget Information--Non-construction
Programs'' sections of SF 424A.
Items 2.--4. Self-Explanatory.
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 (EIN) and the Payment Identifying Number (PIN), 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.'' Any non-profit organization submitting an application must
submit proof of its non-profit status in its applications at time of
submission. The non-profit organization can accomplish this by
providing a copy of the applicant's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations described
in Section 501(c)(3) of the IRS code or by providing a copy of the
currently valid IRS tax exemption certificate, or by providing a copy
of the articles of incorporation bearing the seal of the State in which
the corporation or association is domiciled. Notwithstanding the above
requirements, each applicant must provide proof of CDC status by
providing a copy of the purposes section of its Articles of
Incorporation and a listing of its current Board of Directors showing
each person's name, title, and local address.
Item 8. For the purposes of this announcement, all applications are
``New''.
Item 9. Enter DHHS-ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this announcement is 93.570. The title is ``CSBG
Discretionary Awards.''
Item 11. The following designations must be used to identify the
program priority area:
UR--Sub-Priority Area 1.1. Urban and Rural Community Economic
Development (Operational)
HB--Sub-Priority Area 1.2. Urban and Rural Community Economic
Development (HBCU Set-Aside)
PD--Sub-Priority Area 1.3. Urban and Rural Community Economic
Development (Pre-Developmental Set-Aside)
DD--Sub-Priority Area 1.4. Urban and Rural Community Economic
Development (Developmental Set-Aside)
AM--Sub-Priority Area 1.5. Administrative and Management (Set-Aside)
UT--Sub-Priority Area 1.6. Technical Assistance (Set-Aside)
[[Page 14549]]
RF--Sub-Priority Area 2.1. Rural Community Facilities Development
(Water and Waste Water Treatment Systems Development)
2. SF-424A--``Budget Information--Non-Construction Programs.''
See Instructions accompanying this form as well as the instructions
set forth below:
In completing these sections, the ``Federal Funds'' budget entries
will relate to the requested OCS discretionary funds only, and ``Non-
Federal'' will include mobilized funds from all other sources--
applicant, state, local, and other. Federal funds other than requested
OCS discretionary funding should be included in ``Non-Federal''
entries.
The budget forms in SF-424A are only to be used to present grant
administrative costs and major budget categories. Financial data that
is generated as part of a project Business Plan or other internal
project cost data must be separate and should appear as part of the
project Business Plan or other project implementation data.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (mobilized) funds. Section B contains entries for
Federal (OCS) funds only. Clearly identified continuation sheets in SF-
424A format should be used as necessary.
Section A--Budget Summary
Lines 1-4.
Col. (a):
Line 1 Enter ``CSBG Discretionary'';
Col. (b):
Line 1 Enter ``93.570'';
Col. (c) and (d):
Applicants should leave columns (c) and (d) blank.
Col. (e)-(g):
For line 1, enter in columns (e), (f) and (g) the appropriate
amounts needed to support the project for the budget period.
Line 5 Enter the figures from Line 1 for all columns completed as
required, (c), (d), (e), (f), and (g).
Section B--Budget Categories
Allowability of costs are governed by applicable cost principles
set forth in 45 CFR Parts 74 and 92. A budget narrative must be
submitted that includes the appropriate justifications as stated.
Columns (1) and (5):
In OCS applications, it is only necessary to complete Columns (1)
and (5).
Column 1: Enter the total requirements for OCS Federal funds by the
Object Class Categories of this section:
Personnel-Line 6a: Enter the total costs of salaries and wages of
applicant/grantee staff only. A breakdown of amounts and percentage of
time that comprises the salary must be noted. Do not include costs of
consultants or personnel costs of delegate agencies or of specific
project(s) or businesses to be financed by the applicant.
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. Provide a breakdown of amounts and percentages that
comprise fringe benefit costs.
Travel-Line 6c: Enter total estimated costs of all travel by
employees of the project. The purpose, traveler, number of days,
airfare and per diem rates must be stated. Travel costs for the
Executive Director or Project Director to attend a two day national
workshop in Washington, D.C. should be included. Do not enter costs for
consultant's travel. Provide justification for requested travel costs.
Equipment-Line 6d: Enter the total estimated costs of all non-
expendable personal property to be acquired by the project. ``Non-
expendable personal property'' means tangible non-expendable personal
property having a useful life of more than one year and an acquisition
cost of $5,000 or more per unit.
Supplies-Line 6e: Enter the total estimated costs of all tangible
personal property (supplies) other than that included on line 6d.
Identify the item, unit cost and quantity to be purchased.
Contractual-Line 6f: Enter the total estimated costs of all
contracts, including (1) procurement contracts (except those which
belong on other lines such as equipment, supplies, etc.) and (2)
contracts with secondary recipient organizations including delegate
agencies and specific project(s) or businesses to be financed by the
applicant. Identify the purpose and costs associated. Also include any
contracts with organizations for the provision of technical assistance.
Do not include payments to individual service contractors on this line.
If available at the time of application, attach a list of contractors
indicating the name of the organization, the purpose of the contract
and the estimated dollar amount of the award.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, 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 back-up documentation identifying name of contractor,
purpose of contract and major cost elements.
Construction-Line 6g: Enter the estimated costs of renovation,
repair, or new construction. Identify the type of construction activity
and costs associated, i.e., concrete, HVAC, electrical, etc. Provide
narrative justification and breakdown of costs.
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 (noncontractual), 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. Note that costs identified as ``miscellaneous'' and
``honoraria'' are not allowable.
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 should be used only when the applicant currently has an
indirect cost rate approved by the Department of Health and Human
Services or another Federal agency or is awaiting such approval. With
the exception of local governments and State agencies, 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 in the process of initially
developing or 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 be charged as
direct costs to the grant.
Totals-Line 6k: Enter the total amounts of Lines 6i and 6j. 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).
Program Income-Line 7: Enter the estimated amount of income, if
any,
[[Page 14550]]
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.
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.
Therefore, mobilized funds from other Federal programs, such as the Job
Training Partnership Act program, should be entered on these lines.
Provide a brief listing of the non-Federal resources on a separate
sheet and describe whether it is a grantee-incurred cost or a third-
party in-kind contribution. The firm commitment of these resources must
be documented and submitted with the application in order to be given
credit in the Public-Private Partnerships criterion.
Except in unusual situations, this documentation must be in the
form of letters of commitment from the organization(s)/individuals from
which funds will be received.
Line 8:
Column (a): Enter the project title.
Column (b): Enter the amount of contributions to be made by the
applicant to the project.
Column (c): Enter the State contribution. If the applicant is a
State agency, enter the non-Federal funds to be contributed by the
State other than the applicant.
Column (d): Enter the amount of cash and in-kind contributions to
be made from all other sources.
Column (e): Enter the total of columns (b), (c), and (d).
Lines 9, 10, and 11 should be left blank.
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
Line 13: Enter the amount of Federal (OCS) cash needed for this
grant by quarter. During the budget period for grants which are more
than twelve (12) months, submit a separate sheet for each additional
twelve (12) months or portion thereof.
Line 14 Enter the amount of cash from all other sources needed by
quarter during the budget period.
Line 15: Enter the total of Lines 13 and 14.
Section E--Budget Estimates of Federal Funds Needed for Balance of
Project(s)
Completion not required
Section F--Other Budget Information
Line 21--Use this space and continuation sheets as necessary to
fully explain and justify the major items included in the budget
categories shown in Section B. Include sufficient detail to facilitate
determination of allowability, relevance to the project, and cost
benefits. Particular attention must be given to the explanation of any
requested direct cost budget item which requires explicit approval by
the Federal agency. Budget items which require identification and
justification shall include, but not be limited to, the following:
A. Salary amounts and percentage of time worked for those key
individuals who are identified in the project narrative;
B. Any foreign travel;
C. A list of all equipment and estimated cost of each item to be
purchased wholly or in part with grant funds which meet the definition
of nonexpendable personal property provided on Line 6d, Section B. Need
for equipment must be supported in program narrative.
D. Contractual: Major items or groups of smaller items; and
E. Other: group into major categories all costs for consultants,
local transportation, space, rental, training allowances, staff
training, computer equipment, etc. Provide a complete breakdown of all
costs that make up this category.
Line 22--Enter the type of HHS or other Federal agency 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, where applicable. Attach a
copy of the rate agreement if it was negotiated with a Federal agency
other than the Department of Health and Human Services.
Line 23--Provide any other explanations and continuation sheets
required or deemed necessary to justify or explain the budget
information.
3. SF-424B ``Assurances-Non-Construction.''
All applicants, whether or not project involves construction, must
file the Standard Form 424B, ``Assurances: Non-Construction Programs.''
Applicants must sign and return the Standard Form 424B, found at
Attachment D, with their applications.
4. Restrictions on Lobbying Activities--Applicants must provide a
certification concerning Lobbying. Prior to receiving an award in
excess of $100,000, applicants shall furnish an executed copy of the
lobbying certification. Applicants must sign and return the
certification, found at Attachment H, with their applications.
5. Disclosure of Lobbying Activities, SF-LLL--Fill out, sign and
date form found at Attachment H, if applicable.
6. Certification Regarding Environmental Tobacco Smoke.
Applicants must make the appropriate certification of their
compliance with the Pro-Children Act of 1994. By signing and submitting
the applications, applicants are providing the certification regarding
environmental tobacco smoke and need not mail back the certification
with their applications.
7. Project Abstract.
The project abstract is a brief summary of the project to include
specific benefits such as number of jobs to be created, especially jobs
for low-income individuals. The abstract must not exceed 500 characters
(including words, spaces and punctuation) on a separate sheet of plain
paper headed by the applicant's name as shown in item 5 of the SF 424
and the priority area number as shown by you at the bottom of the SF
424.
8. Project Narrative.
The application package including the narrative should not exceed
65 pages for the applications submitted under sub-priority areas 1.1,
1.2 and 1.4 and 30 pages under the other sub-priority areas.
The project narrative must address the specific concerns mentioned
under the relevant priority area description in Part C. The narrative
should provide information on how the application meets the evaluation
criteria in Part D, of this Program Announcement and should follow the
format below:
a. Eligibility Confirmation. This section must explain how the
applicant has complied with each of the basic requirements listed in
Part E, sections 5b(1)-(4), i.e., (1) that the applicant meets the
eligibility requirements for the sub-priority area under which funds
are being requested; (2) an application submitted under sub-priority
areas 1.1, 1.2, 1.4, or 2.1, contains only one project; (3) the amount
of funds requested does not exceed the limits indicated in Part B,
Section 2b for the appropriate sub-priority area; (4) (Sub-Priority
Areas 1.1, 1.2, and 1.4) if an applicant proposes to use OCS funds for
an equity investment, a loan, or a sub-grant, the application contains
a written
[[Page 14551]]
agreement signed by the applicant and the third party which includes
all of the elements required in Part C. An application may be
disqualified from the competition and returned if it does not conform
to one or more of the above requirements.
b. Analysis of Need. The application should include a description
of the target area and population to be served as well as a discussion
of the nature and extent of the problem to be solved. It should also
include documentation supportive of its needs assessment such as
employment statistics, housing statistics, etc.
c. Organizational Experience and Staff Responsibilities. (i)
Organizational Experience. Each applicant must document competence in
the specific program priority area under which an application is
submitted. Documentation must be provided which addresses the relevance
and effectiveness of projects previously undertaken in the specific
priority area for which funds are being requested and especially their
cost effectiveness, the relevance and effectiveness of any services
provided, and the permanent benefits provided to the low-income
population. Organizations which propose providing training and
technical assistance must detail their competence in the specific
program priority area and as a deliverer with expertise in the fields
of training and technical assistance. If applicable, information
provided by these applicants must also address related achievements and
competence of each cooperating or sponsoring organization.
Applicable to Sub-Priority Areas 1.1, 1.2, 1.4 and 1.5
Applicants in these priority areas must also document a firmly
established and quantifiable performance record that shows the
following:
--The ability to implement major activities such as business
development, commercial development, physical development, or financial
services;
--Successful working relationships within the community including
public officials, financial institutions, corporations, other community
organizations and residents;
--A sound asset base and organizational structure in terms of (a) net
worth, (b) management stability, and (c) organizational capability;
--An ability to develop and maintain a stable program in terms of
business, physical or community development activities that will
provide needed permanent jobs, services, business development
opportunities and other benefits to community residents, and impact on
community-wide economic problems and needs;
--Sound administrative and fiscal systems and controls, and the ability
to establish and maintain partnerships with the private sector in such
forms as financial support, volunteerism or executives on loan.
(ii) Staff Skills, Resources and Responsibilities. The application
must fully describe (e.g. a resume or position description) the
experience and skills of the proposed project director showing that the
individual is not only well qualified but that his/her professional
capabilities are relevant to the successful implementation of the
project.
The application must include statements regarding who will have the
responsibilities of the chief executive officer, who will be
responsible for grant coordination with OCS, and how the assigned
responsibilities of the staff are appropriate to the tasks identified
for the project. It must show clearly that sufficient time of senior
staff will be budgeted to assure timely implementation and cost
effective management of the project.
d. Project Implementation. The application must contain a detailed
and specific workplan or business plan that is both sound and feasible.
Generally, a business plan is required for applications submitted under
sub-priority areas 1.1, 1.2 and 1.4. For all business ventures (except
for business development opportunities for self-employed program
participants) a complete business plan will be required using
guidelines discussed in the next several paragraphs. For the remaining
sub-priority areas, a workplan is acceptable in lieu of a business
plan.
Please note that OCS does not require the application to contain
business plans for each self-employed program participant. However,
a project that proposes to provide self-employed and other business
opportunities for program participants must include a development
plan that shows how participants will become self-sufficient and how
their technical assistance needs will be met.
Guidelines of a Business Plan
The business plan is one of the major components that will be
evaluated by the OCS to determine the feasibility of a business venture
or an economic development project. It must be well prepared and
address all the relevant elements as follows:
(a) Executive Summary (limit summary to 3 pages).
(b) The business and its industry. This section should describe the
nature and history of the business and provide some background on its
industry.
(i) The Business: as a legal entity; the general business category;
(ii) Description and Discussion of Industry: current status and
prospects for the industry;
(c) Products and Services: This section deals with the following:
(i) Description: Describe in detail the products or services to be
sold;
(ii) Proprietary Position: Describe proprietary features if any of
the product, e.g. patents, trade secrets;
(iii) Potential: Features of the product or service that may give
it an advantage over the competition;
(d) 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;
(i) Customers: Describe the actual and potential purchasers for the
product or service by market segment.
(ii) Market Size and Trends: State the size of the current total
market for the product or service offered;
(iii) Competition: An assessment of the strengths and weaknesses of
competitive products and services;
(iv) Estimated Market Share and Sales: Describe the characteristics
of the product or service that will make it competitive in the current
market;
(e) 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.
(f) Design and Development Plans: If the product, process or
service of the 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.
(g) 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.
(h) Management Team: The management team is the key in starting and
operating a successful business. The
[[Page 14552]]
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.
(i) 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.
(j) 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.
Also, if a ``construction project'' is involved, the Business Plan
should identify and address briefly the project's timeframes and
critical assumptions for conduct of predevelopmental, architectural/
engineering and environmental studies, etc., and acquisition of permits
for building, use and occupancy that are required for the project.
(k) Community Benefits: The proposed project must contribute to
economic, human and community 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 AFDC/TANF program will be developed. The following
project benefits must be described:
Economic Development and Job Creation
--Number of permanent jobs (with particular emphasis on jobs for low-
income people) that will be created during the project period. Also,
for low-income people, provide the following information:
--Number of jobs that will have career development opportunities and a
description of those jobs;
--Number of jobs that will be filled by individuals lifted from AFDC/
TANF assistance;
--Number of Self-employed and other ownership opportunities created for
low income residents;
--Annual salary expected for each person employed (net profit after
deductions of business expenses for self-employed persons);
--Specific steps to be taken including on-going management support and
technical assistance provided by the grantee or a third party to
develop and sustain self-employed program participants after their
businesses are in place.
Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.
Other benefits which might be discussed are:
Human Development
--New technical skills development and associated career opportunities
for community residents;
--Management development and training;
--Benefits of self-sufficiency for persons lifted from AFDC/TANF
assistance.
Community Development
--Development of community's physical assets;
--Provision of needed, but currently unsupplied, services or products
to community;
--Improvement in the living environment.
(1) 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:
(i) Profit and Loss Forecasts--quarterly for each year;
(ii) Cash Flow Projections--quarterly for each year
(iii) Pro forma balance sheets--quarterly for each year;
Also, additional financial information for the business operation
that must be included are an initial Source and Use of Funds Statement
for project funds and a brief summary paragraph discussing any further
capital requirements and their sources.
If an applicant is proposing a project which will affect a property
listed in, or eligible for inclusion in the National Register of
Historic Places, it must identify this property in the narrative and
explain how it has complied with the provisions of Section 106 of the
National Historic Preservation Act of 1966 as amended. If there is any
question as to whether the property is listed in or eligible for
inclusion in the National Register of Historic Places, the applicant
should consult with the State Historic Preservation Officer. (See
Attachment D: SF-424B, Item 13 for additional guidance.) The applicant
should contact OCS early in the development of its application for
instructions regarding compliance with the Act and data required to be
submitted to the Department of Health and Human Services. Failure to
comply with the cited Act may result in the application being
ineligible for funding consideration.
Applicable to Sub-Priority Areas 1.1, 1.2, and 1.4
Applications submitted under Sub-Priority Areas 1.1, 1.2 and 1.4
which propose to use the requested OCS funds to make an equity
investment or a loan to a business concern, including a wholly-owned
subsidiary, or to make a sub-grant with a portion of the OCS funds,
must include a written agreement between the community development
corporation and the recipient of the grant funds which contains all of
the elements listed in Part C under the appropriate Priority Area.
Applicable to Sub-Priority Area 1.5 Only
An applicant in this priority area must document its experience and
capability in several of the following areas:
Business/Development;
Micro-Entrepreneurship Development;
Commercial Development;
Organizational and Staff Development;
Board Training;
Business Management, including Strategic planning and Fiscal
Management;
Finance, including Business Packaging and Financial/Accounting
Services, and/or
Regulatory Compliance including Zoning and Permit Compliance
Incubator Development
Tax Credits and Bond Financing
Marketing
[[Page 14553]]
The applicant must document staff competence or the accessibility
of third party resources with proven competence. If the work program
requires the significant use of third party (consultant/contractor)
resources, those resources should be identified and resumes of the
individuals or key organizational staff provided.
Resumes of the applicant's staff, who are to be directly involved
in programmatic and administrative expertise sharing, should also be
included. The applicant must document successful experience in the
mobilization of resources (both cash and in-kind) from private and
public sources. The applicant must also clearly state how the
information learned from this project may be disseminated to other
interested grantees.
Applicable to Sub-Priority Area 1.6 only
An applicant in this priority area must document its experience and
capability in implementing projects national in scope and have
significant and relative experiences in working with Community
Development Corporations.
The applicant must have the ability to collect and analyze data
nationally that may benefit CDCs and be able to disseminate information
to all of OCS funded grantees; publish a national directory of funding
sources for CDCs (public, corporate, foundation, religious); publish
research papers on specific aspects of job creation by CDCs; design and
provide information on successful projects and economic niches that
CDCs can target. The applicant will also be responsible for the
development of instructional programs, national conferences, seminars,
and other activities to assist community development corporations; and
provide peer-to-peer technical assistance to OCS funded CDCs.
Applicable to Sub-Priority Area 2.1
Each applicant must include a full discussion of how the proposed
use of funds will enable low-income rural communities to develop the
capability and expertise to establish and maintain affordable, adequate
and safe water and waste water systems. Applicants must also discuss
how they will disseminate information about water and waste water
programs serving rural communities, and how they will better coordinate
Federal, State, and local water and waste water program financing and
development to assure improved service to rural communities.
Among the benefits that merit discussion under this sub-priority
area are: The number of rural communities to be provided with technical
and advisory services; the number of rural poor individuals who are
expected to be directly served by applicant-supported improved water
and waste water systems; the decrease in the number of inadequate water
systems related to applicant activity; the number of newly-established
and applicant-supported treatment systems (all of the above may be
expressed in terms of equivalent connection units); the increase in
local capacity in engineering and other areas of expertise; and the
amount of non-discretionary program dollars expected to be mobilized.
e. Significant and Beneficial Impact and Other Criteria.
The project narrative must address the remaining aspects of the
project noted in the outline of Part F, ``Contents of Application and
Receipt Process'', Items V and VI. These include a discussion of the
``Significant and Beneficial Impact, Public-Private Partnerships and
Budget Appropriateness and Reasonableness'' areas as well as
information to be included in the Appendices.
Part H--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 budget period for which support is
provided, the terms and conditions of the award, the total project
period for which support is contemplated, and the total financial
participation from the award recipient.
General Conditions and Special Conditions (where the latter are
warranted) which will be applicable to grants, are subject to the
provisions of 45 CFR Parts 74 and 92.
Grantees will be required to submit semi-annual progress and
financial reports (SF-269) as well as a final progress and financial
report.
Grantees are subject to the audit requirements in 45 CFR Parts 74
and 92 and OMB Circular A-128 or A-133. If an applicant will not be
requesting indirect costs, it should anticipate in its budget request
the cost of having an audit performed at the end of the grant period.
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds 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 submit a declaration setting forth whether
payments to lobbyists have been or will be made out of nonappropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or subgrantees will pay with the nonappropriated funds and
(3) to file quarterly up-dates about the use of lobbyists if an event
occurs that materially affects the accuracy of the information
submitted by way of declaration and certification. The law establishes
civil penalties for noncompliance and is effective with respect to
contracts, grants, cooperative agreements and loans entered into or
made on or after December 23, 1989. See Attachment H for certification
and disclosure forms to be submitted with the applications for this
program.
Attachment I indicates the regulations which apply to all
applicants/grantees under the Discretionary Grants Program.
Dated: March 18, 1997.
Donald Sykes,
Director, Office of Community Services.
Attachment A
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1996 Poverty Guidelines for the 48 Contiguous States and the District of
Columbia
------------------------------------------------------------------------
1............................................................ $7,740
2............................................................ 10,360
3............................................................ 12,980
4............................................................ 15,600
5............................................................ 18,220
6............................................................ 20,840
7............................................................ 23,460
8............................................................ 26,080
For family units with more than 8 members, add $2,226 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
1996 Poverty Guidelines for Alaska
------------------------------------------------------------------------
1............................................................ 9,660
2............................................................ 12,940
[[Page 14554]]
3............................................................ 16,220
4............................................................ 19,500
5............................................................ 22,780
6............................................................ 26,060
7............................................................ 29,340
8............................................................ 32,620
For family units with more than 8 members, add $3,280 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
1996 Poverty Guidelines for Hawaii
------------------------------------------------------------------------
1............................................................ 8,901
2............................................................ 11,920
3............................................................ 14,930
4............................................................ 17,940
5............................................................ 20,950
6............................................................ 23,960
7............................................................ 26,970
8............................................................ 29,980
For family units with more than 8 members, add $3,010 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
BILLING CODE 4184-01-P
[[Page 14555]]
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[[Page 14556]]
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.
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 applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 14557]]
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[[Page 14558]]
[GRAPHIC] [TIFF OMITTED] TN26MR97.002
[[Page 14559]]
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 3 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 total by
programs.
Lines 1-4, Columns (c) Through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amount 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 contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
BILLING CODE 4184-01-P
[[Page 14560]]
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-6
BILLING CODE 4184-01-C
[[Page 14561]]
Attachment F--Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
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.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant 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 by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Attachment G--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning and Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX: (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. and Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Virginia Bova, State Single Point of Contact, Department of Commerce
and Community Affairs, James R. Thompson Center, 100 West Randolph,
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028,
FAX: (312) 814-1800
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grant Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
[[Page 14562]]
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about
intergovernmental review to:
Linda Wise, Telephone: (614) 466-0698, FAX (614) 466-5400
Rhode island
Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
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, FAX: (803) 734-0385
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,
FAX: (608) 267-6931
Wyoming
Sheryl Jeffries, State Single Point of Contact, Office of the
Governor, State Capital, Room 124, Cheyenne, Wyoming 82002,
Telephone: (307) 777-5930, FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
management Research, Office of the Governor, P.O. Box 2950, Aganna,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444 or (809) 723-6190, FAX: (809) 724-3270 or (809) 724-3103
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, State Single Point of
Contact, Office of Management and Budget, Office of the Governor,
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272
Contact Person: Ms. Jacoba T. Seman, Federal Programs Coordinator,
Telephone: (670) 644-2289, FAX: (670) 664-2272
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069
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 any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress; or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction impose 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.
[[Page 14563]]
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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Attachment I--Department of Health and Human Services (DHHS)
Regulations Applying to All Applicants/Grantees
Title 45 of the Code of Federal Regulations
Part 16--Administration of Grants (non-governmental)
Part 74--Administration of Grants (state and local governments and
Indian Tribal affiliates):
Sections
74.26--Non-Federal Audits
74.27--Allowable cost for hospitals and non-profit organizations
among other things
74.32--Real Property
74.34--Equipment
74.35--Supplies
74.24--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 DHHS 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--Regulation for the Administration and Enforcement of
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-discrimination on the Basis of Handicap
in Programs or Activities Conducted by DHHS
Part 86--Non-discrimination on the Basis of Sex in Education
Programs and Activities Receiving or Benefitting from Federal
Financial Assistance
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 DHHS Programs and Activities
Attachment J--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 routinely owned or
leased or contracted for by an entity and used routinely or
regularly for 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
provision for the children's services and that all subgrantees shall
certify accordingly.
Attachment K--Checklist for Use in Submitting OCS Grant Applications
(Optional)
The application should contain:
1. A completed, signed SF-424, ``Application for Federal
assistance''. The letter code for the priority area e.g., UR) should
be in the lower right hand corner
2. A completed ``Budget Information--Non-Construction'' (SF-424A)
3. A signed ``Assurances: Non-Construction'' (SF-424A)
4. A Project Abstract
5. A Project Narrative beginning with a Table of contents that
describes the project in the following order:
(a) Eligibility Confirmation
(b) Analysis of Need (except for Sub-Priority 1.5 and 1.6)
(c) Organizational Experience in Program Area and Staff
Responsibilities
(1) Organizational experience in program area
(2) Staff Skills, Resources and Responsibilities
(3) CPA certification of management system (applies to
Subpriority Area 1.3 only)
(d) Project Implementation (Business Plan)
(1) Includes work plan or business plan. See instructions in
Part G, ``Instructions for Completing Application Package''
(2) Self-evaluation component (applies to Subpriority Area 1.3
only)
(e) Significant and Beneficial Impacts
(1) Significant and Beneficial Impacts
(2) Cost Per Job (except Subpriority Areas 1.3, 1.5 and 1.6)
(3) Career Development Opportunities (except Subpriority Areas
1.3, 1.5 and 1.6)
(4) Strategy for mobilization of resources and development of
business plan (applies to Subpriority Area 1.3 only)
(f) Public/Private Partnerships and Agreements
(g) Budget Appropriateness and Reasonableness
(h) Appendices including: copy of applicant's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in section 501(c)(3) of the IRS code or by
providing a copy of the currently valid IRS tax-exemption
certificate, or by providing a copy of the Articles of incorporation
bearing the seal of the State in which the corporation or
association is domiciled; proof of CDC status by providing the
purposes section of the Articles of Incorporation and a list of the
current Board of Directors' names, titles and addresses; copies of
resumes of the project director and other key management team
members; written agreements i.e., third party agreements,
coordination with AFDC/TANF, etc.; Single Point of Contact comments
(where applicable); etc.
6. A signed copy of ``Certification Regarding Lobbying Activities''
7. A completed ``Disclosure of Lobbying Activities'', if
appropriate; and
8. A self-addressed mailing label which can be affixed to a notice
to acknowledge receipt of application.
The application should not exceed a total of 65 pages for
applications submitted under sub-priority areas 1.1, 1.2, and 1.4
and 30 pages for all applications submitted under the other sub-
priority areas. It should include one original and four identical
copies, printed on white 8\1/2\ by 11 inch paper only. Applications
should be two holed punched at the top center and fastened with a
compressor slide paper fastener or a binder clip. All pages should
be numbered.
[FR Doc. 97-7520 Filed 3-25-97; 8:45 am]
BILLING CODE 4184-01-P