[Federal Register Volume 62, Number 86 (Monday, May 5, 1997)]
[Notices]
[Pages 24454-24482]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11515]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. OCS-96-04]


Request for REACH Plans Under the Office of Community Services' 
FY 1997 Low-Income Home Energy Assistance Program, Residential Energy 
Assistance Challenge Option (REACH) Program

AGENCY: Office of Community Services, ACF, DHHS.

ACTION: Announcement of availability of funds and request for REACH 
Plans under the Office of Community Services' Residential Energy 
Assistance Challenge Option (REACH) Program.

-----------------------------------------------------------------------

SUMMARY: The Administration for Children and Families (ACF), Office of 
Community Services (OCS) announces that, based on availability of 
funds, REACH Plans will be accepted for grants pursuant to the 
Secretary's authority under Section 2607B(b) of the Low-Income Home 
Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq.

CLOSING DATE: The closing date and time for receipt of REACH 
applications is 4:30 p.m., eastern time zone, on July 9, 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 VI 
B, Application Submission.

FOR FURTHER INFORMATION CONTACT: Administration for Children and 
Families, Office of Community Services, Division of Community 
Demonstration Programs, 370 L'Enfant Promenade, S.W., Fifth Floor, 
Washington, D. C. 20447, Attention: Richard Saul--(202) 401-9341, Anna 
Guidery--(202) 401-5318.
    This Notice is accessible on the OCS Electronic Bulletin Board for 
downloading through your computer modem by calling 1-800-627-8886. For 
assistance in accessing the Bulletin Board, a Guide to Accessing and 
Downloading is available from Ms. Minnie Landry at (202) 401-5309.
    The Catalog of Federal Domestic Assistance number for this program 
is 93.568. The Title is ``LIHEAP/REACH''.

Table of Contents

Part I--Introduction

A. Legislative Authority
B. Definition of Terms
C. Purpose

Part II--Background Information:

A. Eligible Applicants
B. Program Priority Areas
C. Project Periods and Budget Periods
D. Availability of Funds and Grant Amounts
E. Program Participants/Beneficiaries
F. Prohibition and Restrictions on the Use of Funds
G. Multiple Submittals and Multiple Grants
H. Maintenance of Effort

Part III--REACH Priority Areas and Program Requirements

A. Statement of Assurances and Demonstration
B. Additional Program Requirements for Priority Area 1.0
1. Eligible Applicants for Priority Area 1.0
2. Program Focus for Priority Area 1.0
3. Holistic Strategy and Mobilization of Resources for Priority Area 
1.0 Projects
    4. Scope of the Priority Area 1.0 REACH Plan
    5. Low-Income Citizen Participation in Establishment of REACH 
Projects under Priority Area 1.0
    6. Third-Party Evaluation of Priority Area 1.0 Projects
    7. Dissemination of Priority Area 1.0 Project Results.
C. Special Program Requirements for Priority Area 2.0
    1. Eligible Applicants for Priority Area 2.0
    2. Program Focus
    3. Holistic Program strategy
    4. Scope of the Priority Area 2.0 REACH Plan
    5. Low-Income Citizen Participation under Priority Area 2.0
    6. Third Party Evaluation of Priority Area 2.0 Projects
    7. Dissemination of Priority Area 2.0 Project Results

Part IV--REACH Plan Elements and Review Criteria

A. Program Elements, Review and Assessment Criteria for REACH Plans 
Under Priority Area 1.0
B. Special Program Elements, Review and Assessment Criteria for 
REACH Plans Under Priority Area 2.0

Part V--Quality Standards for Energy Efficiency Education Services 
Plans

A. Purpose
B. Target Population
C. Needs Assessment and Project Design Process
D. Service Delivery
E. Relation of Services to Changes, of Changes to Outcomes, and of 
Outcomes to Goals (a ``Logic Model'')
F. Evaluation

Part VI--Application Procedures

A. Availability of Forms
B. Application Submission
C. Paperwork Reduction Act of 1995
D. Application Consideration
E. Criteria for Screening Applications

Part VII--Instructions for Completing Application Forms

A. SF-424--Application for Federal Assistance
B. SF-424A--Budget Information--Non-Construction Programs
C. SF-424B--Assurances--Non-Construction

Part VIII--Contents of Reach Plan and Receipt Process

A. Content and Order of Application
B. Acknowledgement of Receipt

Part IX--Post-Award Information and Reporting Requirements

A. Notification of Grant Award
B. Attendance at Workshops
C. Reporting Requirements
D. Audit Requirements
E. Prohibitions and Requirements with regard to Lobbying
F. Applicable Federal Regulations

Part I--Introduction

A. Legislative Authority

    Section 2607B(b) of the Low-Income Home Energy Assistance Act of 
1981, as amended, 42 USC 8621 et seq.,

[[Page 24455]]

authorizes the creation of the Residential Energy Assistance Challenge 
Option (REACH) Program, which was funded for the first time in FY 1996. 
REACH is designed to provide services through local community-based 
agencies to help LIHEAP eligible households reduce their energy 
vulnerability.
    The Secretary is authorized to make incentive grants to States, 
Tribes, Tribal Organizations, and certain Insular Areas that submit 
qualifying Plans, hereinafter referred to as REACH Plans, that are 
approved by the Secretary as REACH initiatives. Successful applicants 
are to use such grants for the costs of planning, implementing, and 
evaluating the initiative. Only grantees under the Low Income Home 
Energy Assistance Program (LIHEAP) may apply for REACH grants.
    The Secretary must also reserve from any funds allocated under the 
REACH initiative, funds to make additional payments to selected REACH 
applications that (a) Include energy efficiency education services 
plans that meet quality standards established by the Secretary in 
consultation with the Secretary of Energy; and (b) have the potential 
for being replicable model designs for other programs.
    This Announcement is requesting competitive REACH Plans from 
eligible applicants which are consistent with the information, 
requirements, and program elements and review criteria outlined in 
Parts II, III, IV, and V, below.

B. Definition of Terms

    For purposes of this Program Announcement, the following 
definitions apply [Definitions marked with an asterisk(*) are the 
definitions found in Section 2603 of the Low Income Home Energy 
Assistance Act, as amended, (42 U.S.C. 8622) and apply to the REACH 
Initiative]:
--Budget period: The term ``budget period'' refers to the interval of 
time into which a multi-year period of assistance (project period) is 
usually divided for budgetary and funding purposes, and is generally 
between 12 and 17 months duration.
--Community-based, nonprofit entity: A corporation or association whose 
profits may not lawfully accrue to the benefit of any shareholder or 
individual, and whose goals, objectives and activities are established 
and carried out through a process involving the Participation of 
residents of the community or local area being served, including low-
income residents. For purposes of the REACH Program, this includes all 
organizations or agencies which meet the definition of ``eligible 
entity'' in Section 673(1) of the Community Services Block Grant Act as 
amended (42 USC 9902(1)).
--Community-based organization recipient (CBO Recipient): The 
community-based nonprofit entity through which State REACH Project 
services shall be delivered in the applicant State under Priority Area 
1.0.
--Energy burden* means the expenditures of the household for home 
energy divided by the income of the household.
--Energy crisis* means weather-related and supply shortage emergencies 
and other household energy-related emergencies.
--Highest home energy needs* means the home energy requirements of a 
household determined by taking into account both the energy burden of 
such household and the unique situation of such household that results 
from having members of vulnerable populations, including very young 
children, individuals with disabilities, and frail older individuals.
--Home energy* means a source of heating or cooling in residential 
dwellings.
--Household* means any individual or group of individuals who are 
living together as one economic unit for whom residential energy is 
customarily purchased in common or who make undesignated payments for 
energy in the form of rent.
--Innovative project: One that departs from or significantly modifies 
past program practices and tests a new approach(es).
--Intervention: Any planned activity within a project that is intended 
to produce changes in the target population or the environment, and can 
be formally evaluated.
--Nonprofit organization: A corporation or association whose profits 
may not lawfully accrue to the benefit of any shareholder or individual 
(and through which REACH Project services may be delivered under 
Priority Area 2.0).
--Outcome evaluation: An assessment of measured results designed to 
provide a valid determination of the net effects attributable to the 
intervention. An outcome evaluation will produce and interpret findings 
related to whether the intervention produced desirable changes and its 
potential for replicability. It should answer the question, ``Did this 
program work?''
--Poverty level* means, with respect to a household in any State, the 
income poverty line as prescribed and revised at least annually 
pursuant to section 673(2) of the Community Services Block Grant Act, 
as applicable to such State. (See Attachment A.)
--Process evaluation: Descriptive information that is gathered on the 
development and implementation of a program/intervention that may serve 
as a document for replicating the program elsewhere. The evaluation 
should also identify problems that occurred and how they were dealt 
with and recommend improved means of future implementation. It should 
answer the question: ``How was the program carried out?'' In concert 
with the outcome evaluation, it should also help explain, ``Why did 
this program work/not work?''
--Project period: The term ``project period'' refers to the total time 
for which a project is approved for support, including any extensions. 
If for more than 17 months, it is usually divided into ``budget 
periods'' of 17 months or less duration for which individual grant 
actions are made. (see ``Budget period'').
--Secretary* means the Secretary of Health and Human Services.
--State* means each of the several States and the District of Columbia.
--State median income* means the State median income promulgated by the 
Secretary in accordance with procedures established under section 
2002(a)(6) of the Social Security Act (as such procedures were in 
effect on the day before the date of the enactment of this Act) and 
adjusted, in accordance with regulations prescribed by the Secretary, 
to take into account the number of individuals in the household.

C. Purpose

    As described in the authorizing legislation, the purpose of the 
REACH Program is to--
    (1) Minimize health and safety risks that result from high energy 
burdens on low-income Americans;
    (2) Prevent homelessness as a result of inability to pay energy 
bills;
    (3) Increase efficiency of energy usage by low-income families; and
    (4) Target energy assistance to individuals who are most in need.
    In keeping with this broad mandate, OCS will support a limited 
number of innovative Pilot Projects that seek to demonstrate the long 
term cost effectiveness of supplementing energy assistance payments 
with non-monetary benefits that can increase the ability of eligible 
households to meet energy costs and help them to achieve energy self-
sufficiency.

[[Page 24456]]

Part II--Background Information

A. Eligible Applicants

    States, Indian Tribes, and Tribal Organizations (including Alaskan 
Native Villages), and Insular Areas that receive direct grants from the 
Department of HHS under LIHEAP which are expended for implementing a 
LIHEAP program may apply for funds under the REACH Program. Note: Due 
to the limited availability of funds, States which received REACH 
grants in FY 1996 under Priority Area 1.0 for the maximum amount of 
$1.5 million will not be eligible for funding in FY 1997. States which 
received FY 1996 REACH grants for less than the maximum amount of $1.5 
million will be eligible to receive FY 1997 grants, on a competitive 
basis, for an amount which, taken together with the FY 1996 grant, 
would not exceed the $1.5 million maximum grant amount.

B. Program Priority Areas

    The REACH Program will have two Priority Areas: Priority Area 1.0, 
for which eligible applicants are States, the District of Columbia and 
Puerto Rico; and Priority Area 2.0, for which eligible applicants are 
Tribes, Tribal Organizations, and other Insular Areas which are LIHEAP 
grantees that use LIHEAP funds to implement a LIHEAP Program.

C. Project Periods and Budget Periods

(See Part I, B, Definition of Terms)

    The Low-Income Home Energy Assistance Act of 1981, as amended (42 
USC 8621) authorizes a block grant program of which the REACH Program 
is a part, and to which 45 Code of Federal Regulations (CFR) Parts 74 
and 92 and OMB Circulars do not apply. However, 45 CFR Part 96 does 
apply to REACH funds. Grantees are required to obligate REACH funds by 
the end of the Fiscal Year following the Fiscal Year in which the REACH 
grant was awarded by OCS; but as noted below, grantees under Priority 
Area 1.0 will be encouraged to obligate funds to sub-recipients well 
before that deadline.
1. Project Periods
    Project periods will be 36 months for all REACH projects under 
Priority Area 1.0 and for projects under Priority Area 2.0 when the 
applicant elects to delegate the project to a non-profit organization 
as described below.
    States under Priority Area 1.0 and applicants under Priority Area 
2.0 with thirty-six month Project Periods are encouraged to provide for 
completion of the planning and consummation of awards to sub-recipients 
within a time frame that will allow for adequate start-up and an 
implementation period of at least two years, followed by a phase-out 
period that will permit completion of the required evaluation under 
Priority Area 1.0 and reporting under Priority Area 2.0.
    Project periods will be up to 17 months under Priority Area 2.0 
where applicants elect to operate projects directly, as described 
below.
2. Budget Periods
    (a) Budget Periods for all REACH Projects will be twelve months 
(one year) in Priority Area 1.0 and Priority Area 2.0 when applicants 
elect to operate the REACH Program through non-profit organizations.
    (1) In the case of projects under Priority Area 1.0, States will 
receive grants for the full amount of the three-year Project Period, 
and must award REACH funds to CBO Recipients for total project budgets 
covering the full Project Period by the end of the Fiscal Year 
following the Fiscal Year in which the grant is awarded, and should 
solicit and/or design local projects accordingly. Applicants under 
Priority Area 1.0 may include in the REACH Initiative budget an amount 
up to ten percent (10%) of the total REACH grant for planning, 
administration, and coordinating costs at the State level, and for 
contracting with a third party evaluator as defined in Part IV-A, 
Element VI, below, and discussed in Part III-A.6., during the first 
project year (the first twelve month budget period) of the REACH 
Initiative. States may apply for continued funding for such costs for 
each of the second and third project years (budget periods) on a non-
competitive basis, for an amount each of those project years of up to 
five percent (5%) of the original grant amount, subject to the 
availability of funds, satisfactory progress of the grantee, and 
determination that this would be in the best interest of the 
government.
    (2) In the case of REACH Projects under Priority Area 2.0, where 
applicants elect to operate REACH projects through non-profit 
organizations, grants awarded pursuant to this announcement will 
likewise be for the full amount of the three year Project Period, and 
applicants will in like manner award REACH funds to sub-recipients for 
total project budgets covering the full Project Period as described in 
the preceding paragraph (a). Such applicants may include up to five 
percent (5%) of the total REACH grant for planning, administration and 
coordinating costs of the first year, which may be continued for years 
two and three on the same terms as described in preceding paragraph 
(a).
    (b) Where applicants under Priority Area 2.0 elect to operate REACH 
programs themselves, as described below, grants awarded pursuant to 
this announcement may be for up to 17-month Project and Budget Periods.

D. Availability of Funds and Grant Amounts

    The total amount expected to be available for REACH Initiative 
grants pursuant to this announcement is approximately $5,000,000. The 
Office of Community Services expects to award up to eight competitive 
grants under Priority Area 1.0 for General Pilot Projects of $500,000 
to $1,500,000 each for the planning, implementation and evaluation of 
REACH Initiatives; but the total amount awarded under Priority Area 1.0 
will not exceed $4,000,000, except as provided under Priority Area 2.0. 
OCS expects to award four to sixteen grants under Priority Area 2.0 for 
smaller Pilot Projects of $20,000 to $150,000 each to Indian Tribes and 
Tribal Organizations for a total of up to $400,000. Any funds not 
awarded under Priority Area 2.0 will be available for funding under 
Priority Area 1.0. Pursuant to the legislative mandate, an additional 
$600,000 has been reserved by the Secretary to make additional payments 
of up to $100,000 each to qualifying funded REACH Initiatives under 
Priority Area 1.0, and payments of up to $25,000 each under Priority 
Area 2.0, for implementation and evaluation of Energy Efficiency 
Education Services (EEES) Plans which meet the Quality Standards 
established in consultation with the Secretary of Energy which are set 
forth in Part V of this Announcement, and have the potential for being 
replicable model designs for other programs. Any such reserved funds 
not awarded for EEES Plans will be available for funding REACH 
applications under Priority Areas 1.0 and 2.0.

E. Program Participants/Beneficiaries

    Projects proposed for funding under this announcement must result 
in direct benefits to low-income individuals and families who are 
eligible for LIHEAP benefits under the applicant's LIHEAP program, 
pursuant to Section 2605(b)(2) of the Low Income Home Energy Assistance 
Act of 1981, as amended. However, not all LIHEAP recipients and/or 
eligible households must be provided REACH services. Applicants may 
target a portion of the LIHEAP-eligible population for REACH services.
    Attachment A to this announcement is an excerpt from the Poverty 
Income

[[Page 24457]]

Guidelines currently in effect. Annual revisions of these guidelines 
are normally published in the Federal Register in February or early 
March of each year. Where relevant to REACH eligibility criteria, 
grantees will be required to apply the most recent guidelines 
throughout the project period. These revised guidelines also may be 
obtained at public libraries, Congressional offices, or by writing the 
Superintendent of Documents, U.S. Government Printing Office, 
Washington, D.C. 20402. They also are accessible on the OCS Electronic 
Bulletin Board for reading and/or downloading. (See For Further 
Information at beginning of this announcement.)
    Consistent with the legislative purpose of the REACH Initiative 
``to target energy assistance to individuals who are most in need'', 
projects proposed for funding under this Announcement may further 
restrict eligibility to lower income individuals and families within 
the LIHEAP eligible universe.
    Under the authorizing legislation applicants may designate all or 
part of the State or all or part of the client population as a focus of 
its REACH Initiative. The Secretary has determined that in order best 
to compare the cost effective outcomes of REACH benefits with those of 
LIHEAP payment benefits alone, the geographic/client focus of the REACH 
program should be one which results in REACH expenditures bearing a 
reasonable relationship to the LIHEAP payment benefits available to the 
same target population. [Note: In the FY 1996 Program Announcement for 
REACH it was suggested that proposed REACH expenditures be not less 
than one-half nor more than twice the amount of LIHEAP benefits paid 
within the REACH service area to eligible households over a two-year 
period under current appropriation levels. It has been brought to our 
attention that such a limitation is too restrictive in the sense that 
the lower limit precludes: (1) The testing of innovative REACH 
initiatives over larger areas at relatively low per-capita cost; (2) 
the testing of innovative long term REACH initiatives which, although 
at a higher initial cost, might prove cost effective over the longer 
term; and (3) unduly limits recipients of smaller allocations of LIHEAP 
funds, even though long term needs may be great. Consequently, no such 
restrictions are suggested in this Announcement, and applicants are 
left to justify their requests for funding as cost effective in their 
program narratives.]

F. Prohibition and Restrictions on the Use of Funds

    The use of REACH funds for the purchase or construction of real 
property is prohibited. Costs incurred for rearrangement and alteration 
of facilities required specifically for the funded program are 
allowable when specifically approved by ACF in writing. However, in 
keeping with the legislative mandate to include energy related 
residential repair and energy efficiency improvements in REACH Project 
activities, such activities carried out in beneficiaries' residences 
will not be considered to be violative of these prohibitions or 
restrictions.
    If the 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 (16 U.S.C. 470). 
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 guidelines.) The 
applicant should contact OCS early in the development of its 
application for instructions regarding compliance with the National 
Historic Preservation Act and data required to be submitted to the 
Department of Health and Human Services. Failure to comply with the 
cited Act will result in the application being ineligible for funding 
consideration.

G. Multiple Submittals and Multiple Grants

    Due to the limited number of grants that will be made under this 
program, only one application from any one eligible applicant will be 
funded by OCS from FY 1997 REACH funds. (This does not preclude 
applicants from submitting more than one application or including more 
than one local REACH Project/CBO Recipient in their REACH plans.)

H. Maintenance of Effort

    The activities funded under this program announcement must be in 
addition to, and not in substitution for, activities previously carried 
on without Federal assistance. Also, the benefits and services provided 
eligible participants in the REACH Project must be provided in addition 
to and in coordination with benefit payments and services provided 
under the applicant's regular LIHEAP Program. A signed Certificate of 
Maintenance of Effort must be included with the application (see 
Attachment J).

Part III--Reach Priority Areas and Program Requirements

A. Statement of Assurances and Demonstration

    Section 2607B of the Low-Income Home Energy Assistance Act of 1981, 
as amended, which authorizes the REACH program, provides that ``each 
State plan shall include each of the elements in paragraph (2), to be 
met by State and local agencies.'' These required elements are listed 
below. To be considered for funding, each REACH Plan must include a 
signed ``Statement of Assurance and Demonstration'' that the proposed 
REACH Plan meets all of the legislative requirements listed below. [The 
required ``Statement of Assurances and Demonstration'' is appended as 
``Attachment M'' to this Program Announcement.]
    (1) Service delivery through community-based nonprofit entity. (For 
applicants under Priority Area 1.0 only.)

[Should be reflected in Plan Elements II and VII]

    (2) In awarding grants or contracts to community-based non-profit 
entities, priority will be given to CSBG eligible entities that are 
successful LIHEAP service providers and receive Weatherization 
Assistance Program funds from the Department of Energy. (For applicants 
under Priority Area 1.0 only.)

[Should be reflected in Plan Elements II and VII. Attach letter(s) of 
certification as described therein]

    (3)(a) Each CBO Recipient under Priority Area 1.0 to provide a 
variety of services, to include:
    (i) Payments to, or on behalf of, individuals eligible for 
residential energy assistance services and benefits under section 
2605(b) of the Act for home energy costs;
    (ii) Energy efficiency education;
    (iii) Residential energy demand management services, including any 
other energy related residential repair and energy efficiency 
improvements in coordination with, or delivered by, Department of 
Energy weatherization assistance programs at the discretion of the 
State;
    (iv) Family services, such as counseling and needs assessment, 
related to energy budget management, payment plans, and related 
services; and
    (v) Negotiation with home energy suppliers on behalf of households

[[Page 24458]]

eligible for REACH services and benefits;

[Should be reflected in Plan Elements II and III, as appropriate]

    (b) Given the size of most tribal and small insular territory 
LIHEAP programs, the Secretary has determined, in accordance with 45 
CFR 96.42(a), that REACH applications from tribal and small insular 
area LIHEAP grantees under Priority Area 2.0 do not have to provide all 
of the above services. Therefore, each REACH Plan under Priority Area 
2.0 must include provision of at least two of the services listed in 
paragraph (1).
    (4) A description of the methodology the State and local agencies 
will use to determine--
    (a) Which households will receive one or more forms of benefits 
under the State REACH initiative;
    (b) The cases in which nonmonetary benefits are likely to provide 
more cost-effective long-term outcomes than payment benefits alone; and
    (c) The amount of such benefit required to meet the goals of the 
program;

[Should be reflected in Elements II and V]

    (5) A method for targeting nonmonetary benefits;

[Should be reflected in Element II]

    (6) A description of the crisis and emergency assistance activities 
the State will undertake that are designed to--
    (a) Discourage family energy crises;
    (b) Encourage responsible vendor and consumer behavior; and
    (c) Provide only financial incentives that encourage household 
payment;

[Should be reflected in Elements II and V]

    (7) A description of the activities the State will undertake to--
    (a) Provide incentives for recipients of assistance to pay home 
energy costs; and
    (b) Provide incentives for vendors to help reduce the energy 
burdens of recipients of assistance;

[Should be reflected as appropriate in Elements II and V]

    (8) An assurance that the State will require each entity that 
receives a grant or enters into a contract under this section to 
solicit and be responsive to the views of individuals who are 
financially eligible for benefits and services under this section in 
establishing its local program;

[Should be reflected in Element II]

    (9) A description of performance goals for the State REACH 
initiative including--
    (a) A reduction in the energy costs on participating households 
over one or more fiscal years;
    (b) An increase in the regularity of home energy bill payments by 
eligible households; and
    (c) An increase in energy vendor contributions towards reducing 
energy burdens of eligible households;

[Should be reflected in Element II(b) and, under Program Area 1.0, 
Element VIII also]

    (10) A description of the indicators that will be used by the State 
to measure whether the performance goals have been achieved;

[Should be reflected, for Priority Area 1.0, in Element VIII]

    (11) An assurance that benefits and services will be provided in 
addition to other benefit payments and services provided under this 
title and in coordination with such benefit payments and services;

[Should be reflected in Element II]

    (12) An assurance that no regulated utility covered by the plan 
will be required to act in a manner that is inconsistent with 
applicable regulatory requirements.

[Should be reflected in Element II]

    (13) A demonstration that the REACH Plan is consistent with 
paragraphs (2), (3), (4), (5), (7), (10), (11), (12), (13), and (14) of 
section 2605(b) of the Low Income Home Energy Assistance Act of 1981, 
as amended; subsections (d), (e), (f), (g), (h), (i), and (j) of 
section 2605; and section 2606 of the Act;

[See Attachment K for texts of these Sections and subsections; should 
be reflected as appropriate in Elements II, IV, and VII]

[Note: The definitions in Section 2603 of the Act have been 
incorporated into the definitions in Part I, Section B of this 
Announcement and will apply to the REACH Initiative.]

    The requirements of this section will be met by the inclusion at 
the beginning of the REACH Plan of a Statement of Assurance and 
Demonstration that the Plan meets the Requirements as set forth in Part 
III, Section A. (See Attachment M)

B. Additional Program Requirements for Priority Area 1.0

1. Eligible Applicants for Priority Area 1.0
    Eligible applicants for these grants under Priority Area 1.0 are 
the fifty States, the District of Columbia and Puerto Rico. They must 
deliver REACH services, in one or more specific projects, through 
community-based, nonprofit organizations, hereinafter referred to as 
CBO Recipients, by awarding grants to or entering into contracts with 
such CBO Recipients for the purpose of providing such services and 
payments directly to individuals eligible for benefits. If a State 
makes LIHEAP payments directly to eligible individuals or energy 
suppliers, the State need not require the CBO Recipient(s) to make such 
payments, but must enter into contract(s) with such CBO Recipients to 
administer the REACH program(s), including: (i) Determining 
eligibility, (ii) providing outreach services, and (3) providing REACH 
benefits other than payments. Local Agencies may not apply for direct 
REACH funding.
    In awarding grants or entering into contracts to carry out its 
REACH Initiative, the State must give priority to eligible entities, as 
defined in Section 673 of the Community Services Block Grant Act (42 
U.S.C. 9902(1)) except where significant geographic portions of the 
State are not served by such entities, that: (1) Have a record of 
successfully providing services under the Low-Income Home Energy 
Assistance Program (as determined by DHHS), and (2) receive funds under 
the Department of Energy's Low Income Weatherization Assistance 
Program. The State may not require any such entity to operate a REACH 
Project.
2. Program Focus for Priority Area 1.0
    As noted above, so that the cost effective outcomes of REACH 
benefits may best be compared with those of LIHEAP benefits alone, an 
Applicant, in designating the REACH service area or segment of the 
eligible population to be served by the proposed REACH Plan, should 
seek to define (an) area(s) or population segment(s) whose allocation 
under the LIHEAP program bears a reasonable relationship to the 
resources available to the REACH Project. In this regard, the applicant 
should consider the totality of resources that will be available to 
support the REACH Project's implementation and the level of benefit 
and/or services reasonably required to achieve the Project's goals and 
objectives. This will be a function, in part, of the specific 
interventions that will go to make up the ``benefits and services'' in 
the particular Project design; and an objective of every REACH Plan 
should be to measure the success of such interventions in achieving 
more cost-effective long-term outcomes than energy payment benefits 
alone. Thus OCS is interested in REACH Plans that propose testing 
innovative approaches to helping low-income families achieve energy 
self-sufficiency,

[[Page 24459]]

and ultimate independence from energy assistance payments.
3. Holistic Strategy and Mobilization of Resources for Priority Area 
1.0 Projects
    OCS is interested in having Applicants approach the energy needs of 
low-income families within a holistic context of the economic, social, 
physical, and environmental barriers to achieving self-sufficiency. 
Thus applicants should include in their REACH Plan an explanation of 
how the proposed project(s) will be integrated with and support other 
anti-poverty or development strategies within the target community or 
communities.
    REACH grantees are not required to match REACH grant awards with 
either cash or in-kind contributions of goods and services. However, in 
keeping with this holistic integration of REACH Projects within the 
community, they are expected to be closely coordinated with other 
public and private sector programs involved with community 
revitalization, housing rehabilitation and weatherization, and family 
development; and OCS will give favorable consideration in the 
application review process to applicants who mobilize third-party cash 
and/or in-kind contributions for direct use in the REACH Project. Even 
though there is no matching requirement for the REACH Program, grantees 
will be held accountable for any match, cash or in-kind contribution 
proposed or pledged as part of an approved application. (See Part IV-A, 
Element III.)
    If the REACH service area or portion thereof is covered by a 
comprehensive community-based strategic plan, such as that required for 
applying for Empowerment Zone/Enterprise Community (EZ/EC) status, to 
achieve both economic and human development in an integrated manner, 
applicants should document how they and/or the designated CBO 
Recipient(s) were involved in the preparation and implementation of the 
plan, and how the proposed REACH project(s) will support the goals of 
that plan. (See Part IV-A, Element VIII.)
4. Scope of the Priority Area 1.0 REACH Plan
    A State may submit a REACH Plan which proposes one local REACH 
Project to be implemented by one CBO Recipient; it may submit a Plan in 
which the same project is proposed to be implemented in several 
localities by separate CBO Recipients; or it may submit a plan 
proposing two or more different and distinct Projects, each to be 
implemented through a separate CBO Recipient. Where a State proposes 
different and distinct REACH Projects to be carried out by more than 
one CBO Recipient, the REACH Plan should include, for each of these 
projects/CBO Recipients, a separate narrative of no more than twenty-
four pages in length, covering Elements I through VI, as explained in 
Part IV, and designated as ``Segment One'' of the Project Narrative; 
and a Budget Justification as described in Element II, covering Project 
Budget Appropriateness.
    Where a REACH Plan proposes only one distinct project, to be 
implemented either in one locality or in several, by either one or more 
than one CBO Recipient, then the Plan need include only one ``Segment 
One'' narrative of no more than 24 pages in length, but, as noted below 
under Part IV-A, this should include an Element I capability statement, 
not to exceed five pages in length, for each of the implementing CBO 
Recipients. In such cases the additional five-page Element I capability 
statements may be in addition to the twenty-four page limit for Segment 
One narratives.
    ``Segment Two'' of the REACH Plan Narrative should be no longer 
than six pages in length and include Element VII, the Management and 
Organization of the overall REACH Initiative by the applicant State, 
and Element VIII, the outline of an Evaluation Plan as described in 
Paragraph 6. below. Element VII, under Segment Two of the Priority Area 
1.0 REACH Plan must also include the designation, in accordance with 
the priorities described in Section A. 1., above, of the CBO 
Recipient(s) through which the proposed project(s) will be implemented. 
With each Priority Area 1.0 REACH Plan there must be included a Letter 
of Agreement from each designated CBO Recipient subscribing to the 
project concept as described in the appropriate ``Segment One'' 
narrative section of the Plan and agreeing to operate the REACH project 
as proposed. The Letter of Agreement must also commit the CBO 
Recipient(s) to a process of Low-Income Citizen Participation in the 
establishment of the local REACH Project, as described in Paragraph 5., 
below.
5. Low-Income Citizen Participation in Establishment of REACH Projects 
under Priority Area 1.0
    To be considered for funding, a REACH Plan must include provision 
for the systematic and regularized solicitation, by the designated CBO 
Recipient(s), of the views of eligible low-income individuals in the 
community; and for the assurance, by means of an advisory board or 
similar process, that such organization(s) will be responsive to such 
views in the development and implementation of the local Project. 
Assurance for compliance with these requirements may be accomplished 
through the Letter of Agreement submitted by each CBO Recipient as 
required in Paragraph 4., above. (See Part IV-A, Sub-Element II(a))
6. Third-Party Evaluation of Priority Area 1.0 Projects
    REACH Plans must include provision for an independent, 
methodologically sound evaluation of the effectiveness of the 
activities carried out with the grant and their efficacy in achieving 
stated project goals related to reducing participant home energy costs 
and increasing the ability of participants to meet such costs 
independent of payment subsidy, including, specifically, the 
performance goals set out in paragraph 9, and indicators described 
pursuant to paragraph 10, of the Statement of Assurances and 
Demonstration under Part III A.
    The Plan should include a well thought through outline of an 
evaluation plan for the proposed project(s). The outline should explain 
how the applicant proposes to answer the key questions about how 
effectively the project is being/was implemented (the Process 
Evaluation) and whether and why/why not the project activities or 
interventions achieved the expected outcomes and goals of the 
project(s) (the Outcome Evaluation). (See Part I, Section B for 
definitions of Process and Outcome Evaluations.) Applicants may propose 
a single evaluation for their overall REACH Initiative, or separate 
evaluations for individual projects, as and where appropriate.
    In addition to the performance goals mentioned above, the outline 
should include a description of the indicators that will be used by the 
State (and the CBO Recipient(s)) to measure whether the goals have been 
achieved.
    The evaluation must be conducted by an independent, third-party 
evaluator, i.e., a person with recognized evaluation skills who has 
experience with social programs and is organizationally distinct from, 
and not under the control of, the applicant or the local 
organization(s) implementing the REACH Project. It is important that 
each successful applicant have a third-party evaluator selected, and 
performing at the very latest by the time the work program of the 
project is begun, and if possible before that time so that he or she 
can participate in the final design of the program, in order to assure 
that data necessary for the evaluation will be collected and available. 
Costs of

[[Page 24460]]

evaluation may be shared by CBO Recipients where appropriate and 
subject to their agreement.
7. Dissemination of Priority Area 1.0 Project Results
    REACH Plans should include provision for disseminating the results 
of the project among LIHEAP grantees, utility companies, and others 
interested in increasing the self-sufficiency of the poor. Applicants 
may budget up to $5,000 for dissemination purposes.

C. Special Program Requirements for Priority Area 2.0

1. Eligible Applicants for Priority Area 2.0
    Eligible Applicants for REACH grants under Priority Area 2.0 are 
Indian Tribes and Tribal Organizations which currently receive direct 
grants from DHHS under the LIHEAP Program; and the Insular Areas of 
American Samoa, Commonwealth of the Northern Mariana Islands, the U.S. 
Virgin Islands, and Guam, provided they are LIHEAP grantees that use 
LIHEAP funds to implement a LIHEAP Program. In accordance with 45 CFR 
96.42(a), the Secretary has determined that inasmuch as these 
applicants are generally representative of and close to their 
communities, which with few exceptions are relatively small; and 
inasmuch as they generally implement their LIHEAP programs and other 
social service programs directly; that therefore the requirements of 
Section 2607B(e)(2)(A) and (B) of the Act are not applicable to 
eligible applicants under Priority Area 2.0; and that consequently 
REACH grantees under Priority Area 2.0 may implement REACH programs 
directly, without delegation to CBO Recipients. However, as explained 
in Part II B, Budget Periods, above, applicants electing to implement 
their REACH Projects directly will be limited to projects of no more 
than 17 months duration (Project and Budget Periods of no more than 17 
months).
    Applicants under Priority Area 2.0 may also elect to operate their 
projects through grants or contracts to non-profit organizations. 
However, in such cases the non-profit organization does not have to be 
a community based organization (CBO) as defined in Part I. If they 
choose to operate their projects through non-profit organizations, the 
Project and Budget Periods applicable to Priority Area 1.0 will apply.
2. Program Focus
    The Program Focus for Priority Area 2.0 REACH projects should be 
the same as for Priority Area 1.0, described above in Section A.2.
3. Holistic Program Strategy
    OCS is interested in having applicants under Priority Area 2.0 
approach the energy needs of low-income families within a holistic 
context of the economic, social, physical, and environmental barriers 
to achieving self-sufficiency. Accordingly, applicants under Priority 
Area 2.0 should describe how their REACH Plan will be coordinated with 
other programming aimed at community development, housing 
rehabilitation and weatherization, and family development.
4. Scope of the Priority Area 2.0 REACH Plan
    The Priority Area 2.0 REACH Plan should describe the concept of the 
proposed REACH Project, describing the goals or outcomes that the 
project seeks to achieve; the needs of the target population that the 
project seeks to address; the assumptions about how those needs can be 
met; and the activities or interventions that the project will 
undertake to meet the needs and achieve the goals and outcomes of the 
project.
5. Low-Income Citizen Participation under Priority Area 2.0
    To be considered for funding, a REACH Plan must include provision 
for the systematic and regularized solicitation by the grantee of the 
views of eligible low-income individuals in the community. (See Part 
IV-B, Sub-Element II(a))
6. Third-Party Evaluation of Priority Area 2.0 Projects
    As noted above, the Priority Area 1.0 requirement for a third party 
evaluation does not apply to Priority Area 2.0 grantees. However, 
Priority Area 2.0 REACH Plans must describe the indicators they will 
use to measure whether their performance goals have been achieved, and 
they must submit a report summarizing these results at the end of the 
grant period.
7. Dissemination of Priority Area 2.0 Project Results
    Applicants under Priority 2.0 may budget up to $1,000 for 
dissemination of project results.

Part IV--Reach Plan Elements and Review Criteria

    The ultimate goals of the projects to be funded under the REACH 
Program are to realize significant improvements in the ability of 
eligible households to meet energy costs and pay home energy bills with 
regularity, through innovative project interventions which will reduce 
energy costs and increase the capability of low-income participants to 
pay; in the case of REACH Projects under Priority Area 1.0, to evaluate 
the effectiveness of these interventions and of the project design 
through which they were implemented; and thus to make possible the 
replication of successful programs. OCS intends to make the awards of 
all the above grants on the basis of brief, concise REACH Plans. The 
elements and format of these plans, along with the review criteria that 
will be used to judge them, will be outlined in this Part.
    The competitive review of REACH Plans will be based on the degree 
to which applicants:
    (1) Incorporate each of the Elements and Sub-Elements below into 
their plans, so as to describe convincingly a project that will develop 
and implement new and innovative approaches to address critical energy 
needs or problems of the poor;
    (2) Include the required assurances and program activities set 
forth in Part III, above; and,
    (3) In the case of applications under Priority Area 1.0; test and 
evaluate such approaches and activities so as to make possible 
replication of a successful program.

A. Program Elements, Review and Assessment Criteria for REACH Plans 
Under Priority Area 1.0

    This Section has been divided into Two Segments: Segment One made 
up of Elements I, II (with three Sub-Elements), III, IV, V, and VI 
which should be completed for each different and distinct local REACH 
Project to be carried out by a CBO Recipient, and must not be more than 
twenty-four pages in length; and Segment Two, made up of Elements VII 
and VIII, which should be completed only once for the applicant's 
entire REACH Initiative, and must not be more than six pages in length. 
As explained in Part III-B. 4., Scope of REACH Plan, a State may submit 
a REACH Plan which proposes one local REACH Project to be implemented 
by one CBO Recipient; it may submit a Plan in which the same project is 
proposed to be implemented in several localities by separate CBO 
Recipients; or it may submit a plan proposing two or more different and 
distinct Projects, each to be implemented through a separate CBO 
Recipient. Where a State proposes different and distinct REACH Projects 
to be carried out by more than one CBO Recipient, the REACH Plan should

[[Page 24461]]

include, for each of these projects/CBO Recipients a separate Segment 
One Narrative; where a REACH Plan proposes only one distinct project, 
to be implemented either in one locality or in several, by either one 
or more than one CBO Recipient, then the Plan need include only one 
``Segment One'' narrative; but this should include an Element I 
capability statement, not to exceed five pages in length, for each of 
the implementing CBO Recipients. In such cases the additional five-page 
Element I capability statements may be in addition to the twenty-four 
page limit for Segment One narratives, and the Element One review 
scores will be averaged as noted below.
    In order to simplify the application preparation and review 
process, OCS seeks to keep applications cogent and brief. For each of 
the Project Elements or Sub-Elements below there is at the end of the 
discussion a suggested number of pages to be devoted to the particular 
element or sub-element. These are suggestions only; but the applicant 
must remember that each Segment One Narrative cannot be more than 
twenty-four pages in length, and that the single Segment Two Narrative, 
covering Program Elements VII and VIII for the overall REACH 
Initiative, cannot be more than six pages in length.
    REACH Plans with project narratives (excluding appendices) that 
exceed these limits will not be reviewed for funding. Project 
narratives should be on letter-sized pages in 12 c.p.i. type or 
equivalent on a single side. Applicants should prepare and assemble 
their project description using the following outline of required 
project elements. They should, furthermore, build their project 
concept, plans, and project description upon the guidelines set forth 
for each of the project elements.
    In reviewing REACH Plans for funding, where Plans include more than 
one narrative Segment One describing a local Project/CBO Recipient, OCS 
reserves the right to consider each such Project/CBO Recipient on its 
own merits, and where review scores and other considerations merit, may 
choose not to fund a particular local Project/CBO Recipient. Thus 
Segment Two will be given a score for the overall State role in the 
project under Elements VII and VIII; and the Segment One for each CBO 
Recipient will be given a score for the Elements I through VI. This 
Segment One Score will, for each CBO Recipient, be added to the Segment 
Two score for a total score which will be the basis for its ranking 
among applications received covering local Project/CBO Recipients. 
Where less than the full complement of an applicant's local Project/CBO 
Recipients are funded, OCS will negotiate an appropriate budget for the 
applicant's overall REACH Initiative. Where, as noted above, the REACH 
Plan proposes only one distinct project, to be implemented by more than 
one CBO Recipient, then the review scores for the several Element One 
narratives will be averaged to arrive at the overall Element One score 
for the application.
Segment One
[Priority Area 1.0 applicants to complete for each local Project/CBO 
Recipient; each completed Segment One limited to twenty-four pages 
in length.]

Element I. Organizational Experience and Capability under Priority Area 
1.0

(Weight of 0 to 20 points in proposal review)

Sub Element I(a). Agency's Experience and Commitment in Program Area

(Weight of 0-10 points in proposal review)

    The application should cite the capability and relevant experience 
of the CBO Recipient in developing and operating programs which deal 
with poverty problems similar to those to be addressed by the proposed 
project, including the provision of service under LIHEAP, and which 
receive funds from the Department of Energy's Weatherization Assistance 
Program. The application should also cite the organization's experience 
in collaborative programming and operations which involve evaluations 
and data collection. Applications should identify CBO Recipient agency 
executive leadership in this section and briefly describe their 
involvement in the proposed project and provide assurance of their 
commitment to its successful implementation. The application should 
note and justify the priority that this project will have within the 
agency including the facilities and resources that it has available to 
carry it out.
    It is suggested that applicants use no more than 3 pages for this 
Sub-Element.

Sub Element I(b). Staff Skills, Resources and Responsibilities

(Weight of 0-10 points in proposal review)

    The application must identify the two or three individual staff 
persons of the CBO Recipient who will have the most responsibility for 
managing the project, coordinating services and activities for 
participants and partners, and for achieving performance targets. The 
focus should be on the qualifications, experience, capacity and 
commitment to the program of the Executive Officials of the 
organization and the key staff persons who will administer and 
implement the project. The person identified as Project Director should 
have supervisory experience, experience in working with energy related 
problems of the poor, and experience with the target population. 
Because this is a demonstration project within an already-established 
agency, OCS expects that the key staff person(s) would be identified, 
if not hired.
    Actual resumes and/or position descriptions of key staff should be 
included in an Appendix to the proposal.
    It is suggested that applicants use no more than 2 pages for this 
Sub-Element.

Element II. Project Theory, Design, and Plan under Priority Area 1.0

(Total Weight of 0-30 points in proposal review)

    OCS seeks to learn from the application why and how the project as 
proposed is expected to lead to significant improvements in individual 
and family energy self-sufficiency.
    Applicants are urged to design and present their project in terms 
of a conceptual cause-effect framework. In the following paragraphs a 
``logic model'' or framework is described that suggests a way to 
present a project so as to show the ``logic'' of the cause-effect 
relations between project activities and project results. Applicants 
are not required to use the precise ``logic model'' language described; 
but it is important to present the project in a way that makes clear 
the cause-effect relationship between what the project plans to do and 
the results it expects to achieve. Applicants are reminded that Part 
III-B, Section 4, Scope of the REACH Plan, includes a discussion of 
those activities which should be included in this element of their 
REACH Plan.

Sub-Element II(a). Description of Target Population, Analysis of Need, 
and Project Assumptions

(Weight of 0-10 points in proposal review)

    The ``logic model'' begins with identifying the underlying 
assumptions about the program. These are the beliefs on which the 
proposed program is built: the assumptions about the needs of the 
client population to be served; about the current services available to 
those clients, and where and how they fail to meet their needs; about 
why the services or interventions proposed in the REACH Plan are 
appropriate, and will meet those needs; and about the impact the 
proposed interventions will have on the clients.

[[Page 24462]]

    In other words, the underlying assumptions of the program are the 
applicant's analysis of the needs and problems to be addressed by the 
project, and the applicant's theory of how its proposed interventions 
will address those needs and problems to achieve the desired result. 
Thus a strong application is based upon a clear description of the 
needs and problems to be addressed and a persuasive understanding of 
the causes of those problems.
    In this sub-element of the REACH Plan the applicant should 
precisely identify the target population to be served. The geographic 
area to be impacted should then be briefly highlighted, selectively 
emphasizing the socioeconomic/poverty and other data that are relevant 
to the project design. This sub-element to the REACH Plan might 
include, for instance, data on the building type, condition, and age of 
low-income housing; the predominant fuel used for home heating; the 
number and percent of utility shut-offs among low-income energy 
consumers; climatic conditions; unemployment statistics for the area; 
the price of fuels; and the demand management services offered by local 
utilities. The needs of this target population should then be clearly 
defined, and the applicant should state its underlying assumptions 
about how these needs can be addressed by the proposed project.
    Applicants must include in this element a brief description of the 
provision that has been and will be made for the systematic and regular 
solicitation by CBO Recipients of the views of eligible low-income 
individuals in the community on the design and implementation of the 
REACH Project, and the mechanism(s) that will be employed by the 
applicant and the CBO Recipients to assure their responsiveness to such 
views in the establishment of the REACH Project. (See Part III-A, 
Section 5.)
    It is suggested that applicants use no more than 4 pages for this 
narrative sub-element.

Sub-Element II(b). Project Strategy and Design Framework: 
Interventions, Outcomes, and Goals

(Weight of 0-10 points in proposal review)

    To continue with the ``logic model'':
    The underlying assumptions concerning client needs and the theory 
of how they can be effectively addressed, which are discussed above, 
lead in the project design to the conduct of a variety of project 
activities or interventions, each of which is assumed to result in 
immediate changes, or outcomes.
    The immediate changes lead to intermediate outcomes; and the 
intermediate outcomes lead to attainment of the final project goals.
    So in this sub-element the applicant should describe the major 
activities, or interventions, which are to be carried out to address 
the needs and problems identified in the previous sub-element. And it 
should discuss the immediate changes, or outcomes, which are expected 
to result. These are the results expected from each service or 
intervention immediately after it is provided. For example, a survey of 
home furnaces for safety and efficiency might be expected to result in 
identification of repairs and retrofits that could increase efficiency 
and lower costs. Or providing energy efficiency education to families 
in the low income community might be expected to result in better 
understanding and knowledge of family members that if they would dress 
more warmly they could be more comfortable at a lower thermostat 
setting; that they could realize real savings by not leaving doors or 
windows open, or by hanging curtains over windows, or by using hot 
water more conservatively, by, for example, installing low-flow shower 
heads, etc.
    At the next level are the intermediate outcomes which result from 
these immediate changes. Often an intermediate project outcome is the 
result of several immediate changes resulting from a number of related 
interventions such as repairs and education. Intermediate project 
outcomes should be expressed in measurable changes in knowledge, 
attitudes, behavior, or status/condition. In the above examples, the 
immediate changes achieved by the furnace survey program could be 
expected to lead to intermediate outcomes of furnace retrofits and home 
weatherization. The acquisition of energy conservation knowledge and 
skills, coupled with the availability of energy saving devices such as 
efficient light bulbs or low-flow shower heads, could result in the 
actual installation of these devices in the home.
    Finally, the REACH Plan should describe how the achievement of 
these intermediate outcomes will be expected to lead to the attainment 
of the project goals: e.g. energy efficient and healthy housing, energy 
consumption at a level which is affordable for the household, a 
successful community fuel cooperative that lowers fuel prices, new 
demand management services, or whatever they may be.
    Applicants don't have to use the precise ``logic model'' 
terminology described here, but it is important to describe the project 
in a way that makes clear the expected cause-and-effect relationship 
between what the project plans to do--the activities or interventions, 
the changes that are expected to result, and how those changes will 
lead to achievement of the project goals of greater energy self-
sufficiency.
    It is suggested that applicants use no more than 5 pages for this 
design section of the REACH Plan.

Sub-Element II(c), Work Plan

(Weight of 0-10 points in the proposal review)

    Once the project strategy and design framework are established, the 
applicant should present the highlights of a work plan for the project. 
The plan should explicitly tie into the project design framework and 
should be feasible, i.e., capable of being accomplished with the 
resources, time, staff, and partners available. The plan should briefly 
describe the key project tasks, and show the timelines and major 
milestones for their implementation. Critical issues or potential 
problems that might affect the achievement of project objectives should 
be explicitly addressed, with an explanation of how they would be 
overcome, and how the objectives will be achieved notwithstanding any 
such problems. The plan should be presented in such a way that it can 
be correlated with the Budget Justification included in the 
application. (See Element IV.)
    Applicants may be able to use a simple Gantt or time line chart to 
convey the work plan in minimal space.
    It is suggested that the applicant use no more than 3 pages for 
this Sub-Element.

Element III. Holistic Program Strategies, Mobilization of Resources, 
and Project Innovations under Priority Area 1.0

(Weight of 0 to 10 points in the proposal review)

    Applicants should in this Element explain how its REACH Initiative 
approaches the energy needs of low-income families within a holistic 
context of the economic, social, physical, and environmental barriers 
to achieving self-sufficiency.
    Thus REACH Initiatives are expected to be closely coordinated with 
other public and private sector programs involved with community 
revitalization, housing rehabilitation and weatherization, and family 
development; and OCS will give favorable consideration in the 
application review process to applicants who mobilize cash and/or 
third-party in-kind contributions for direct use in

[[Page 24463]]

the REACH Project. Even though there is no matching requirement for the 
REACH Program, grantees will be held accountable for any match, cash or 
in-kind contribution proposed or pledged as part of an approved 
application. (See Part III.B.3.)
    Within the context of this holistic and coordinated plan, applicant 
should highlight the ways in which the proposed project represents a 
new and innovative approach or approaches to provide for greater energy 
self-sufficiency of the poor and/or to deal with particularly critical 
energy needs or problems of the poor that are common to a number of 
communities. Innovation can be in the characteristics of the target 
population to be served, or the needs to be addressed; the kinds of 
activities, or interventions, that will be carried out; the ways in 
which they will be carried out; new and different combinations of 
activities or interventions that will be implemented; or in the 
settings in which the project will function: e.g. new and innovative 
types of technologies or institutions in which the project will 
function.
    It is suggested that applicants use no more than 4 pages for this 
element.

Element IV. Project Budget Appropriateness under Priority Area 1.0

(Weight of 0-10 points in the proposal review)

    Applicants will be required to submit Federal forms with their 
REACH Plans to provide basic applicant and project information (SF 424) 
and information about how Federal and other project funds will be used 
(SF 424A). In addition to and immediately following the completed 
Federal budget forms, applicants must submit a Budget Justification, or 
explanatory budget information. This Budget Justification is not 
considered a part of the Project Narrative, and does not count as 
within the limitation on number of pages; but rather is to be included 
in the application following the budget forms. Each applicant under 
Priority Area 1.0 must also submit a signed SF 424, SF 424A and a 
Budget Justification covering the entire REACH project, in which the 
amount to be delegated to CBO Recipients should be shown as 
``Contractual'' in line item x. (See Segment Two, Element VII for 
amounts which may be retained by the State Applicant for project 
administration and evaluation.) Each Application must also include one 
SF 424A and one Budget Justification for each local CBO Recipient. The 
Budget Narrative should briefly explain the adequacy of the Federal 
funds and other mobilized resources to accomplish project purposes, 
should explain the source and nature of mobilized resources, and should 
identify and briefly explain any imbalances between the level of 
activities undertaken and project funds expended.

    Note: None of the costs of providing service or benefits under 
the REACH Program shall be considered to be an administrative cost 
or function for purposes of any limitation on administrative costs 
or functions contained in Section 2605(b)(9) of the Low-Income Home 
Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq.

Element V. Significant and Beneficial Impact of Priority Area 1.0 
Projects

(Weight of 0-10 points in the proposal review)

    OCS seeks, with the REACH Program, to support innovative approaches 
that will create significant benefits for low-income energy consumers, 
their families, and their communities. Accordingly, it intends to make 
grants that have a strong likelihood of creating beneficial impacts 
both within the project communities and, through wide dissemination of 
useful project results and findings, in other communities facing 
similar challenges.
    The proposed project is expected to lead to tangible achievements 
toward reducing household energy burdens on the poor and increasing 
their ability to pay for the household energy they need. As a result, 
the project should lead to verifiable improvements in regular energy 
payments and reductions in conditions such as disconnections of 
service, health and safety risks, and homelessness associated with high 
energy costs that are beyond the resources of low income families in 
the targeted community(ies). Applicants should summarize, in this 
section, the beneficial impacts that they propose to make in that 
community, their expectations for the continuation of those benefits 
beyond the project's life, and the kind of information that they expect 
to share with OCS and the broader social service/development community 
from their pilot project. Project proposals will be assessed, for this 
element, on the likely value of the project to the target community 
over time--given the proposed outcomes and the likelihood that they 
will be realized--and to the larger community of LIHEAP and CSBG 
grantees across the nation.
    It is suggested that applicants use no more than 2 pages for this 
element. The score for this element will be based to some extent on the 
coherence and feasibility of the entire REACH Plan.

Element VI. Community Empowerment Consideration Under Priority Area 1.0

(Weight of 0-5 points in proposal review)

    Special consideration will be given to applicants whose proposed 
REACH Projects will be focused on populations which are characterized 
by severe poverty and other indicators of socio-economic distress such 
as a poverty rate of at least 20%; an area or areas designated as an 
Empowerment Zone or Enterprise Community; or having high levels of 
unemployment, and a high incidence of violence, gang activity, crime, 
or drug use. If such is the case, applicants should document that they 
or their proposed CBO Recipients were involved in the preparation and 
planned implementation of a comprehensive community-based strategic 
plan to achieve both economic and human development in an integrated 
manner and how the proposed project supports the goal(s) of that plan. 
(See Part III-B, Section 3 and Section 4(C))
    It is suggested that applicants use no more than 2 pages for this 
element.
Segment two
[Priority Area 1.0 applicants to complete once for overall REACH 
Plan; Segment Two limited to six pages in length.]

Element VII. Management and Organization of Priority Area 1.0 Projects

(Weight of 0 to 5 points in the proposal review)

    Applicants should identify the State Project Coordinator and any 
other staff they feel are especially important to the success of the 
project, and include resumes as an Appendix to the REACH Plan. Where 
the staff have not been identified, a position description should be 
included in the Appendix. The REACH Plan should describe the staff's 
relevant capabilities for overseeing this multi-faceted project, with 
emphasis placed on successful management experience in directing both 
on-budget and leveraged resources to create community conditions 
capable of supporting effective interventions and transforming lives. 
REACH Plans will be assessed, for this element, on the relevant 
experience, capabilities, commitment and planned level of effort of the 
Project Coordinator and key staff members as described in the Plan.
    Applicants should also, in this section, describe (and diagram if 
necessary) the organization of the project. The relationships among the 
State and the participating CBO Recipients, the Project Coordinator and 
the key officials in those organizations,

[[Page 24464]]

and any other partnering organizations should be depicted, and the 
project-related responsibilities of these key actors should be made 
clear. Applicants should in this Element explain that in the 
designation of CBO Recipients priority has been given, as required by 
the authorizing legislation, to eligible entities described in Section 
673 of the Community Services Block Grant Act, as amended, which have a 
record of successfully providing service under LIHEAP and which receive 
funds from the Department of Energy's Weatherization Assistance 
Program. (See Part III-A, Section I, Eligible Applicants for Priority 
Area 1.0)
    Applicants under Priority Area 1.0 may include in the REACH 
Initiative budget an amount up to ten percent (10%) of the total REACH 
grant for planning, administration, and coordinating costs at the State 
level during the first project year of the REACH Initiative, and for 
contracting with a third-party evaluator as defined under Element VI, 
below, and discussed in Part III-A.6.
    Applicants should include funds in the project budget for travel by 
State and CBO Recipient Project Directors and Chief Evaluators to 
attend three national workshops in Washington, D.C. over the three year 
project period, and are encouraged to seek agreement from CBO 
Recipients to attend also. (See Part IX-B, Attendance at Workshops.)
    It is suggested that applicants use no more than 2 pages for this 
element (not counting the resumes and/or position descriptions, which 
should be in an Appendix).

Element VIII. Project Evaluation Under Priority Area 1.0

(Weight of 0-10 points in the proposal review)

    Sound evaluations are essential to the REACH Program. Applicants 
are required to include in their applications a well thought through 
outline of an evaluation plan for their project. The outline should 
explain how the applicant proposes to answer the key questions about 
how effectively the project is being/was implemented (the Process 
Evaluation) and whether and why/why not the project activities, or 
interventions, achieved the expected outcomes and goals of the project 
(the Outcome Evaluation). (See Part I, Section B for definitions of 
process and outcome evaluation, and Part III-B.6. for a discussion of 
evaluation requirements.)
    Applicants are not being asked to submit a complete and final 
Evaluation Plan as part of their REACH Plan; but they must include:
    (1) A well thought through outline of an evaluation plan which 
identifies the principal cause-and-effect relationships to be tested, 
and which demonstrates the applicant's understanding of the role and 
purpose of both Process and Outcome Evaluations (see previous 
paragraph);
    (2) The identity and qualifications of the proposed third party 
evaluator, or if not selected, the qualifications which will be sought 
in choosing an evaluator, which must include successful experience in 
evaluating social service delivery programs, and the planning and/or 
evaluation of programs designed to foster energy self-sufficiency in 
low income populations; and
    (3) A commitment to the selection of a third-party evaluator 
approved by OCS, and to completion of a final evaluation design and 
plan, in collaboration with the approved evaluator and the OCS 
Evaluation Technical Assistance Contractor during the first six-months 
of the project, if funded.
    Applicants should ensure, above all, that the evaluation outline 
presented is consistent with their project design. A clear project 
framework of the type recommended earlier identifies the key project 
assumptions about the target populations and their needs, and the 
hypotheses, or expected cause-effect relationships to be tested in the 
project: that the proposed project activities, or interventions, will 
address those needs in ways that will lead to the achievement of the 
project goals of energy self-sufficiency. It also identifies in advance 
the most important process and outcome measures that will be used to 
identify performance success and expected changes in individual 
participants, the grantee organization, the CBO Recipient(s), and the 
community.
    For these reasons, the evaluator that the applicant expects to work 
with should be involved--at least briefly but substantively--in the 
development of the project design and proposal.
    It is suggested that applicants use no more than 4 pages for this 
element. The Resume or Position Description for the evaluator should be 
in an Appendix.

B. Special Program Elements, Review and Assessment Criteria for Reach 
Plans Under Priority Area 2.0

    In order to simplify the application preparation and review 
process, OCS seeks to keep grant applications cogent and brief. For 
each of the Project Elements or Sub-Elements below there is at the end 
of the discussion a suggested number of pages to be devoted to the 
particular element or sub-element. These are suggestions only; but the 
applicant must remember that Project Narratives must not be more than 
twenty (20) pages in length.
    REACH Plans with project narratives (excluding appendices) that 
exceed these limits will not be reviewed for funding. Project 
narratives should be on letter-sized pages in 12 c.p.i. type or 
equivalent on a single side. Applicants should prepare and assemble 
their project description using the following outline of required REACH 
Plan elements. They should, furthermore, build their project concept, 
plans, and project description upon the guidelines set forth for each 
of the elements.

Element I. Organizational Experience and Capability under Priority Area 
2.0

(Weight of 0 to 10 points in proposal review)

    Applicants should cite their capability and relevant experience in 
developing and operating programs which deal with energy and poverty 
problems similar to those to be addressed by the proposed project. 
While the proposed project management team will be identified and 
described below in Element III, applicants should identify organization 
executive leadership in this section and briefly describe their 
involvement in the proposed project and provide assurance of their 
commitment to its successful implementation.
    It is suggested that applicants use no more than 2 pages for this 
element.

Element II. Project Theory, Design, and Plan under Priority Area 2.0

(Total Weight of 0 to 50 points in proposal review)

    OCS seeks to learn from the application why and how the project as 
proposed is expected to lead to significant improvements in individual 
and family energy self-sufficiency.
    Applicants are urged to design and present their project in terms 
of a conceptual cause-effect framework. In the following paragraphs a 
``logic model'', or framework, is described that suggests a way to 
present a project so as to show the ``logic'' of the cause-effect 
relations between project activities and project results. Applicants 
don't have to use the exact ``logic model'' language described; but it 
is important to present the project in a way that makes clear the 
cause-effect relationship between what the project plans to do and the 
results it expects to achieve.
    Applicants under Priority Area 2.0 are not required to carry out 
REACH activities through community-based organizations (CBO 
Recipients), but may

[[Page 24465]]

implement REACH Plans directly themselves. However, as explained in 
Part II B, Budget Periods, above, applicants electing to implement 
their REACH Projects directly will be limited to projects of up to 17 
months duration (Project and Budget Periods of up to 17 months). 
Applicants under Priority Area 2.0 may also elect to operate their 
projects through grants or contracts to nonprofit organizations. In 
such cases the nonprofit organization does not have to be a community 
based organization (CBO) as defined in Part I. If they choose to 
operate their projects through nonprofit organizations, the Project and 
Budget Periods applicable to Priority Area 1.0 will apply. Note also 
that applicants under Priority 2.0 need only include two of the REACH 
Program activities listed in Part III B. Section 4.(C) under ``Scope of 
the Priority Area 2.0 REACH Plan''.

Sub-Element II(a). Description of Target Population, Analysis of Need, 
and Project Assumptions

(Weight of 0 to 20 points in proposal review)

[This sub-element should be the same as under Priority Area 1.0 and it 
is suggested that it take no more than 4 pages of the Project 
Narrative.]

Sub-Element II(b). Project Strategy and Design Framework: 
Interventions, Outcomes, and Goals

(Weight of 0 to 20 points in proposal review)

[This sub-element should be the same as under Priority Area 1.0 and it 
is suggested that it take no more than 4 pages of the Project 
Narrative.]

Sub-Element II(c), Work Plan

(Weight of 0 to 10 points in the proposal review)

[This sub-element should be the same as under Priority Area 1.0 and it 
is suggested that it take no more than 2 pages of the Project 
Narrative.]

Element III. Management and Organization of Priority Area 2.0 Projects

(Weight of 0 to 10 points in the proposal review)

    While the experience of agency leadership is important to project 
success, the caliber of day-to-day project management is critical. 
Applicants should identify key staff, including the Project Director, 
who will be implementing the project, and any other staff they feel are 
especially important to the success of the project. Resumes should be 
included as an Appendix to the REACH Plan. Where the staff have not 
been identified, a position description should be included in the 
Appendix. REACH Plans will be assessed, for this element, on the 
relevant experience, capabilities, commitment and planned level of 
effort to the project of the Project Director and key staff members as 
described in the Plan.
    It is suggested that applicants use no more than 2 pages for this 
element (plus the resumes and/or position descriptions which should be 
in an Appendix).

Element IV. Project Budget Appropriateness under Priority Area 2.0

(Weight of 0-10 points in the proposal review)

    Applicants will be required to submit Federal forms with their 
REACH Plans to provide basic applicant and project information (SF-424) 
and information about how Federal and other project funds will be used 
(SF-424A). Where Priority Area 2.0 applicants elect to have REACH 
services provided through a nonprofit organization sub-recipient, an 
SF-424A must be completed for the applicant, and another SF-424A must 
be completed for the nonprofit organization sub-recipient. The sub-
recipient SF-424A should include budget information for all three years 
of the project period, divided into three separate budget periods as 
explained in Part VII and the instructions accompanying the forms. In 
addition to and immediately following the completed Federal budget 
forms, applicants must submit a Budget Justification, or explanatory 
budget information for the first 12-month budget period. Again, where a 
Priority Area 2.0 applicant elects to implement the REACH project 
services through a nonprofit sub-recipient, a Budget Justification 
should be included for the sub-recipient, covering the full three year 
project budget. The Budget Justification is not considered a part of 
the Project Narrative, and does not count as part of the twenty page 
limit; but rather is included in the application following the budget 
forms.
    The Budget Justification should briefly explain the adequacy of the 
Federal funds and other mobilized resources to accomplish project 
purposes, and should explain the source and nature of any mobilized 
resources.
    Applicants should include funds in the project budget for travel by 
the Project Director to attend an orientation workshop in Washington, 
D.C.

    Note: None of the costs of providing service or benefits under 
the REACH Program shall be considered to be an administrative cost 
or function for purposes of any limitation on administrative costs 
or functions contained in Section 2605(b)(9) of the Low-Income Home 
Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq.

Element V. Significant and Beneficial Impact of Priority Area 2.0 
Projects

(Weight of 0-10 points in the proposal review)

[This element should be the same as under Priority Area 1.0 and it is 
suggested that it take no more than 3 pages of the Application 
Narrative.]

Element VI. Project Evaluation under Priority Area 2.0

(Weight of 0-10 points in the proposal review)

    As noted in Part III above, REACH grantees under Priority Area 2.0 
will not be required to carry out a third-party evaluation of their 
projects. However, their REACH Plans must describe the indicators they 
will use to measure whether the performance goals of their project have 
been achieved.
    It is suggested that applicant use no more than 1 page for this 
Element.

Part V--Quality Standards for Energy Efficiency Education Services 
Plans

    The REACH authorizing legislation includes a section which 
describes a separate Energy Efficiency Education Services program which 
applicants may include in their REACH Initiative. Those applicants 
which include this program in their REACH Initiative must submit 
separate Energy Efficiency Education Services Plans; and if they meet 
the quality standards set forth below and have the potential for being 
replicable model designs for other programs, are eligible for 
supplemental payments as outlined in Part II C. This Part sets out the 
Quality Standards for Energy Efficiency Education Services Plans.
    Section 2607B(b)(2) of the REACH authorizing legislation provides 
for a reservation of funds by the Secretary to make additional payments 
to qualifying REACH applicants that have energy efficiency education 
services plans that meet quality standards established in consultation 
with the Secretary of Energy, and have the potential for being 
replicable model designs for other programs. This Part sets forth those 
standards. As explained in Part II above, those REACH applicants under 
Priority Area 1.0 that are selected to receive REACH grants will 
receive an additional amount of $100,000, and REACH applicants under 
Priority Area 2.0 will receive an additional $25,000, for the same 
project and budget periods, if they have submitted, as an appendix to 
their REACH Plans, an Energy Efficiency

[[Page 24466]]

Education (EEE) Services Plan that has the potential for being a 
replicable model design for other programs and meets the following 
quality standards:

A. Purpose

    The Plan should state the purpose of the proposed EEE services, 
which should be generally consistent with and include the following 
goals: to assist low-income households, especially those with high 
energy burdens, to use energy efficiently, to reduce their home energy 
costs, to minimize health and safety risks within their homes, to 
increase their indoor comfort level, and to maintain their highest 
possible level of energy self-sufficiency.

B. Target Population

    The Plan should identify a target population for the EEE services 
which includes LIHEAP recipients and at least some who have received 
services from the Weatherization Assistance Program, and others 
consistent with the stated purpose and goals of the program. The Plan 
should include assurances that the defined target population is one 
from whom data on energy usage and costs before and after receipt of 
the EEE services will be available, and should indicate how such data 
will be collected.

C. Needs Assessment and Project Design Process

    The Plan should describe the needs assessment that the applicant 
has undertaken or will undertake among the target population, how the 
design of the EEE Services Program will respond to the needs identified 
(see Paragraph D, below), and how the EEE Program priorities have been 
or will be determined by the needs discovered.

D. Service Delivery

    (1) Setting: the Plan should indicate the setting or settings--in-
office instruction (e.g. at time of initial intake), workshops, or home 
visits--in which the EEE services will be delivered, and project the 
number of service units planned for each.
    (2) Services: the Plan should identify the types of services to be 
delivered and how--whether by lecture, audio-visual media, written 
materials, hands on experience, or other educational technique--and if 
appropriate, which services are planned to be used in which of the 
identified settings.

E. Relation of Services to Changes, of Changes to Outcomes, and of 
Outcomes to Goals (a ``Logic Model'')

    The Plan should briefly set forth each EEE service planned (e.g. a 
demonstration and discussion on air infiltration), the immediate 
changes expected to result from delivery of the service (e.g. a better 
understanding of the importance of stopping infiltration), the 
intermediate outcomes expected to result from the changes (e.g. action 
by the client to stop infiltration in their dwelling), and how these 
changes and outcomes will be expected to achieve a program goal (e.g. 
reduced energy consumption). This exact terminology need not be used in 
the Plan; but the cause and effect relationship between the EEE 
services planned and the achievement of program goals should be briefly 
explained. This part of the Plan should include provision for the 
development with EEE service recipients of an Action Plan through which 
the recipient will make a commitment to take actions based on the EEE 
information received; and it should also include a provision for 
reinforcement of the commitment through follow-up activities by the 
grantee or other ``interventions''.

F. Evaluation

    The EEE Services Plan submitted by applicants under Priority Area 
1.0 should provide for the inclusion of an Evaluation of the Energy 
Efficiency Education Services Program as a part of the Evaluation Plan 
Outline for the overall REACH Initiative. It should provide for Process 
and Outcome Evaluations, and should describe what data will be 
collected and how it will relate to the achievement of EEE program 
goals. The EEE portion of the evaluation plan outline should make 
specific provision for consumer evaluation of the EEE service program 
interventions; and should conclude with a commitment from the grantee 
to revise and improve its EEE program in response to the overall 
evaluation where appropriate. For applicants under Priority Area 2.0, 
the EEE Services Plan should provide assurances that the applicant 
will: (1) provide for consumer evaluation of the EEE Services program, 
and (2) revise and improve its EEE program in response to such 
evaluation, where appropriate.
    The EEE Services Plan, if included, should be an Appendix to the 
Applicant's REACH Plan, and should not exceed ten (10) pages in length.

Part VI. Application Procedures

A. Availability of Forms

    Attachments B through J contain all of the standard forms necessary 
for the application for awards under this OCS program. These 
attachments and Parts VI and VII of this Notice contain all the 
instructions required for submittal of applications.
    Additional copies of this Notice may be obtained by writing or 
telephoning the office listed under the section entitled FOR FURTHER 
INFORMATION CONTACT at the beginning of this announcement. In addition, 
this Notice is accessible on the OCS Electronic Bulletin Board for 
downloading through your computer modem by calling 1-800-627-8886. For 
assistance in accessing the Bulletin Board, a Guide to Accessing and 
Downloading is available from Ms. Minnie Landry at (202) 401-5309.

B. Application Submission

    Number of Copies Required. One signed original REACH Plan and four 
copies should be submitted. Applicants have the option to omit from 
copies to be made available to non-Federal reviewers the specific 
salary rates or amounts for individuals identified in the application 
budget. Rather, only summary information is required in these copies.
    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, Office of Community Services, 
Division of Community Demonstration Programs, 370 L Enfant Promenade, 
S.W., Washington, D.C. 20447; Attention: Application for REACH 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 hand carried 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 DHHS, Administration 
for Children and Families, Office of Community Services, Division of 
Community Demonstration Programs, Mail Room, 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

[[Page 24467]]

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 will notify each late 
applicant that its application will not be considered in the current 
competition.
    Extension of deadline: ACF may extend the deadline for all 
applicants because of acts of God such as floods, hurricanes, etc., or 
when there is 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 applicants.

C. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995, Pub. L. 104-13, as 
amended, the Department is required to submit to OMB for review and 
approval any reporting and record keeping requirements in regulations, 
including program announcements. This program announcement does not 
contain information collection requirements beyond those approved for 
ACF grant applications under OMB Control Number 0970-0139.

D. Application Consideration

    Applications which meet the screening requirements in Section E 
below will be reviewed competitively. Such applications will be 
referred to reviewers for a numerical score and explanatory comments 
based solely on responsiveness to the Legislative Authority, the 
Requirements outlined in Part III, and the Application Elements and 
Review Criteria set forth in Part IV of this Announcement.
    The results of these reviews will assist the Director and OCS 
program staff in considering competing applications. Reviewers' scores 
will weigh heavily in funding decisions but will not be the only 
factors considered. Applications will be considered in rank order of 
the averaged scores. However, highly ranked applications are not 
guaranteed funding since other factors are taken into consideration, 
including, but not limited to: the timely and proper completion by 
applicant of projects funded with OCS funds granted in the last (5) 
years; comments of reviewers and government officials; staff evaluation 
and input; the proposed project's consistency and harmony with agency 
goals and policy; geographic distribution; previous program performance 
of applicants; compliance with grant terms under previous DHHS grants; 
audit reports; investigative reports; and applicant's progress in 
resolving any final audit disallowances on OCS or other Federal agency 
grants.
    OCS reserves the right to discuss applications with other Federal 
or non-Federal funding sources to determine the applicant's performance 
record.

E. Criteria For Screening Applications

    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:
    1. Eligibility. The applicant must be an ``eligible applicant'' as 
defined in Part III-A, Section 1. or Part III-B, Section 1. Applicants 
must also be aware that the applicant's legal name as required on the 
SF-424 (Item 5) must match that listed as corresponding to the Employer 
Identification Number (Item 6).
    2. The application must contain a Standard Form 424 ``Application 
for Federal Assistance'' (SF-424), signed by an official of the 
organization applying for the grant who has authority to obligate the 
organization legally; one budget form (SF-424A) covering the entire 
REACH Project, and one SF-424A for each CBO Recipient (or nonprofit 
sub-recipient in the case of Priority Area 2.0 applicants electing to 
delegate their REACH Projects) and signed ``Assurances'' (SF-424B) 
completed according to instructions published in Part VII and 
Attachment D to this Announcement.
    3. A project narrative must also accompany the standard forms, and, 
for Priority Area 1.0, must be limited to no more than twenty-four (24) 
pages for Narrative Segment One and six (6) pages for Narrative Segment 
Two; and for Priority Area 2.0, must be limited to no more than twenty 
(20) pages. Narratives must be typewritten on one side of the paper 
only, in type no smaller than 12 c.p.i., 11 point, or equivalent, with 
margins no less than one inch. Charts, exhibits, letters of support, 
cooperative agreements, resumes and position descriptions are not 
counted against this page limit and should be included in the 
appendices to the proposal.
    It is strongly recommended that applicants follow the format and 
content for the narrative set out in Parts IV and VIII.

Part VII--Instructions for Completing Application Forms

    The standard forms attached to this announcement shall be used to 
apply for funds under this program announcement.
    It is suggested that you reproduce single-sided copies of the SF-
424 and SF-424A, and type your application on the copies. Please 
prepare your application in accordance with instructions provided on 
the forms (Attachments B and C) as modified by the OCS specific 
instructions set forth below:
    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification which describes how the 
categorical costs are derived. Discuss the necessary, reasonableness, 
and allocability of the proposed costs.

A. SF-424--Application for Federal Assistance

(One SF-424 to be completed by applicant)
Top of Page
    Where the applicant is a previous Department of Health and Human 
Services grantee, enter the Central Registry System Employee 
Identification Number (CRS/EIN) and the Payment Identifying Number, if 
one has been assigned, in the Block entitled Federal Identifier located 
at the top right hand corner of the form (third line from the top).
    Item 1. For the purposes of this announcement, all projects are 
considered Applications; there are no Pre-Applications.
    Item 7. Enter ``A'' in the box for State. If applicant is an Indian 
Tribe enter ``K'' in the box for Indian Tribe.
    Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.
    Item 10. The Catalog of Federal Domestic Assistance number for OCS 
programs covered under this announcement is 93.568. The title is 
``LIHEAP/REACH''.
    Item 11. Enter a brief descriptive title of the project.
    Item 13. Proposed Project--The project start date must begin on or 
before September 30, 1997; the ending date should be calculated on the 
basis of a 17-month or 36-month Project Period, whichever is 
applicable.
    Item 15a. This amount should be no greater than $1,500,000. for 
applications under Priority Area 1.0; no greater than $150,000 for 
applications under Priority Area 2.0.

[[Page 24468]]

    Item 15b-e. These items should reflect both cash and third-party, 
in-kind contributions for the Project Period.

B. SF-424A--Budget Information--Non-Construction Programs

(One SF-424A completed for applicant, covering entire REACH Project, 
and one SF-424A to be completed for each CBO Recipient (or nonprofit 
sub-recipient in the case of Priority Area 2.0 applicants electing to 
delegate their REACH Projects).)

    In completing these sections, the Federal Funds budget entries will 
relate to the requested OCS funds only, and Non-Federal will include 
mobilized funds from all other sources--applicant, state, local, and 
other. Federal funds other than requested OCS funding should be 
included in Non-Federal entries.
    Sections A, B, and C of SF-424A should reflect budget estimates for 
each year of the Project Period.

Section A--Budget Summary

    You need only fill in lines 1 and 5 (with the same amounts).
    Col. (a): Enter ``LIHEAP/REACH.
    Col. (b): Catalog of Federal Domestic Assistance number is 93.568.
    Col. (c) and (d): not relevant to this program.
    Column (e)--(g): enter the appropriate amounts (column e should not 
be more than $1,500,000 for applications under Priority Area 1.0; or 
more than $150,000 for applications under Priority Area 2.0.

Section B--Budget Categories

    (1) For applicants, a single SF-424A covering entire REACH Project: 
complete a one-year budget in accordance with the instructions 
provided, entering the amount of grant or contract to CBO Recipient(s) 
or nonprofit sub-recipient under the Object Class Category 
``Contractual''.
    (2) For CBO Recipients (or, in the case of Priority Area 2.0 
applicants nonprofit sub-recipients, as appropriate), an SF-424A to be 
completed for each, covering the full three year project: (Note that 
the following information supersedes the instructions provided with the 
Form in Attachment C).
    Columns (1)--(5): For each of the relevant Object Class Categories:
    Column 1: Enter the OCS grant funds for the first year.
    Column 2: Enter the OCS grant funds for the second year.
    Column 3: Enter the OCS grant funds for the third year.
    Column 4: Leave blank.
    Column 5: Enter the total federal OCS grant funds for the three 
year budget by Class Categories, showing a total budget of not more 
than $1,500,000.

    Note: With regard to Class Categories, only out-of-town travel 
should be entered under Category c. Travel. Local travel costs 
should be entered under Category h. Other. Costs of supplies should 
be included under Category e. ``Supplies'' is tangible personal 
property other than ``equipment''. ``Equipment'' means an article of 
nonexpendable, tangible personal property having a useful life of 
more than one year and an acquisition cost which equals or exceeds 
the lesser of (a) The capitalization level established by the 
organization for financial statement purposes, or (b) $5,000.

    Section C--Non Federal Resources should be completed in accordance 
with the instructions provided, remembering that ``all non-OCS funds'' 
fall in this category.
    Sections D, E, and F may be left blank.
    As previously noted in Part IV, a supporting Budget Justification 
must be submitted providing details of expenditures under each budget 
category, and justification of dollar amounts which relate the proposed 
expenditures to the work program and goals of the project.

C. SF-424B Assurances--Non-Construction

(One SF-424B to be submitted by applicant)

    Applicants requesting financial assistance for a non-construction 
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard 
Form 424B with their applications.
    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 with their applications. Applicants should 
note that the Lobbying Disclosure Act of 1995 has simplified the 
lobbying information required to be disclosed under 31 USC 1352.
    Applicants must make the appropriate certification on their 
compliance with the Drug-Free Workplace Act of 1988 and the Pro-
Children Act of 1994 (Certification Regarding Smoke Free Environment). 
By signing and submitting the applications, applicants are providing 
the certification and need not mail back the certification with the 
applications.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for award. By 
signing and submitting the applications, applicants are providing the 
certification and need not mail back the certification with the 
applications. Copies of the certifications and assurances are located 
at the end of this announcement.
    Applicants must make the appropriate certification on their 
compliance with the regulation regarding Environmental Tobacco Smoke. 
Signature on the application attests to the applicants intent to comply 
with the requirements of the Pro-Children Act of 1994 (no signature 
required on form).

Part VIII--Contents of Reach Plan and Receipt Process

    Application pages should be numbered sequentially throughout the 
application package, beginning with an Abstract of the Plan as page 
number one, and each REACH Plan must include all of the following, in 
the order listed below:

A. Content and Order of REACH Plan

    1. Table of Contents;
    2. An Abstract of the plan--very brief, not to exceed 250 words, 
that would be suitable for use in an announcement that the application 
has been selected for a grant award; which identifies the type of 
project(s), the target population, the CBO Recipient(s) (in the case of 
Priority Area 1.0 applicants), and the nonprofit organization sub-
recipient (in the case of Priority Area 2.0 applicants electing to 
delegate their REACH Project), and the major elements of the work 
plan(s).
    3. A completed Standard Form 424 which has been signed by an 
official of the organization applying for the grant who has authority 
to obligate the organization legally; [Note: The original SF-424 must 
bear the original signature of the authorizing representative of the 
applicant organization];
    4. A single Budget Information--Non-Construction Programs (SF-424A) 
for the applicant, covering the entire REACH Project; and separate SF-
424A forms for each CBO Recipient or nonprofit sub-recipient as 
appropriate;
    5. A narrative budget justification for each object class category 
included under Section B, for each SF-424A;
    6. Filled out, signed and dated Assurances--Non-Construction 
Programs (SF-424B), Attachment D;
    7. Signed and dated Statement of Assurances and Demonstration (See 
Attachment M);
    8. Restrictions on Lobbying--Certification for Contracts, Grants, 
Loans, and Cooperative Agreements: fill out, sign and date form found 
at Attachment G;
    9. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and 
date form found at Attachment H, if appropriate (omit Items 11-15 on 
the SF LLL and

[[Page 24469]]

ignore references to continuation sheet SF-LLL-A)
    10. A project narrative, limited to the number of pages specified 
below, which includes all of the required elements described in Part 
IV; [Specific information/data required under each component is 
described in Part IV Application Elements and Review Criteria.]
    For Plans submitted under Priority Area 1.0, the total number of 
pages for Segment One of the Project Narrative(s) dealing with Element 
I (Project Theory, Design, and Plan) through Element VI, must not 
exceed 24 pages for each such narrative submitted for a specific local 
project; and Segment Two of the narrative dealing with Elements VII and 
VIII must not exceed 6 pages, excluding Appendices. The Project 
Narratives for Plans submitted under Priority Area 2.0 must not exceed 
20 pages in length. Plans for supplemental EEE Services should not 
exceed 10 pages in length. (See Part V) Plans must be typewritten on 
one side of the paper only, in type no smaller than 12 c.p.i., 11 
point, or equivalent, with margins no less than one inch. Pages should 
be numbered sequentially throughout the application package, excluding 
Appendices, beginning with the Abstract as Page #1.
    11. Appendices, including Maintenance of Effort Certification (See 
Attachment J); signed Letter(s) of Agreement from designated CBO 
Recipients (or nonprofit sub-recipients, as appropriate) through which 
project will be implemented; resumes and/or position descriptions (see 
Program Element IV); Certification Regarding Lobbying, if appropriate; 
and any letters from cooperating or partnering agencies in target 
communities. Such letters are not part of the Narrative and should be 
included in the Appendices. These letters are therefore not counted 
against the page limitations of the Narrative.
    REACH Plans must be uniform in composition since OCS may find it 
necessary to duplicate them for review purposes. Therefore, 
applications must be submitted on white 8-\1/2\ x 11 inch paper only. 
They must not include colored, oversized or folded materials. Do not 
include organizational brochures or other promotional materials, 
slides, films, clips, etc. in the proposal. They will be discarded if 
included. The applications should be two-hole punched at the top center 
and fastened separately with a compressor slide paper fastener, or a 
binder clip. The submission of bound plans, or plans enclosed in 
binders is specifically discouraged.

B. Acknowledgement of Receipt

    Acknowledgment of Receipt--All applicants will receive an 
acknowledgement with an assigned identification number. Applicants are 
requested to supply a self-addressed mailing label with their State 
Plan which can be attached to this acknowledgement. The assigned 
identification number, along with any other identifying codes, must be 
referenced in all subsequent communications concerning the State Plan. 
If an acknowledgement is not received within three weeks after the 
deadline date, please notify ACF by telephone at (202) 401-9365.

Part IX--Post-Award Information and Reporting Requirements

A. Notification of Grant Award

    Following approval of the REACH Plans selected for funding, notice 
of project approval and authority to draw down project funds will be 
made in writing. The official award document is the Financial 
Assistance Award which provides the amount of Federal funds approved 
for use in the project, the project and budget periods for which 
support is provided, the terms and conditions of the award, the total 
project period for which support is contemplated, and the total 
required grantee financial participation, if any.

B. Attendance at Workshops

    Subject to the availability of resources, OCS is planning to 
sponsor a REACH Conference/Workshop during each of the three years 
following award of the REACH grants. REACH Project coordinators, 
Project Directors at the local CBO Recipient(s), and chief evaluators 
(in the case of REACH Initiatives funded under Priority Area 1.0) and 
Project Directors (in the case of REACH Initiatives funded under 
Priority Area 2.0) are encouraged to attend these conference/workshops 
held during the course of their Project Periods. These conference/
workshops will include a national REACH Orientation workshop in 
Washington, D.C. scheduled during the first six months of the Project 
Period; and a workshop on evaluation, replication, and dissemination to 
be held in the last year of the project period. Project budgets should 
include funds for travel to and attendance at these conference/
workshops. If for any reason these conference/workshops are not held, 
grantees will be free to reprogram such funds. (See Part IV, Element V, 
Budget Appropriateness)

C. Reporting Requirements

    Grantees will be required to submit semi-annual program progress 
and financial reports (SF 269) throughout the project period, as well 
as a final program and financial report within 90 days of the 
termination of the project. For REACH Projects under Priority Area 1.0 
an interim evaluation report, along with the written policies and 
procedures resulting from the process evaluation, will be due 30 days 
after the first eighteen months of the project period and a final 
evaluation report will be due 90 days after the expiration of the 
grant. These reports will be submitted in accordance with instructions 
to be provided by OCS, and will be the basis for the dissemination 
effort to be conducted by the Office of Community Services.

D. Audit Requirements

    Grantees are subject to the audit requirements in Section 2605B(10) 
of the Low Income Home Energy Assistance Act of 1981, as amended, 42 
USC 8621 et seq.

E. Prohibitions and Requirements with regard to Lobbying

    Section 1352 of Pub. L. 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 exemptions for 
Indian tribes and tribal organizations. Current and prospective 
recipients (and their subtier contractors and/or grantees) are 
prohibited from using Federal funds, other than profits from a Federal 
contract, for lobbying Congress or any Federal agency in connection 
with the award of a contract, grant, cooperative agreement or loan. In 
addition, for each award action in excess of $100,000 (or $150,000 for 
loans) the law requires recipients and their subtier contractors and/or 
subgrantees (1) to certify that they have neither used nor will use any 
appropriated funds for payment to lobbyists; (2) to disclose the name, 
address, payment details, and purpose of any agreements with lobbyists 
whom recipients or their subtier contractors or subgrantees will pay 
with profits or nonappropriated funds on or after December 22, 1989 and 
(3) to file quarterly up-dates about the use of lobbyists if material 
changes occur in their use. The law establishes civil penalties for 
noncompliance. See Attachments G and H for certification and disclosure 
forms to be submitted with the applications for this program.

[[Page 24470]]

F. Applicable Federal Regulations

    Attachment L indicates the regulations which apply to all 
applicants/grantees under the REACH Program.

    Dated: April 22, 1997.
Donald Sykes,
Director, Office of Community Services.
BILLING CODE 4184-01-P

                              Attachment A                              
------------------------------------------------------------------------
                                                              Poverty   
                   Size of family unit                      guidelines  
------------------------------------------------------------------------
   1997 Poverty Income Guidelines for the 48 Contiguous States and the  
                          District of Columbia                          
------------------------------------------------------------------------
1.......................................................         $ 7,890
2.......................................................          10,610
3.......................................................          13,330
4.......................................................          16,050
5.......................................................          18,770
6.......................................................          21,490
7.......................................................          24,210
8.......................................................          26,930
  For family units with more than 8 members, add $2,270 for each        
additional member. (The same increment applies to smaller family sizes  
also, as can be seen in the figures above.)                             
------------------------------------------------------------------------
                1997 Poverty Income Guidelines for Alaska               
------------------------------------------------------------------------
1.......................................................           9,870
2.......................................................          13,270
3.......................................................          16,670
4.......................................................          20,070
5.......................................................          23,470
6.......................................................          26,870
7.......................................................          30,270
8.......................................................          33,670
  For Family units with more than 8 members, add $3,400 for each        
additional member. (The same increment applies to smaller family sizes  
also, as can be seen in the figures above.)                             
------------------------------------------------------------------------
                1997 Poverty Income Guidelines for Hawaii               
------------------------------------------------------------------------
1.......................................................           9,070
2.......................................................          12,200
3.......................................................          15,330
4.......................................................          18,460
5.......................................................          21,590
6.......................................................          24,720
7.......................................................          27,850
8.......................................................          30,980
  For family units with more than 8 members, add $3,130 for each        
additional member. (The same increment applies to smaller family sizes  
also, as can be seen in the figures above.)                             
------------------------------------------------------------------------

BILLING CODE 4184-01-M

[[Page 24471]]

[GRAPHIC] [TIFF OMITTED] TN05MY97.000


BILLING CODE 4184-01-C

[[Page 24472]]

Instructions for the SF 424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget. Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.
    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.
    Item and Entry
    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State, if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.
    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities.)
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit allowances, 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-M 

[[Page 24473]]

[GRAPHIC] [TIFF OMITTED] TN05MY97.001

 

[[Page 24474]]

[GRAPHIC] [TIFF OMITTED] TN05MY97.002


BILLING CODE 4184-01-C

[[Page 24475]]

INSTRUCTIONS FOR THE SF 424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget; send it to the address provided by the 
sponsoring agency.

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple function or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number of each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) through (g)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in Columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the total 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 amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals in 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.

Attachment D

ASSURANCES--NON-CONSTRUCTION PROGRAMS

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including time for

[[Page 24476]]

reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043). 
Washington, DC 20503
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    Has the legal authority to apply for Federal assistance and the 
institutional, managerial and financial capability (including funds 
sufficient to pay the non-Federal share of project costs) to ensure 
proper planning, management and completion of the project described 
in this application.
    2. Will give the awarding agency, the Comptroller General of 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award: and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any 
other nondiscrimination provisions in the specific statute(s) under 
which application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    Will comply, or has already complied, with the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with the provisions of the Hatch 
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the 
political activities of employees whose principal employment 
activities are funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard areas to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
Actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted

Attachment E

    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart F. 
Sections 76.630(c) and (d)(2) and 76.645(a)(1) an (b) provide that a 
Federal agency may designate a central receipt point for STATE-WIDE 
AND STATE AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central point is: Division of Grants Management and 
Oversight, Office of Management and Acquisition, Department of 
Health and Human Services, Room 517-D, 200 Independence Avenue, SW, 
Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.

[[Page 24477]]

    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards the 
grant. If it is later determined that the grantee knowingly rendered 
a false certification, or otherwise violates the requirements of the 
Drug-Free Workplace Act, the agency, in addition to any other 
remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State higway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios). 7. If the 
workplace identified to the agency changes during the performance of 
the grant,the grantee shall inform the agency of the change(s), if 
it previously identified the workplaces in question (see paragraph 
five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules;
    Controlled substance means a controlled substance in Schedule I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substances;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant; and, 
(iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are on the 
grantee's payroll. This definition does not include workers not on 
the payroll of the grantee (e.g., volunteers, even if used to meet a 
matching requirement; consultants or independent contractors not on 
the grantee's payroll; or employees of subrecipients or 
subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

    The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:

Place of Performance (Street address, city, county, state, zip 
code):
----------------------------------------------------------------------
----------------------------------------------------------------------
    Check {time}  if there are workplaces on file that are not 
identified here.

Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he 
or she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in 
conducting any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or 
she will report the conviction, in writing, within 10 calendar days 
of the conviction, to every grant officer or other designee, unless 
the Federal agency designates a central point for the receipt of 
such notices. When notice is made to such a central point, it shall 
include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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

[[Page 24478]]

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 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 of 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 indicated 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.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. 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 meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact the person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [[Page 33043]] 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, debared, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. 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 covered transactions, 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.
    8. 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.
    9. Except for transactions authorized under paragraph 5 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 with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.

Certification Regarding Debarment, Suspension, Ineligibility or 
Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that neither it nor its principals is 
presently debarred, suspended, proposed for debarment, declared 
ineligible, or voluntarily excluded from participation in this 
transaction by any Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

[[Page 24479]]

Attachment G

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of an 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress, in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' 
in accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

Statement for Loan Guarantees 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.

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Organization

----------------------------------------------------------------------
Date

BILLING CODE 4184-01-M

[[Page 24480]]

[GRAPHIC] [TIFF OMITTED] TN05MY97.003


BILLING CODE 4184-01-C

[[Page 24481]]

Attachment I

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 
application/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

BILLING CODE 4184-01-M

Attachment J

Certification Regarding Maintenance of Effort

    In accordance with the applicable program statute(s) and 
regulation(s), the undersigned certifies that financial assistance 
provided by the Administration for Children and Families, for the 
specified activities to be performed under the Residential Energy 
Assistance Challenge Option (REACH) Program by ____________________, 
will be in addition to, and not in substitution for, comparable 
activities previously carried on without Federal assistance.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Date

Attachment K

Low-Income Home Energy Assistance Act of 1981

Omnibus Budget Reconciliation Act of 1981

[Public Law 97-35, August 13, 1981, as amended (95 Stat. 357)]

TITLE XXVI--LOW-INCOME HOME ENERGY ASSISTANCE

SHORT TITLE.

Sec. 2601.
    This title may be cited as the ``Low-Income Home Energy 
Assistance Act of 1981''.

APPLICATIONS AND REQUIREMENTS.

Sec. 2605.
* * * * *
    (b) As part of the annual application required by subsection 
(a), the chief executive officer of each State shall certify that 
the State agrees to--
* * * * *
    (2) make payments under this title only with respect to--
    (A) households in which 1 or more individuals are receiving--
    (i) aid to families with dependent children under the State's 
plan approved under part A of title IV of the Social Security Act 
(other than such aid in the form of foster care in accordance with 
section 408 of such Act);
    (ii) supplemental security income payments under title XVI of 
the Social Security Act;
    (iii) food stamps under the Food Stamp Act of 1977; or
    (iv) payments under section 415, 521, 541, or 542 of title 38, 
United States Code, or under section 306 of the Veterans' and 
Survivors' Pension Improvement Act of 1978; or
    (B) households with incomes which do not exceed the greater of--
    (i) an amount equal to 150 percent of the poverty level for such 
State; or
    (ii) an amount equal to 60 percent of the State median income;

except that a State may not exclude a household from eligibility in 
a fiscal year solely on the basis of household income if such income 
is less than 110 percent of the poverty level for such State, but 
the State may give priority to those households with the highest 
home energy costs or needs in relation to household income;
    (3) conduct outreach activities designed to assure that eligible 
households, especially households with elderly individuals or 
disabled individuals, or both, and households with high home energy 
burdens, are made aware of the assistance available under this 
title, and any similar energy-related assistance available under 
subtitle B of title VI (relating to community services block grant 
program) or under any other provision of law which carries out 
programs which were administered under the Economic Opportunity Act 
of 1964 before the date of the enactment of this Act;
    (4) coordinate its activities under this title with similar and 
related programs administered by the Federal Government and such 
State, particularly low-income energy-related programs under 
subtitle B of title VI (relating to community services block grant 
program), under the supplemental security income program, under part 
A of title IV of the Social Security Act, under title XX of the 
Social Security Act, under the low-income weatherization assistance 
program under title IV of the Energy Conservation and Production 
Act, or under any other provision of law which carries out programs 
which were administered under the Economic Opportunity Act of 1964 
before the date of the enactment of this Act;
    (5) provide, in a timely manner, that the highest level of 
assistance will be furnished to those households which have the 
lowest incomes and the highest energy costs or needs in relation to 
income, taking into account family size, except that the State may 
not differentiate in implementing this section between the 
households described in clauses (2)(A) and (2)(B) of this 
subsection;
    (7) if the State chooses to pay home energy suppliers directly, 
establish procedures to--
    (A) notify each participating household of the amount of 
assistance paid on its behalf;
    (B) assure that the home energy supplier will charge the 
eligible household, in the normal billing process, the difference 
between the actual cost of the home energy and the amount of the 
payment made by the State under this title;
    (C) assure that the home energy supplier will provide assurances 
that any agreement entered into with a home energy supplier under 
this paragraph will contain provisions to assure that no household 
receiving assistance under this title will be treated adversely 
because of such assistance under applicable provisions of State law 
or public regulatory requirements; and
    (D) ensure that the provision of vendored payments remains at 
the option of the State in consultation with local grantees and may 
be contingent on unregulated vendors taking appropriate measures to 
alleviate the energy burdens of eligible households, including 
providing for agreements between suppliers and individuals eligible 
for benefits under this Act that seek to reduce home energy costs, 
minimize the risks of home energy crisis, and encourage regular 
payments by individuals receiving financial assistance for home 
energy costs;
    (10) provide that such fiscal control and fund accounting 
procedures will be established as may be necessary to assure the 
proper disbursal of and accounting for Federal funds paid to the 
State under this title, including procedures for monitoring the 
assistance provided under this title, and provide that the State 
will comply with the provisions of chapter 75 of title 31, United 
States Code (commonly known as the ``Single Audit Act'');
    (11) permit and cooperate with Federal investigations undertaken 
in accordance with section 2608;
    (12) provide for timely and meaningful public participation in 
the development of the plan described in subsection (c);
    (13) provide an opportunity for a fair administrative hearing to 
individuals whose claims for assistance under the plan described in 
subsection (c) are denied or are not acted upon with reasonable 
promptness;
    (14) cooperate with the Secretary with respect to data 
collecting and reporting under section 2610;
* * * * *
    (d) The State shall expend funds in accordance with the State 
plan under this title or in accordance with revisions applicable to 
such plan.
    (e) Each State shall, in carrying out the requirements of 
subsection (b)(10), obtain financial and compliance audits of any 
funds which the State receives under this title. Such audits shall 
be made public within the State on a timely basis. The audits shall 
be conducted in accordance with chapter 75 of title 31, United 
States Code.

[[Page 24482]]

    (f)(1) Notwithstanding any other provision of law unless enacted 
in express limitation of this paragraph, the amount of any home 
energy assistance payments or allowances provided directly to, or 
indirectly for the benefit of, an eligible household under this 
title shall not be considered income or resources of such household 
(or any member thereof) for any purpose under any Federal or State 
law, including any law relating to taxation, food stamps, public 
assistance, or welfare programs.
    (2) For purposes of paragraph (1) of this subsection and for 
purposes of determining any excess shelter expense deduction under 
section 5(e) of the Food Stamp Act of 1977 (7 U.S.C. 2014(e))--
    (A) the full amount of such payments or allowances shall be 
deemed to be expended by such household for heating or cooling 
expenses, without regard to whether such payments or allowances are 
provided directly to, or indirectly for the benefit of, such 
household; and
    (B) no distinction may be made among households on the basis of 
whether such payments or allowances are provided directly to, or 
indirectly for the benefit of, any of such households.
    (g) The State shall repay to the United States amounts found not 
to have been expended in accordance with this title or the Secretary 
may offset such amounts against any other amount to which the State 
is or may become entitled under this title.
    (h) The Comptroller General of the United States shall, from 
time to time (but not less frequently than every three years), 
evaluate the expenditures by States of grant under this title in 
order to assure that expenditures are consistent with the provisions 
of this title and to determine the effectiveness of the State in 
accomplishing the purposes of this title.
    (i) A household which is described in subsection (b)(2)(A) 
solely by reason of clause (ii) thereof shall not be treated as a 
household described in subsection (b)(2) if the eligibility of the 
household is dependent upon--
    (1) an individual whose annual supplemental security income 
benefit rate is reduced pursuant to section 1611(e)(1) of the Social 
Security Act by reason of being in an institution receiving payments 
under title XIX of the Social Security Act with respect to such 
individual;
    (2) an individual to whom the reduction specified in section 
1612(a)(2)(A)(i) of the Social Security Act applies; or
    (3) a child described in section 1614(f)(2) of the Social 
Security Act who is living together with a parent, or the spouse of 
a parent, of the child.
    (j) In verifying income eligibility for purposes of subsection 
(b)(2)(B), the State may apply procedures and policies consistent 
with procedures and policies used by the State agency administering 
programs under part A of title IV of the Social Security Act, under 
title XX of the Social Security Act, under subtitle B of title VI of 
this Act (relating to community services block grant program), under 
any other provision of law which carries out programs which were 
administered under the Economic Opportunity Act of 1964 before the 
date of the enactment of this Act, or under other income assistance 
or service programs (as determined by the State).

NONDISCRIMINATION PROVISIONS

Sec. 2606.
    (a) No person shall on the ground of race, color, national 
origin, or sex be excluded from participation in, be denied the 
benefits of, or be subjected to discrimination under, any program or 
activity funded in whole or in part with funds made available under 
this title. Any prohibition against discrimination on the basis of 
age under the Age Discrimination Act of 1975 or with respect to an 
otherwise qualified handicapped individual as provided in section 
504 of the Rehabilitation Act of 1973 also shall apply to any such 
program or activity.
    (b) Whenever the Secretary determines that a State that has 
received a payment under this title has failed to comply with 
subsection (a) or an applicable regulation, he shall notify the 
chief executive officer of the State and shall request him to secure 
compliance. If within a reasonable period of time, not to exceed 60 
days, the chief executive officer fails or refuses to secure 
compliance, the Secretary is authorized to (1) refer the matter to 
the Attorney General with a recommendation that an appropriate civil 
action be instituted; (2) exercise the powers and functions provided 
by title VI of the Civil Rights Act of 1964, the Age Discrimination 
Act of 1975, or section 504 of the Rehabilitation Act of 1973, as 
may be applicable; or (3) take such other action as may be provided 
by law.
    (c) When a matter is referred to the Attorney General pursuant 
to subsection (b), or whenever he has reason to believe that the 
State is engaged in a pattern or practice in violation of the 
provisions of this section, the Attorney General may bring a civil 
action in any appropriate United States district court for such 
relief as may be appropriate, including injunctive relief.

(42 U.S.C. 8625)

Attachment L

Residential Energy Assistance Challenge Option (REACH) Program

Applicable Regulations

    The following DHHS regulations codified in Title 45 of the Code 
of Federal Regulations are applicable to the Residential Energy 
Assistance Challenge Option (REACH) Program:

Part 16--Department Grant Appeals Board.
Part 30--Claims Collection.
Part 75--Informal Grant Appeals Procedure.
Part 76--Debarment and Suspension from Eligibility for Financial 
Assistance. Subpart F. Drug-Free Workplace.
Part 80--Nondiscrimination under programs receiving Federal 
assistance through the Department of Health and Human Services 
effectuation of Title VI of the Civil Rights Act of 1964.
Part 81--Practice and Procedure for hearings under Part 80 of this 
title.
Part 84--Nondiscrimination on the basis of handicap in programs and 
activities receiving Federal financial assistance.
Part 86--Nondiscrimination on the basis of sex in education programs 
and activities receiving Federal financial assistance.
Part 91--Nondiscrimination on the basis of age in HHS programs or 
activities receiving Federal financial assistance.
Part 93--New restrictions on lobbying.
Part 96--Block grants.

Attachment M

Residential Energy Assistance Challenge Option (REACH) Program

Statement of Assurances and Demonstration

    In accordance with the applicable program statute and the FY 
1997 REACH Program Announcement, the undersigned certifies that the 
REACH Plan/Application submitted herewith meets all of the 
legislative requirements listed in Part III Section A of the FY 1997 
REACH Program Announcement.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Date

[FR Doc. 97-11515 Filed 5-2-97; 8:45 am]
BILLING CODE 4184-01-P