[Federal Register Volume 64, Number 239 (Tuesday, December 14, 1999)]
[Notices]
[Pages 69824-69854]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-31321]



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Part II





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



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Assets for Independence Demonstration Program, Fiscal Year 2000; 
Request for Applications; Notice

  Federal Register / Vol. 64, No. 239 / Tuesday, December 14, 1999 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. OCS-2000-04]


Request for Applications Under the Office of Community Services' 
Fiscal Year 2000 Assets for Independence Demonstration Program (IDA 
Program)

AGENCY: Office of Community Services (OCS), Administration for Children 
and Families, Department of Health and Human Services.

ACTION: Announcement of availability of funds and request for 
competitive applications under the Office of Community Services' Assets 
for Independence Demonstration Program.

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SUMMARY: The Administration for Children and Families (ACF), Office of 
Community Services (OCS), invites eligible entities to submit 
competitive grant applications for new demonstration projects that will 
establish, implement, and participate in the evaluation of Individual 
Development Accounts for lower income individuals and families. 
Applications will be screened and competitively reviewed as indicated 
in this Program Announcement. Awards will be contingent on the outcome 
of the competition and the availability of funds.

DATES: To be considered for funding applications must be postmarked on 
or before May 15, 2000. Applications postmarked after that date will 
not be accepted for consideration. See Part IV of this announcement for 
more information on submitting applications.

FOR FURTHER INFORMATION CONTACT: Sheldon Shalit (202) 401-4807, 
[email protected], or Richard Saul (202) 401-9341, 
[email protected], Department of Health and Human Services, 
Administration for Children and Families, Office of Community Services, 
370 L'Enfant Promenade, SW, Washington, DC, 20447.
    In addition, this Announcement is accessible on the OCS Website for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/ under 
``Funding Opportunities.''
    The Catalog of Federal Domestic Assistance (CFDA) number for this 
program is 93.602. The title is Assets for Independence Demonstration 
Program (IDA Program).

SUPPLEMENTARY INFORMATION: This program announcement consists of seven 
parts plus appendices:

    Part I: Background Information: legislative authority, program 
purpose, project goals, definition of terms, and program evaluation.
    Part II: Program Objectives and Requirements: program priority 
areas, eligible applicants, project and budget periods, funds 
availability and grant amounts, project eligibility and 
requirements, non-Federal matching funds requirements, preferences, 
multiple applications, treatment of program income, and agreements 
with partnering financial institutions.
    Part III: The Project Description, Program Proposal Elements and 
Review Criteria: purpose, project summary/abstract; objectives and 
need for assistance, results or benefits expected, approach, 
organizational profiles, budget and budget justification, non-
Federal resources, and evaluation criteria.
    Part IV: Application Procedures: application development/
availability of forms, application submission, intergovernmental 
review, initial OCS screening, consideration of applications, and 
funding reconsideration.
    Part V: Instructions for Completing Application Forms: SF424, 
SF424A, SF424B.
    Part VI: Contents of Application and Receipt Process: content 
and order of program application, acknowledgment of receipt.
    Part VII: Post Award Information and Reporting Requirements: 
notification of grant award, attendance at evaluation workshops, 
reporting requirements, audit requirements, prohibitions and 
requirements with regard to lobbying, applicable Federal 
regulations.
    Appendices: Application forms and required attachments.

Paperwork Reduction Act of 1995

    Public reporting burden for this collection of information is 
estimated to average 10 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed and 
reviewing the collection information.
    The project description is approved under OMB control number 0970-
0139 which expires 10/31/2000.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number.

Part I. Background Information

A. Legislative Authority

    The Assets for Independence Demonstration Program (IDA Program) was 
established by the Assets for Independence Act (AFI Act), under Title 
IV of the Community Opportunities, Accountability, and Training and 
Educational Services Act of 1998 (Pub.L. 105-285, 42 U.S.C. 604 Note).

B. Program Purpose

    The purpose of the program is, in the language of the AFI Act: To 
provide for the establishment of demonstration projects designed to 
determine:
    (1) the social, civic, psychological, and economic effects of 
providing to individuals and families with limited means an incentive 
to accumulate assets by saving a portion of their earned income;
    (2) the extent to which an asset-based policy that promotes saving 
for postsecondary education, homeownership, and microenterprise 
development may be used to enable individuals and families with limited 
means to increase their economic self-sufficiency; and
    (3) the extent to which an asset-based policy stabilizes and 
improves families and the community in which the families live.
    There are some 100 IDA programs of various designs operating today 
in different communities across the country. Most are quite new and all 
are in the process of learning what design features work best with a 
variety of circumstances and target populations. Applicants are 
encouraged to contact these programs to see what might be learned from 
their experiences: what pitfalls to avoid, what successes might be 
emulated or adapted. An excellent source of information and discussion 
about existing IDA programs is the website operated by the Corporation 
for Enterprise Development (CFED), and its ``IDA Learning Network'' and 
related ListServe. These can be reached at ``www.idanetwork.org''.

C. Project Goals

    The ultimate goals of the projects to be funded under the Assets 
for Independence Demonstration Program are:
    (1) to create, through project activities and interventions, 
meaningful asset accumulation opportunities for recipients of Temporary 
Assistance for Needy Families (TANF) and other eligible individuals and 
working families.
    (2) to evaluate the projects to demonstrate the effectiveness of 
these activities and interventions and of the project designs through 
which they were implemented, and the extent to which an asset-based 
program can lead to economic self-sufficiency of members of the 
communities served through one or more qualified expenses; and
    (3) thus to make it possible to determine the social, civic, 
psychological, and economic effects of providing to individuals and 
families with limited means an incentive to accumulate assets by saving 
a portion of their earned income, and the extent to which an asset-
based policy stabilizes and improves families and the community in 
which the families live.

[[Page 69825]]

D. Definition of Terms

    For the purposes of this Announcement:
    (1) AFI Act means the Assets for Independence Act (Title IV of the 
Community Opportunities, Accountability, and Training and Educational 
Services Act of 1998) which authorizes this program.
    (2) Custodial Account means an alternative structure to a Trust for 
the establishment of an Individual Development Account, as described in 
PART II, Section G(5).
    (3) Eligible Individual means an individual who meets the income 
and net worth requirements of the program as set forth in PART II, 
Section G(3)(a) below.
    (4) Emergency Withdrawal means a withdrawal of only those funds, or 
a portion of those funds, deposited by the eligible individual (Project 
Participant) in an Individual Development Account of such individual. 
Such withdrawal must be approved by the Project Grantee, must be made 
for an allowable purpose as defined in the AFI Act and under the 
Project Eligibility Requirements set forth in PART II of this 
Announcement, and must be repaid by the individual Project Participant 
within 12 months of the withdrawal. [See PART II, Section G(7)(b)]
    (5) Household means all individuals who share use of a dwelling 
unit as primary quarters for living and eating separate from other 
individuals.
    (6) Individual Development Account means a trust or a custodial 
account created or organized in the United States exclusively for the 
purpose of paying the qualified expenses of an eligible individual, or 
enabling the eligible individual to make an emergency withdrawal, but 
only if the written governing instrument creating the trust or 
custodial account meets the requirements of the AFI Act and of the 
Project Eligibility and Requirements set forth in this Announcement. 
[See PART II, Section G(4) and (5).]
    (7) Net Worth of a Household means the aggregate market value of 
all assets that are owned in whole or in part by any member of the 
household, exclusive of the primary dwelling unit and one motor vehicle 
owned by a member of the household, minus the obligations or debts of 
any member of the household.
    (8) Project Grantee means a Qualified Entity as defined in 
paragraph (11) below, which receives a grant pursuant to this 
Announcement.
    (9) Project Participant means an Eligible Individual as defined in 
paragraph (3) above who is selected to participate in a demonstration 
project by a qualified entity.
    (10) Project Year means, with respect to a funded demonstration 
project, any of the 5 consecutive 12-month periods beginning on the 
date the project is originally awarded a grant by ACF.
    (11) Qualified Entity means an entity eligible to apply for and 
operate an assets for independence demonstration project, under 
Priority Area 1.0, as one or more not-for-profit 501(c)(3) tax exempt 
organizations, or a State or local government agency or a tribal 
government submitting an application jointly with such a not-for-profit 
organization.
    (12) Qualified Expenses means one or more of the expenses for which 
payment may be made from an individual development account by a project 
grantee on behalf of the eligible individual in whose name the account 
is held, and is limited to expenses of (A) post-secondary education, 
(B) first home purchase, and/or (C) business capitalization, as defined 
below:
    (A) Post-Secondary Educational Expenses means post-secondary 
educational expenses paid from an individual development account 
directly to an eligible educational institution, and includes:
    (i) Tuition and Fees required for the enrollment or attendance of a 
student at an eligible educational institution.
    (ii) Fees, Books, Supplies, and Equipment required for courses of 
instruction at an eligible educational institution, including a 
computer and necessary software.
    (iii) Eligible Educational Institution means the following:
    (I) Institution of Higher Education.--An institution described in 
Section 101 or 102 of the Higher Education Act of 1965.
    (II) Post-Secondary Vocational Education School.--An area 
vocational education school (as defined in subparagraph (C) or (D) of 
section 521(4) of the Carl D. Perkins Vocational and Applied Technology 
Education Act (20 U.S.C. 2471(4)) which is in any State (as defined in 
section 521(33) of such Act) as such sections are in effect on the date 
of enactment of the AFI Act.
    (B) First-Home Purchase means qualified acquisition costs with 
respect to a principal residence for a qualified first-time homebuyer, 
if paid from an individual development account directly to the persons 
to whom the amounts are due. Within this definition:
    (i) Principal Residence means a main residence, the qualified 
acquisition costs of which do not exceed 100 percent of the average 
purchase price applicable to a comparable residence in the area.
    (ii) Qualified Acquisition Costs means the cost of acquiring, 
constructing, or reconstructing a residence, including usual or 
reasonable settlement, financing, or other closing costs.
    (iii) Qualified First-Time Homebuyer means an individual 
participating in the project involved (and, if married, the 
individual's spouse) who has no present ownership interest in a 
principal residence during the 3-year period ending on the date on 
which a binding contract is entered into for purchase of the principal 
residence to which this subparagraph applies.
    (C) Business Capitalization means amounts paid from an individual 
development account directly to a business capitalization account that 
is established in a Qualified Financial Institution and is restricted 
to use solely for qualified business capitalization expenses of the 
eligible individual in whose name the account is held. Within this 
definition:
    (i) Qualified Business Capitalization Expenses means qualified 
expenditures for the capitalization of a qualified business pursuant to 
a qualified plan, when so certified by a Qualified Entity (Grantee) as 
meeting the requirements of sub-paragraphs (ii), (iii), and (iv) below.
    (ii) Qualified Expenditures means expenditures included in a 
qualified plan, including but not limited to capital, plant, equipment, 
working capital, and inventory expenses.
    (iii) Qualified Business means any business that does not 
contravene any law or public policy (as determined by the Secretary).
    (iv) Qualified Plan means a business plan, or a plan to use a 
business asset purchased, which--
    (I) is approved by a financial institution, a microenterprise 
development organization, or a nonprofit loan fund having demonstrated 
fiduciary integrity;
    (II) includes a description of services or goods to be sold, a 
marketing plan, and projected financial statements; and
    (III) may require the eligible individual to obtain the assistance 
of an experienced entrepreneurial advisor.
    (D) Transfers to Idas of Family Members--Amounts paid from an 
individual development account directly into another such account 
established for the benefit of an eligible individual who is--
    (i) The individual's spouse; or
    (ii) Any dependent of the individual with respect to whom the 
individual is allowed a deduction under section 151 of the Internal 
Revenue Code of 1986.
    (13) Qualified Financial Institution means a Federally insured 
Financial Institution, or a State insured Financial

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Institution if no Federally insured Financial Institution is available.
    (14) Qualified Savings of the Individual for the Period means the 
aggregate of the amounts contributed by an eligible individual from 
earned income to the individual development account of the individual 
during the period.
    (15) Secretary means the Secretary of Health and Human Services, 
acting through the Director of the Office of Community Services.
    (16) Tribal Government means a tribal organization, as defined in 
section 4 of the Indian Self-Determination and Education Assistance Act 
(24 U.S.C. 450b) or a Native Hawaiian organization, as defined in 
section 9212 of the Native Hawaiian Education Act (20 U.S.C. 7912).
    (17) Trust Agreement means the instrument by which an Individual 
Development Account is established as a trust in the partnering 
Financial Institution under PART II Section G(4).
    (18) Trustee means the Qualified Financial Institution responsible 
for management of an Individual Development Account established as a 
trust pursuant to a Trust Agreement.

E. Program Evaluation

    Section 414 of the Assets for Independence Act requires that at 
least one Assets for Independence Demonstration funded project be 
selected as an ``experimental site'' for in-depth evaluation by the 
independent research organization funded by ACF. Activity at the 
experimental site(s) will include the evaluation of a randomly selected 
``treatment group'' (of program participants) and a ``control group'' 
(of nonparticipants) as well as in-depth interviews of families 
involved with the project, which, in addition to the overall evaluation 
of the program and of each site, will be the basis for assessing how 
asset accumulation affects lower income individuals and families, as 
called for in the Act.
    After FY 2000 grants are awarded, OCS will solicit FY 1999 and FY 
2000 grantees for expressions of interest in being designated as an 
experimental site. The solicitation will specify the activities and 
obligations such designation will entail; but they will include 
recruitment of a sufficient number of eligible individuals to enable 
enrollment, within twelve months, of the treatment group and the 
control group, each to consist of at least 300 members, randomly 
selected by the independent evaluator from among those recruited, and a 
commitment to assist in the evaluator's collection of baseline and 
follow-up data by providing basic identifying and locating information 
(including address and telephone) for those assigned to participate in 
both the treatment group and control group.

Part II. Program Objectives and Requirements

    The Office of Community Services (OCS) invites qualified entities 
to submit competing grant applications for new demonstration projects 
that will establish, support, manage, and participate in the evaluation 
of Individual Development Accounts for eligible participants among 
lower income individuals and working families.

A. Program Priority Areas

    There is one Program Priority Area under this program for Fiscal 
Year 2000: Priority Area 1.0, under which OCS will accept applications 
from Qualified Entities as described below and in Section G. 
Applications for continuation of grants funded under Priority Area 2.0 
of the Fiscal Year 1999 Assets For Independence Program Announcement 
are not covered by this Program Announcement; but will be the subject 
of direct correspondence between OCS and the grantees.

B. Eligible Applicants

(1) In General
    Eligible applicants for the Assets for Independence Demonstration 
Program Priority Area 1.0 are one or more not-for-profit 501(c)(3) tax 
exempt organizations, or a State or local government agency or a tribal 
government submitting an application jointly with such a not-for-profit 
organization. Not-for-profit Applicants, including those filing jointly 
with government agencies or Tribal Governments, must provide 
documentation of their tax exempt status. The applicant can accomplish 
this by providing a copy of the applicant's listing in the Internal 
Revenue Service's (IRS) most recent list of tax-exempt organizations 
described in Section 501(c)(3) of the IRS code or by providing a copy 
of their currently valid IRS tax exemption certificate or by providing 
a copy of the articles of incorporation bearing the seal of the State 
in which the corporation or association is domiciled. Failure to 
provide evidence of Section 501(c)(3) tax exempt status will result in 
rejection of the application.
(2) Applications Submitted Jointly by State or Local Government 
Agencies or Tribal Governments and Tax Exempt Non-Profit Organizations
    Joint applications by government agencies and non-profit 
organizations must clearly identify the joint applicants; and the SF 
424 Application for Federal Assistance must be signed by one of the 
joint applicants. The applicant signing the SF 424 will be responsible 
for proper implementation of the grant in accordance with the approved 
work program and the terms and conditions of the grant. (It may be 
either the government agency applicant or a non-profit applicant). In 
either case, a Reserve Fund must be established for the Project by a 
non-profit Joint Applicant, and maintained and managed as agreed by the 
Joint Applicants. The Reserve Fund must be established in accordance 
with Section G, Paragraphs (1) and (2), below; and where the project 
includes a group or consortium of operating partner CBOs, may include 
both a central and local Reserve Funds as described there. Such joint 
applications must also include:
    (a) Proof of tax exempt status of the non-profit Joint Applicant, 
as described in Paragraph (1), above; and
    (b) A Joint Applicant Agreement, signed by the responsible 
officials of both Joint Applicants, setting forth the responsibilities 
of each Joint Applicant for implementation of the proposed project, 
including management and oversight of the Reserve Fund and carrying out 
of the project activities and interventions described in Element II of 
the proposal narrative. (See PART III, below.) The Joint Applicant 
Agreement should be the first Appendix to the Application, and the 
responsibilities it sets out should be described in the Project 
Narrative under Element II, PART III, C. (below).
(3) Applications Submitted by a Lead Agency on Behalf of a Consortium 
of Community-Based Organizations (CBOs)
    Where the Applicant is applying as the lead agency for a consortium 
of Community-Based Organizations (CBOs), each of these organizations 
must be briefly described in the Application, and background materials 
citing their relevant experience and staff capabilities should be 
included in the Appendix. In such cases the Applicant should document 
its capability and experience in managing such consortia, and the roles 
and responsibilities of all participating agencies should be clearly 
set forth in signed Partnering Agreements between the Applicant and 
each of the member CBOs. Copies of the

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Partnering Agreements should be included in the Appendix, and the roles 
and responsibilities of each participating agency clearly explained in 
PART III, Element II(b), Project Design, and reflected in the Work Plan 
under Element II(c). These explanations must include the plans for 
establishing one or more Reserve Fund(s), and how and where IDA 
Accounts and Parallel Match Accounts will be maintained. (See Section 
G. Paragraph (1), below.)

C. Project and Budget Periods under Priority Area 1.0

    This announcement is inviting applications under Priority Area 1.0 
for project and budget periods of five (5) years. Grant actions, on a 
competitive basis, will award funds for the full five year project and 
budget period. As noted below in Section E., subject to the 
availability of funds, grantees may be offered the opportunity to 
submit applications for supplementary funding in later years during the 
five-year project.

    Note: Applicants should be aware that OCS funds awarded pursuant 
to this Announcement will be from FY 2000 funds and may not be 
expended after the end of the five-year Project/Budget Period to 
support administration of the project or matching contributions to 
Individual Development Accounts which may be open at that time. 
Consequently, Applicants should consider carefully the length of 
time participants will need to achieve their savings goals and at 
what point in the project they may wish to discontinue the opening 
of new accounts. Applicants should provide assurance that in every 
case provision will be made for payment of all promised matching 
deposits to IDA accounts opened by project participants in the 
course of the demonstration project.

D. Funds Availability and Grant Amounts under Priority Area 1.0

    In Fiscal Year 2000 OCS expects approximately $5.4 million to be 
available under Priority Area 1.0 for funding commitments to 
approximately 25 projects, not to exceed $500,000 and averaging 
$200,000 each for the five-year project and budget periods. Applicants 
are reminded that grant awards are limited to the amount of committed 
non-Federal cash matching contributions; and that OCS recognizes that 
this is a limiting factor in the amount of grant funds requested. 
Applicants are assured that OCS will welcome requests for less than the 
maximum grant amounts, and are urged to make realistic projections of 
project activity over the five year project and propose project budgets 
accordingly. Draw-down of grant funds over the five-year budget period 
will be made in amounts that will match non-Federal deposits into the 
Project Reserve Fund. (See Section G. Paragraph (2) and Section I, 
below)

E. Funds Availability for Supplementing FY 1999 Grantees

    As explained in the FY 1999 Assets for Independence Program 
Announcement and noted above, subject to availability of funds and the 
progress of individual demonstration projects, grantees may be offered 
the opportunity to submit requests for non-competitive supplementary 
funding during the five-year project, if there were a determination 
that this would be in the best interest of the government, and subject 
to the availability of funds. Pursuant to that Announcement 
approximately $2 million of FY 2000 funds will be made available for 
supplementary grants to FY 1999 grantees who were awarded less than the 
maximum amount of $500,000.
    Such grantees will be solicited directly by OCS and will be 
considered for supplementary funding where they can demonstrate to the 
satisfaction of OCS: (1) A commitment of non-Federal matching 
contributions at least equal to the supplementary grant requested; (2) 
a record of successful implementation of their existing grant to date; 
(3) a proposed supplementary work program that does not deviate from 
the goals and work program of the original funded project; and (4) 
unmet need for and interest in individual development accounts by 
eligible individuals in the target population which could only be 
satisfied through supplemental funding. Selection of grantees for 
supplementary funding will be made by OCS staff prior to the review and 
selection of applications under Priority Area 1.0, and any funds not 
expended for supplementary grants will be available for project grants 
under Priority Area 1.0.

F. Funds Availability and Grant Amounts for Continuation Funding of FY 
1999 Priority Area 2.0 Grantees

    In Fiscal Year 2000 up to approximately $1.86 million is expected 
to be available under Priority Area 2.0 for up to two continuation 
grants of up to approximately $930,000 each for the second budget year 
of a five-year State project funded under Priority Area 2.0 of the FY 
1999 Assets for Independence Program Announcement. Any funds not 
expended in FY 2000 for these Continuation Grants will be available for 
project grants under Priority Area 1.0.

G. Project Eligibility and Requirements under Priority Area 1.0

    To be eligible for funding under Priority Area 1.0, projects must 
be sponsored and managed by Qualified Entities and must meet the 
following requirements:
(1) Reserve Fund
    Every project funded under this Announcement must establish and 
maintain a Reserve Fund in accordance with this paragraph. Such Reserve 
Fund must be maintained in accordance with the accounting regulations 
prescribed by the Secretary (See Attachment ``L'' to this 
Announcement), in a Qualified Financial Institution or other insured 
financial institution satisfactory to the Secretary.

    Note: Where an applicant is lead agency for a consortium or 
group of Community Based Organizations (CBOs), each of which will be 
implementing an IDA program under the Applicant's grant pursuant to 
this Announcement, the Applicant/lead agency must maintain a Reserve 
Fund into which all required non-Federal share matching contribution 
funds and OCS grant funds shall be deposited in accordance with sub-
Paragraph (a). The consortium has two alternatives for maintenance 
of Reserve Fund(s) in its IDA programs: First, participating CBOs 
may all operate out of the one central Reserve Fund maintained by 
the Applicant/lead agency. In this case separate accounting 
structures would be maintained for each of the CBOs and the funds 
assigned for their use in accordance with agreements between the 
Applicant and each CBO. Or second, in addition to the Central 
Reserve Fund, participating CBOs may each establish a local Reserve 
Fund in their community into which the Applicant/lead agency will 
deposit from the Central Reserve Fund the funds (grant and non-
Federal share) allocated for use by the particular CBO. Central and 
local Reserve Funds will be subject to all of the requirements of 
this Section. Whatever the arrangement, it must be spelled out and 
agreed to in the Partnering Agreements required under Section B. 
Paragraph (3) between the Applicant and each consortium member.

    (a) Amounts in the Reserve Fund. As soon after receipt as is 
practicable, grantees shall deposit in the Reserve Fund the non-Federal 
matching contributions received pursuant to the ``Non-Federal Share 
Agreement'' or Agreements reached with the provider(s) of non-Federal 
matching contributions. Once such non-Federal funds are deposited in 
the Reserve Fund, grantees may draw down OCS grant funds in amounts 
equal to such deposits. Similarly, as soon after receipt as practical, 
grantees shall deposit in the Reserve Fund the income received from any 
investment made of those funds (see paragraph (d) below).

[[Page 69828]]

    (b) Use of Amounts in the Reserve Fund. Grantees shall use the 
amounts in such Reserve Fund as follows:
    (A) At least 90.5% of the federal grant funds, and an equal amount 
of the required non-Federal share funds, shall be used as matching 
contributions, equally divided between federal and non-federal monies, 
to individual development accounts for project participants, in an 
agreed upon ratio to deposits made in those accounts by project 
participants from earned income.
    (B) At least 2% but no more than 9.5% of the Federal grant funds 
shall be used toward the expense of collecting and providing to the 
research organization evaluating the demonstration project the data and 
information required for the evaluation.
    (C) Up to 7.5% of the Federal grant funds may be used for 
administration of the demonstration project and toward expenses of 
assisting project participants to obtain the skills (including economic 
literacy classes, budgeting, and business management skills), training, 
and information necessary to achieve economic self-sufficiency through 
activities requiring qualified expenses.
    (D) Up to 9.5% of the required matching non-Federal funds may be 
used for expenses outlined in Paragraphs (B) and (C), above, or other 
project-related expenses as agreed by the Applicant and the providing 
entity.

    Note: If a grantee mobilizes matching non-Federal contributions 
in excess of the required 100 percent match, such non-Federal funds 
may be used however the grantee and provider of the funds may agree. 
Where the use of such funds falls within a Program Element/-Proposal 
Review Criterion which formed the basis for the grant award, 
Grantees will be held accountable for commitments of such excess 
matching funds and additional resources, even though over the amount 
of the required non-Federal match.

    (c) Authority to Invest Funds. A grantee shall invest the amounts 
in its Reserve Fund that are not immediately needed for payment under 
paragraph (b), in a manner that provides an appropriate balance between 
return, liquidity, and risk, and in accordance with Guidelines which 
will be issued by the Secretary prior to making of grant awards and 
provided to grantees at the time of grant award.
    (d) Use of Investment Income. Income generated from investment of 
Reserve Fund monies that are not allocated to existing Individual 
Development Accounts may be added by grantees to the funds committed to 
program administration, participant support, or evaluation data 
collection. As noted in Paragraph M, below, once funds have been 
committed as matching contributions to Individual Development Accounts, 
then any income subsequently generated by such funds must be deposited/
credited to the credit of such accounts.

    Note: No part of such income is to be considered as a Federal 
funds contribution subject to the $2000/$4000 limitations under 
Paragraph (5)(b), below.

    (e) Joint Project Administration. If two or more qualified entities 
are jointly administering a project, none shall use more than its 
proportional share for the purposes described in subparagraphs (B) and 
(C), of paragraph (b).
(2) Use of Grant Funds by State and Local Government Agencies and 
Tribal Governments.
    As set forth in Section B. Paragraph (2) above, grantees who are 
State or local government agencies or Tribal governments are required 
to submit applications jointly with tax exempt non-profit 
organizations. In such cases, whether the lead applicant signing the SF 
424 is the government agency or the non-profit organization, a Reserve 
Fund must be established for the Project by the non-profit Joint 
Applicant and maintained and managed as agreed by the Joint Applicants. 
The Reserve Fund shall be subject to the requirements of Paragraph (1) 
above, and Section I, below.
(3) Eligibility and Selection of Project Participants
    (a) Participant Eligibility. Eligibility for participation in the 
demonstration projects is limited to individuals who are members of 
households eligible for assistance under TANF or of households whose 
adjusted gross income does not exceed the earned income amount 
described in Section 32 of the Internal Revenue Code of 1986, which 
establishes eligibility for the Earned Income Tax Credit (EITC)(taking 
into account the size of the household), and whose net worth as of the 
end of the calendar year preceding the determination of eligibility 
does not exceed $10,000, excluding the primary dwelling unit and one 
motor vehicle owned by a member of the household.

    Note: The most recent EITC Earned Income Guidelines which set 
the limits on annual income for eligibility in the IDA Program are 
as follows:

--for a household without a child: $10,030
--for a household with one child: $26,473.
--for a household with more than one child: $30,095.

    Applicants are reminded that there is also an assets test for 
eligibility in the program.]

    (b) Participant Selection. In keeping with the statutory preference 
in Section 405(d)(3) of the AFI Act for applications that target 
individuals from neighborhoods or communities that experience high 
rates of poverty or unemployment, grantees in their selection of 
Project Participants may restrict participation in such neighborhoods 
or communities targeted by their demonstration projects to individuals 
and households with lower incomes and net worth than set forth above, 
provided that they shall nonetheless select individuals that they 
determine to be best suited to participate in the demonstration 
project.
(4) Establishment of Individual Development Accounts
    Project Grantees must create, through written governing 
instruments, either (a) Trusts, under this paragraph, or (b) Custodial 
Accounts described in Paragraph (5) below, which will be Individual 
Development Accounts on behalf of Project Participants. Trustees of 
Trusts must be Qualified Financial Institutions. Custodians of 
Custodial Accounts may be Qualified Financial Institutions, other 
insured financial institutions satisfactory to the Secretary, or 
Demonstration Project Grantees. In every case the Participant's 
personal savings from earned income shall be deposited in the 
Participant's Individual Development Account in a participating insured 
financial Institution. In every case the participating insured 
financial institution and the Demonstration Project Grantee shall be 
parties to the written governing instruments creating the Trust or 
Custodial Account, which must contain the following provisions:
    (a) All contributions to the accounts must be either in cash, by 
check, money order, or by electronic transfer of funds.
    (b) The assets of the account will be invested in accordance with 
the direction of the Project Participant after consultation with the 
grantee and pursuant to the guidelines of the Secretary (which will be 
issued prior to the making of grant awards and made available to 
grantees at the time of grant award).
    (c) The assets of the account will not be commingled with other 
property except in a common trust fund or parallel account or common 
investment fund.
    (d) In the event of the death of the Project Participant, any 
balance remaining in the account shall be distributed within 30 days of 
the date of death to another Individual Development Account established 
for the benefit of an eligible individual as directed by the deceased 
Participant in

[[Page 69829]]

the Savings Plan Agreement under sub-paragraph (g), below; provided, 
that the Participant may at their option direct the disposition of any 
funds in the account which were deposited in the account by the 
Participant as he or she may see fit, except that where such 
disposition is not to another Individual Development Account, all 
matching contributions made by the grantee to the account, and any 
income earned thereby, shall be returned to the Reserve Fund.

    Note that this will mean that each Project Participant must 
provide such direction at the time the Individual Development 
Account is established. Provision should be made by grantees for 
modification of such directions during the course of the project, in 
the event of changing circumstances.

    (e) Except in the case of the death of the Project Participant, 
amounts in the account attributable to deposits by the grantee from 
grant funds and matching non-federal contributions, and any interest 
thereon, may be paid, withdrawn or distributed out of the account only 
for the purpose of paying qualified expenses of the Project Participant 
including transfers under Paragraph (7)(d), below).
    (f) The procedures governing the withdrawal of funds from the 
Individual Development Account, for both Qualified Expenses and 
Emergency Withdrawals, which comply with the provisions of Paragraph 
(7) Withdrawals from Individual Development Accounts, below.
    (g) a ``Savings Plan Agreement'' between the grantee and the 
Project Participant, which may be incorporated by reference, and which 
should include: (1) Savings goals (including a proposed schedule of 
savings deposits by the Participant from earned income, which may be 
for a period of less than five years); (2) the rate at which 
participant savings will be matched (from one dollar to eight dollars 
for each dollar in savings deposited by Participant, the Federal grant 
funds portion of which may not exceed $2000 during the five-year 
project period); (3) the proposed qualified expense for which the 
Account is maintained, (4) agreement by the grantee to provide and the 
Participant to attend classes in Economic Literacy; (5) any additional 
training or education related to the qualified expense which the 
Grantee agrees to provide and of which the Participant agrees to 
partake, (6) contingency plans in the event that the Participant 
exceeds or fails to meet projected savings goals or schedules, (7) any 
agreement as to investments of assets described in subparagraph (b), 
above, (8) an explanation of withdrawal procedures and limitations, 
including the consequences of unauthorized withdrawal, (9) provision 
for disposition of the funds in the account in the event of the 
Participant's death (see sub-Paragraph (d), above; and (10) provision 
for amendment of the Agreement with the concurrence of both Grantee and 
Participant.
    (5) Custodial Accounts
    As provided in Paragraph (4), above, Grantees may, in the 
alternative, create, through written governing instruments, Custodial 
Accounts which shall be Individual Development Accounts on behalf of 
Project Participants, except that they will not be trusts. As in the 
case of trusts established under paragraph (4), the written governing 
instruments of the accounts must contain the requirements outlined in 
subparagraphs (a) through (g) of that paragraph, with the following 
exceptions. Whereas trustees of the trusts created under Paragraph (4) 
must be Qualified Financial Institutions, the assets of the custodial 
account may be held by a bank or another ``person'' (or institution) 
who demonstrates to the satisfaction of the Secretary that the manner 
in which the account will be administered will be consistent with the 
provisions of the AFI Act, and that the IDA's will be created and 
maintained as described in paragraph (4) and Section 404(5)(A) of the 
AFI Act. In addition, in the case of a custodial account treated as a 
trust by reason of this paragraph, the custodian of such account may be 
the Project Grantee, provided that it can assure compliance with the 
requirements of Paragraph (4) above, and Section 404(5)(A) of the AFI 
Act. These arrangements would place the ``custodial'' responsibilities 
with the grantee, and relieve financial institutions of trustee 
obligations. The Secretary has determined that the assets of any such 
accounts must be held in an insured financial institution and be 
subject to the provisions of Paragraph M, below, pertaining to 
agreements between applicants/grantees and participating financial 
institutions.
(6) Deposits in Individual Development Accounts
    (a) Matching Contributions. Not less than once every three months 
during the demonstration project grantees will make deposits into 
Individual Development Accounts as matching contributions to deposits 
from earned income made by Project Participants during the period since 
the previous deposit. Such deposits may be made either into the 
accounts themselves or into a parallel account maintained by the 
grantee in an insured financial institution.

    Note: Deposits made by Project Participants shall be deemed to 
have been made from earned income so long as the Participant's 
earned income (as defined in Section 911(d)(2) of the Internal 
Revenue Code of 1986) during the period since the Participant's 
previous deposit in the account is greater than the amount of the 
current deposit. Section 911(d)(2) provides, in relevant part, ``the 
term `earned income' means wages, salaries, or professional fees, 
and other amounts received as compensation for personal services 
actually rendered''.

    Matching contributions (as deposits to IDA accounts or to parallel 
accounts) must be made to IDA's in equal amounts from Federal grant 
funds and the non-Federal public and private funds committed to the 
project as matching contributions, as described in Section I below, and 
Sections 405(c)(4) and 406(b)(1) of the AFI Act. Such matching 
contribution deposits by grantees may be from $0.50 to $4 in non-
Federal funds and an equal amount in Federal grant funds, for each 
dollar of earned income deposited in the account by the Project 
Participant in whose name the account is established. Once such equal 
matching contribution deposits are made, grantees may make additional 
matching contributions to IDA's from other non-Federal sources, or 
other Federal sources, such as TANF, where the legislation or policies 
governing such programs so permit. Such additional matching 
contributions would not be a use of funds falling within any Program 
Element/Proposal Review Criterion under Part III below, which formed 
the basis for the grant award, and as such, grantees will not be held 
accountable for their commitment to the project.
    At the time matching contribution deposits are made, the grantee 
will also deposit into the Individual Development Account (or the 
parallel account) any interest or income that has accrued since the 
previous deposit on amounts previously deposited in or credited to that 
account.
    (b) Limitations on Matching Contributions. Over the course of the 
five year demonstration, not more than $2,000 in Federal grant funds 
shall be provided through matching contributions to any one individual; 
and not more than $4,000 shall be provided to IDA's in any one 
household. [As noted in Paragraph (1)(d), above, no part of any 
investment income earned by monies in the Reserve Fund is to be 
considered as a Federal funds contribution subject to this limitation.]

[[Page 69830]]

(7) Withdrawals from Individual Development Accounts
    (a) Limitations. Under no circumstances may funds be withdrawn from 
an Individual Development Account earlier than six months after the 
initial deposit by a Project Participant in the Account. Thereafter 
funds may be withdrawn from such account only upon written approval of 
the Project Participant and of a responsible official of the project 
grantee, and only for one or more Qualified Expenses (as defined in 
Part I) or for an Emergency Withdrawal.
    (b) Emergency Withdrawals. An Emergency Withdrawal may only be of 
those funds, or a portion of those funds, deposited in the account by 
the Project Participant, and for the following purposes:
    (i) Expenses for medical care or necessary to obtain medical care 
for the Project Participant or a spouse or dependent of the 
Participant;
    (ii) Payments necessary to prevent eviction of the Project 
Participant from, or foreclosure on the mortgage for, the principal 
residence of the Participant;
    (iii) Payments necessary to enable the Project Participant to meet 
necessary living expenses (food, clothing, shelter--including utilities 
and heating fuel) following loss of employment.
    (c) Reimbursement of Emergency Withdrawals. A Project Participant 
shall reimburse an Individual Development Account for any funds 
withdrawn from the account for an Emergency Withdrawal, not later than 
12 months after the date of the withdrawal. If the Participant fails to 
make the reimbursement, the Project Grantee must transfer the funds 
deposited into the account or a parallel account from Federal and non-
Federal matching contributions, and any income generated thereby, back 
to the Reserve Fund of the grantee, and use the funds to benefit other 
individuals participating in the demonstration project involved. Any 
remaining funds deposited by the Project Participant (plus any income 
generated thereby) shall be returned to such Project Participant.
    (d) Transfers to Individual Development Accounts of Family Members. 
At the request of a Project Participant, and with the written approval 
of a responsible official of the grantee, amounts may be paid from an 
individual development account directly into another such account 
established for the benefit of an eligible individual who is--
    (i) The Participant's spouse, or
    (ii) Any dependent of the Participant with respect to whom the 
Participant is allowed a deduction under section 151 of the Internal 
Revenue Code of 1986.

H. Project Eligibility and Requirements under Priority Area 2.0

    As previously noted in Part II Section A, there is no Priority Area 
2.0 under this Announcement. Applications for continuation of grants 
funded under Priority Area 2.0 of the Fiscal Year 1999 Assets For 
Independence Program Announcement will be the subject of direct 
correspondence between OCS and the grantees.

I. Non-Federal Matching Funds Requirements

    Grantees must mobilize at least one hundred percent of the OCS 
grant amount in cash non-Federal share for deposit to the Reserve Fund 
as matching contribution. Public sector resources that can be counted 
toward the minimum required match include funds from State and local 
governments, and funds from various block grants allocated to the 
States by the Federal Government provided that the authorizing 
legislation for these grants permits such use. Note, for example, that 
Community Development Block Grant (CDBG) funds may be counted as 
matching funds; Community Services Block Grant (CSBG) FUNDS MAY NOT. 
With regard to State TANF funds, any State funds that comprise 
Maintenance Of Effort (MOE) under the TANF regulations may NOT be used 
as required non-Federal share under this Announcement. (But see 
discussion of additional matching contributions in Paragraph (6)(a), 
above.)
    To be considered for funding an Application must include a copy of 
a ``Non-Federal Share Agreement'' or Agreements in writing executed by 
the Applicant and the organization or organizations providing the 
required non-Federal matching contributions, signed for the 
organization by a person authorized to make a commitment on behalf of 
the organization, and signed for the Applicant by the person signing 
the SF424. Such Agreement(s) must include: (1) A commitment by the 
organization to provide the non-Federal funds contingent only on the 
grant award; and (2) an agreement as to the schedule of the opening of 
Individual Development Accounts by the Applicant, and the schedule of 
deposits by the organization to the project's Reserve Fund, such that 
the two schedules will together assure that there will be at all times 
in the Reserve Fund non-Federal matching contribution funds sufficient 
to meet the maximum pledges of matching contributions under the 
``Savings Plan Agreements'' for all Individual Development Accounts 
then open and being maintained by the grantee as part of the 
demonstration project.
    Thus, for example, if the provider of non-Federal share only agrees 
to a fixed schedule of deposits, this non-Federal share requirement can 
be met by the Applicant agreeing to a schedule for opening new accounts 
that will assure that new IDA accounts will only be opened when there 
are sufficient funds in the Reserve Fund to meet the maximum amount of 
matching contributions pledged under the ``Savings Plan Agreements''.
    Where the Applicant is itself providing any of the required cash 
non-Federal share, it must include a statement of commitment, on 
applicant letterhead, signed by the official signing the SF 424 and 
countersigned by the Applicant's Board Chairperson or Treasurer, that 
the non-Federal matching funds will be provided, contingent only on the 
OCS grant award, and that non-Federal share deposits to the Reserve 
Fund and the opening of Individual Development Accounts will be 
coordinated so that new accounts will only be opened when there are 
sufficient funds in the Reserve Fund to cover the maximum matching 
requirements of the Savings Plan Agreements.
    With regard to Applicants which are State or local government 
agencies or Tribal governments, submitting jointly with tax exempt non-
profit organizations, note that under Section G Paragraphs (1) and (2), 
above, Reserve Funds are required to be established as in other 
applications/projects.
    OCS has determined that the strict legislative limitations on the 
use of Federal grant funds and of the minimum required non-Federal 
match (at least 90.5% of each must go toward matching deposits in 
Individual Development Accounts) mean that important training, 
counseling and support activities, critical to the success of a 
project, may best be supported by additional resources, both of the 
applicant itself and mobilized by the applicant in the community. 
Consequently, Applicants are encouraged to mobilize additional 
resources, which may be cash or in-kind contributions, Federal or non-
Federal, for support of project administration and assistance to 
Project Participants in obtaining skills, knowledge, and needed support 
services. (See PART III, Element V) Applicants are reminded that they 
will be held accountable for commitments of such additional resources 
even if over the amount of the required non-Federal match.

[[Page 69831]]

J. Preferences

    In accordance with the provisions of the AFI Act, in considering an 
application to conduct a demonstration project under this Announcement, 
OCS will give preference to an application that:
    (1) Demonstrates the willingness and ability of the applicant to 
select eligible individuals for participation in the project who are 
predominantly from households in which a child (or children) is living 
with the child's biological or adoptive mother or father, or with the 
child's legal guardian.

    Note: Applications that target TANF recipients will be deemed to 
have met this preference.

    (2) Provides a commitment of non-Federal funds with a 
proportionately greater amount of such funds committed from private 
sector sources; and
    (3) Targets individuals residing within one or more relatively 
well-defined neighborhoods or communities (including rural communities) 
that experience high rates of poverty or unemployment.

    Note: Applications which target residents of Empowerment Zones, 
Enterprise Communities, Public Housing, or CDFI Fund-designated 
Distressed Communities will be deemed to have met this preference. 
(For information on CDFI Fund designation of Distressed Communities 
applicants may visit the CDFI Help Desk Website at: http://
www.cdfifundhelp.gov.)

    Each of these preferences will be valued at 2 points in the 
Application Review process, so that applicants not meeting these 
preferences will have 2 points subtracted from its score for a given 
Proposal Element for each preference not met. [Preferences (1) and (3) 
fall under Proposal Element II(a); Preference (2) falls under Proposal 
Element V(a)]. In the case of a consortium of CBO's operating programs 
funded through a lead agency, if a majority of the participating CBO's 
meet these legislative preferences, the Application as a whole will be 
awarded these points.

K. Multiple Applications

    Qualified Entities may submit more than one application for 
different demonstration projects, but no more than one such application 
will be funded to the same Qualified Entity pursuant to this 
Announcement.

L. Treatment of Program Income

    As noted in Section G Paragraph (1)(d), above, income generated 
from investment of unallocated funds in the Reserve Fund may be added 
to the funds already committed from the Reserve Fund to program 
administration, participant support, or evaluation data collection. 
However, once funds have been committed as matching contributions to 
Individual Development Accounts, then any income subsequently generated 
by such funds must be deposited proportionately to the credit of such 
accounts.

    Note: No part of such income is to be considered as a Federal 
funds contribution subject to the $2000/$4000 limitations under 
Section G Paragraph (6)(b), above.

M. Agreements With Partnering Financial Institutions

    All applicants under this Announcement must enter into agreements 
with one or more insured Financial Institutions, in collaboration with 
which Reserve Funds and Individual Development Accounts will be 
established and maintained. To be considered for funding, an 
Application must include a copy of an Agreement or Agreements with one 
or more partnering Qualified Financial Institutions (or in the case of 
Individual Development Accounts established as Custodial Accounts, an 
insured financial institution satisfactory to the Secretary), which 
state(s) that the accounting procedures to be followed in account 
management will conform to Guidelines (CFR Part 74) established by the 
Secretary

    Note: Such regulations may be found as Attachment ``L'' to this 
Announcement.

and under which the partnering insured Financial Institution agrees to 
provide data and reports as requested by the applicant. In the case of 
IDA's established as Trusts under Section G Paragraph (4), above, the 
partnering financial institution must be a Qualified Financial 
Institution as defined in PART I Section D(12). In the case of IDA's 
established as Custodial Accounts, the partnering financial institution 
must be insured and must meet the requirements of Section G Paragraph 
(5), above, to the satisfaction of the Secretary.

    The Agreement may also include other services to be provided by the 
partnering Financial Institution that could strengthen the program, 
such as Financial Education Seminars, favorable pricing or matching 
contributions provided by the Financial Institution, and assistance in 
recruitment of Project Participants.

Part III. The Project Description, Program Proposal Elements and 
Review Criteria

A. Purpose

    The project description provides the major means by which an 
application is evaluated and ranked to compete with other applications 
for available assistance. The project description should be concise and 
complete and should address the activity for which Federal funds are 
being requested. Supporting documents should be included where they can 
present information clearly and succinctly. Applicants are encouraged 
to provide information on their organizational structure, staff, 
related experience, and other information considered to be relevant. 
Awarding offices use this and other information to determine whether 
the applicant has the capability and resources necessary to carry out 
the proposed project. It is important, therefore, that this information 
be included in the application. However, in the narrative the applicant 
must distinguish between resources directly related to the proposed 
project from those that will not be used in support of the specific 
project for which funds are requested.

B. Project Summary/Abstract

    Provide a summary of the project description (a page or less) with 
reference to the funding request.
    Applicants should provide a Project Summary of not more than one 
page which should be placed at the beginning of the Application (and 
will not be counted as a part of the Project Narrative/Description). 
The Project Summary should be on Applicant's letterhead. It should open 
with a brief identification of the geographic area to be served, 
indicating poverty and unemployment rates, and the specific population 
to be targeted by the project, followed by the amount of the grant 
requested, the name of partnering financial institution(s) and 
collaborating CBO's (if applicable), the amount of required non-Federal 
match committed, number of IDA accounts projected to be opened in the 
course of the Demonstration Project, the proposed rate of matching 
contributions, and the types and numbers of ``Qualified Expenses'' 
expected to be achieved by participants. This should be followed by a 
brief narrative description of the project indicating any of its 
innovative aspects.

C. Objectives and Need for Assistance

    Clearly identify the physical, economic, social, financial,

[[Page 69832]]

instructional, and/or other problem(s) requiring a solution. The need 
for assistance must be demonstrated and the principal and subordinate 
objectives of the project must be clearly stated; supporting 
documentation, such as letters of support and testimonials from 
concerned interests other than the applicant, may be included. Any 
relevant data based on planning studies should be included or referred 
to in the endnotes/footnotes. Incorporate demographic data and 
participant/beneficiary information, as needed. In developing the 
project description, the applicant may volunteer or be requested to 
provide information on the total range of projects currently being 
conducted and supported (or to be initiated), some of which may be 
outside the scope of the program announcement.

D. Results or Benefits Expected

    Identify the results and benefits to be derived. For example, 
describe the population to be recruited to the IDA program, how many 
accounts are projected to be opened, what qualified expenses are 
expected to be achieved, and how they will assist participants to move 
towards self-sufficiency.

E. Approach

    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors which might 
accelerate or decelerate the work and state your reason for taking the 
proposed approach rather than others. Describe any unusual features of 
the project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of accounts 
opened. When accomplishments cannot be quantified by activity or 
function, list them in chronological order to show the schedule of 
accomplishments and their target dates.
    Identify the kinds of data to be collected, maintained, and/or 
disseminated. Note that clearance from the U.S. Office of Management 
and Budget might be needed prior to a ``collection of information'' 
that is ``conducted or sponsored'' by ACF. List organizations, 
cooperating entities, consultants, or other key individuals who will 
work on the project along with a short description of the nature of 
their effort or contribution.

F. Organization Profiles

    Provide information on the applicant organization(s) and 
cooperating partners such as organizational charts, financial 
statements, audit reports or statements from CPAs/Licensed Public 
Accountants, Employer Identification Numbers, names of bond carriers, 
contact persons and telephone numbers, child care licenses and other 
documentation of professional accreditation, information on compliance 
with Federal/State/local government standards, documentation of 
experience in the program area, and other pertinent information. Any 
non-profit organization submitting an application must submit proof of 
its non-profit status in its application at the time of submission. The 
non-profit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in Section 501(c)(3) of the 
IRS code, or, by providing a copy of the currently valid IRS tax 
exemption certificate, or, by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.

G. Budget and Budget Justification

    Provide a 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 that describes how 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.

H. Non-Federal Resources

    Amounts of non-Federal resources that will be used to support the 
project as identified in Block 15 of the SF-424. The firm commitment of 
these resources must be documented and submitted with the application 
in order to be given credit in the review process. A detailed budget 
must be prepared for each funding source.

I. Evaluation Criteria

Proposal Elements and Review Criteria for Applications
    Each application which passes the initial screening will be 
assessed and scored by three independent reviewers. Each reviewer will 
give a numerical score for each application reviewed. These numerical 
scores will be supported by explanatory statements on a formal rating 
form describing major strengths and weaknesses under each applicable 
criterion published in the Announcement. Scoring will be based on a 
total of 100 points, and for each application will be the average of 
the scores of the three reviewers.
    The competitive review of proposals will be based on the degree to 
which applicants:
    (1) Adhere to the requirements in PART II and incorporate each of 
the Elements and Sub-Elements below into their proposals, so as to:
    (2) Describe convincingly a project that will develop new asset 
accumulation opportunities for TANF recipients and other eligible 
individuals and working families that can lead to a transition from 
dependency to economic self-sufficiency through the accumulation of 
assets and the pursuit of activities requiring one or more qualified 
expenses; and
    (3) Provide for the collection and validation of relevant data to 
support the national evaluation to be carried out by the independent 
research organization, under contract with ACF, of the project design, 
implementation, and outcomes of this Demonstration Program.
    In order to simplify the application preparation and review 
process, OCS seeks to keep grant proposals cogent and brief. 
Applications with project narratives (excluding Project Summaries and 
appendices) of more than 30 letter-sized pages of 12 c.p.i. type or 
equivalent on a single side will not be reviewed for funding. 
Applicants should prepare and assemble their project description using 
the following outline of required project elements. They should, 
furthermore, build their project concept, plans, and application 
description upon the guidelines set forth for each of the project 
elements.
    Project descriptions are evaluated on the basis of substance, not 
length. Pages should be numbered and a table of contents should be 
included for easy reference. 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

[[Page 69833]]

only; but the applicant must remember that the overall Project 
Narrative must not be longer than 30 pages.

Evaluation Criteria 1: Organizational Profiles

Element I. Organizational Experience and Administrative Capability; 
Ability To Assist Participants. (0 to 20 points)

    Criterion: The capability and relevant experience of the applicant 
and its partners and collaborators in developing and operating programs 
which deal with poverty problems similar to those to be addressed by 
the proposed project, including the provision of supportive services to 
TANF recipients and other low income individuals and working families 
seeking to achieve economic stability and self-sufficiency, as well as 
with evaluations and data collection; and in recruiting, educating, and 
assisting project participants to increase their economic independence 
and general well-being through economic literacy education and the 
accumulation of assets.
    Applications should briefly cite a few specific, concrete examples 
of successful programs and activities, with accomplishments, with which 
applicant has been involved which have contributed to its experience 
and capability to carry out the proposed project. This should include 
experience in working with the target or similar populations, as well 
as collaborative programming and operations which involve financial 
institutions and financial planning, budget counseling, educational 
guidance, preparation for home ownership, and/or self-employment 
training.
    Applications should identify applicant 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. (This can be achieved by a statement or letter from 
agency executive leadership which may be included in the Appendix.) 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.
    The application must also identify the individual staff person(s) 
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 key staff person(s) who will administer and implement the project, 
and the application should indicate the amount of time (in FTE) each 
will be expected to devote to the project. The person identified as 
Project Director should have supervisory experience, experience in 
working with financial institutions and budget 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, in 
which case a resume or resumes should be included in the Appendix. If 
the person or persons have not been identified, then Position 
Description(s) should be included in the Appendix.
    Finally, the application should cite the roles, responsibilities, 
and experience of any other organizations that will be collaborating 
with the Applicant to assist and support Project Participants in the 
pursuit of their goals under the project. Supporting documentation 
concerning these partnering agencies should be included in the Appendix 
to the proposal.
    Where the Applicant is applying as the lead agency for a consortium 
of Community-Based Organizations (CBOs), each of these organizations 
should be briefly described in this section of the Project Narrative; 
and background materials citing their relevant experience and staff 
capabilities should be included in the Appendix. In such cases the 
Applicant should document its capability and experience in managing 
such consortia, and the roles and responsibilities of all participating 
agencies should be clearly set forth in Partnering Agreements between 
the Applicant and each of the member CBOs. Copies of the Agreements 
should be included in the Appendix, and the roles and responsibilities 
clearly explained in Element II(b), Project Design, and reflected in 
the Work Plan under Element II(c).
    It is suggested that applicants use no more than 5 pages for this 
sub-Element, not counting actual resumes or position descriptions, 
which should be included in an Appendix to the proposal. Background 
materials on consortium members (if any) and other collaborating 
agencies, supportive materials, and Partnering Agreements with CBOs 
should also be included in the Appendix.

Evaluation Criteria 2: Approach I

Element II. Sufficiency of the Project Theory, Design, and Plan (0-45 
points)

    Criterion: The degree to which the project described in the 
application appears likely to result in the establishment of a 
workable, fiscally sound program that will provide a structure of 
incentives and supports for TANF recipients and other working families 
of limited means that will enable them to increase their economic self 
sufficiency through economic literacy training and asset accumulation 
for one or more ``qualified expenses''.
    OCS seeks to learn from the application why and how the project as 
proposed is expected to establish the creation of new opportunities for 
asset accumulation by eligible individuals and families that can lead 
to significant improvements in individual and family self-sufficiency 
through activities requiring one or more qualified expenses: for post-
secondary education, home ownership, and/or qualified business 
capitalization.
    Applicants are urged to design and present their project in terms 
of a conceptual cause-effect framework that makes clear the 
relationship between what the project plans to do and the results it 
expects to achieve.

Sub-Element II(a). Description of Target Population, Analysis of Need, 
and Project Assumptions (0-15 points)

    In this sub-element of the proposal the applicant must precisely 
identify the target population(s) to be served. The geographic area to 
be impacted should then be briefly described, citing the percentage of 
residents who are low-income individuals and TANF recipients, as well 
as the unemployment rate, and other data that are relevant to the 
project design.

    Note: Both the poverty rate and unemployment rate of the target 
community(s) are needed to be set forth in the Application so that 
its eligibility for the legislative preference may be determined 
(see below).

    The project design or plan should begin with identifying the 
underlying assumptions about the program. These are the beliefs on 
which the proposed program is built. They should begin with assumptions 
about the strengths and needs of the population(s) to be served; about 
how the accumulation of assets will enable project participants to 
build on those strengths in their quest to achieve self-sufficiency; 
and about what anticipated needs of the participants could be barriers 
to that achievement.

[[Page 69834]]

    In other words, the underlying assumptions of the program are the 
applicant's analysis of the participant strengths and potential to be 
supported and their needs and problems to be addressed by the project, 
and the applicant's theory of how its proposed interventions will 
address those strengths and needs to achieve the desired result. Thus a 
strong application is based upon a clear description of the strengths, 
opportunities, needs and problems to be supported and addressed, and a 
persuasive understanding of the nature of the opportunities and causes 
of the problems.
    The application should include a discussion of the identified 
personal barriers to employment, job retention and greater self-
sufficiency faced by the population to be targeted by the project. 
(These might include such problems as illiteracy, substance abuse, 
family violence, lack of skills training, health or medical problems, 
need for childcare, lack of suitable clothing or equipment, or poor 
self-image.) The application should also include an analysis of the 
identified community systemic barriers which the applicant will seek to 
overcome. These might include lack of public transportation; lack of 
markets; unavailability of financing, insurance or bonding; inadequate 
social services (employment service, child care, job training); high 
incidence of crime; lack of housing; inadequate health care; or 
environmental hazards. Applicants should be sure not to overlook the 
personal and family services and support needed by project participants 
which will enhance job retention and advancement, so as to assure 
continued ability to save from earned income, and which will also help 
to assure that benefits attainable through asset accumulation are not 
diverted by crises beyond the participants' control which would lead to 
emergency withdrawals.
    Where applicant is the lead agency for a group or consortium of 
CBOs, this narrative should briefly summarize the location, character, 
and unemployment and poverty status of the different target 
populations. More detailed information for each of the participating 
CBOs should be included in the Appendix to the Application.

    Note: In accordance with the legislative preferences set forth 
in PART II Section J, above, the maximum score for this sub-Element 
in the review of applications under Priority Area 1.0 will only be 
given to applications which:
    (1) demonstrate the willingness and ability of the applicant to 
select individuals for participation in the project who are 
predominantly from households in which a child (or children) is 
living with the child's biological or adoptive mother or father, or 
with the child's legal guardians. (Applications which target TANF 
recipients will be deemed to have met this preference); and
    (2) target individuals residing within one or more relatively 
well-defined neighborhoods or communities (including rural 
communities, public housing developments, Empowerment Zones and 
Enterprise Communities) that experience high rates of poverty or 
unemployment. (Applications which target residents of Empowerment 
Zones, Enterprise Communities, Public Housing, or CDFI Fund-
designated Distressed Communities will be deemed to have met this 
preference.) (See PART II, Section J)

    Each of these preferences will be valued at 2 points in the 
proposal review, so that the absence of one will reduce the review 
score for the sub-Element by 2 points; the absence of both will reduce 
the review score by 4 points.
    In the case of a consortium of CBOs operating programs funded 
through a lead agency, if a majority of the participating CBOs meet 
these legislative preferences, the Application as a whole will be 
awarded these points.
    It is suggested that applicants use no more than 5 pages for this 
Sub-Element, not including any more detailed information about separate 
target populations, which should be included in the Appendix.

Sub-Element II(b). Project Approach and Design: Interventions, 
Outcomes, and Goals (0-20 points)

    The Application should outline a plan of action which describes the 
scope and detail of how the proposed activities will be undertaken. 
This Sub-Element should begin with a concise statement of the number of 
IDAs that are proposed to be established for each of the ``Qualified 
Expenses'' under the AFI Act, the projected monthly savings by IDA 
holders and the planned rate of matching contributions, and the 
projected savings goals of the participants. The applicant should 
demonstrate that projected savings goals have a true relation to the 
ability of the Participant to save and to the value or cost of the 
``Qualified Expense'' for which the IDA is to be used, be it housing, 
postsecondary education, or business capitalization.
    Next, the Applicant should present a clear and straightforward 
description, from the point of view of the Project Participant, of just 
how the proposed IDA Project will operate. This description should take 
an eligible member of the target population through project activities 
from recruitment through the payment for the ``Qualified Expense'' (and 
beyond, if appropriate). It is suggested that the description generally 
follow the outline below, plus any additional activities that the 
Applicant proposes to undertake as part of its project:
    (1) How/where does the potential participant learn information 
about the Project that will excite his/her interest? (Recruitment)
    (2) Once interested, how, when, by whom, and on what basis is the 
recruit selected to participate in the project? (Selection)
    (3) How and when and with what assistance (Case Management? Family 
Development?) does the new participant make decisions concerning the 
amount of weekly or monthly savings and the selection of ``Qualified 
Expense''? Or is this part of the Selection Process? (Orientation?)
    (4) When and where and with whom does the Participant reach 
agreement on and sign a ``Savings Plan Agreement''? [Include here a 
brief discussion of the provisions of the Agreement, or refer to a 
sample provided in the Appendix.] (Savings Plan Agreement)
    (5) Where, when and how does the Participant actually open his/her 
IDA account with the Insured Financial Institution? Where is the 
Institution in relation to the Participant's home/place of work? How 
does the Participant get to the Institution? [Include here a brief 
discussion of the role of the Financial Institution in account 
management, data collection and reporting, and any other services it 
will provide, referring to copies of the agreement(s) with the 
Financial Institution(s) in the Appendix.] (Opening of the IDA/Role of 
the Financial Institution)
    (6a) How and where will participant make savings deposits? In 
person? By mail? Through payroll deduction? (Savings Deposits)
    (6b) What happens if a scheduled deposit is missed? Will the 
participant be sent a post card? Receive a supportive phone call? 
(Delinquency)
    (7) Where and when and from whom does the participant receive 
``Economic Literacy'' or ``Budgeting'' training, and do childcare and 
transportation need to be provided? (Training and Support)
    (8a) Where and when and from whom does the participant receive 
needed support to remain on the job with opportunity for advancement 
(So as to assure continued savings from earned income)? (Post 
Employment Support Services)
    (8b) Where and when and from whom does the participant receive 
emergency services so as to avoid having to make Emergency Withdrawals? 
(Crisis Intervention)

[[Page 69835]]

    (9) Where and when and from whom does the participant receive 
``Qualified Expenditure'' training related to home ownership, pursuit 
of educational goals, or business plan development and business 
management? (Qualified Expenditure Support)
    (10) When the IDA savings/match goals have been achieved, where, 
when and how does the participant make or arrange withdrawals to 
support the ``Qualified Expenses''? (Withdrawals)
    In this description the applicant should discuss all of the planned 
activities and interventions, including those supported by other 
available resources, and should explain the reasons for taking the 
approaches proposed. The description should give a clear picture of how 
the project as a whole will operate from day to day, including the 
recruiting, financial, program support, and data collection 
responsibilities of the applicant and any partners in the project, and 
just how they will interact with the financial institutions and other 
participating agencies.
    Where the Applicant is a lead agency for a group or consortium of 
CBOs, the role of each must be clearly defined in this section of the 
application. In such cases Applicants should attach copies of signed 
Partnering Agreements with each of the member CBOs setting forth the 
roles and responsibilities of each. (See Element I and PART II Section 
B.(3) above.)
    Finally, and following the above description, the Applicant should 
explain how the proposed project activities will result in outcomes 
which will build on the strengths of the Program Participants and 
assist them to overcome the identified personal and systemic barriers 
to achieving self-sufficiency. In other words, what will the project 
staff do with the resources available to the project and how will what 
they do (interventions) assist project participants to accumulate 
assets in Individual Development Accounts and use those assets for 
``Qualified Expenses'' in a manner that will help lead them to self-
sufficiency?
    It is suggested that applicants use no more than 9 pages for this 
Sub-Element, not including copies of agreements with financial 
institutions, partnering agencies or CBO's, or sample ``Savings Plan 
Agreement'', which should be in an Appendix.

Sub-Element II(c). Work Plan, Projections, Time Lines. (0-10 points)

    Applicant should provide quantitative quarterly projections of the 
activities to be carried out and such information as the projected 
number of participants to be enrolled in each quarter, the number of 
Individual Development Accounts projected to be opened in each quarter 
for each of the ``Qualified Expenses'', the number and amount of 
projected deposits in each quarter, a projected schedule of IDA 
completions and qualified expense payments, and the number and types of 
services provided to participants. The plan should briefly describe the 
key project tasks, and show the timelines and major milestones for 
their implementation. Where the Applicant is a lead agency for a group 
or consortium of CBOs, this information should be broken out for each 
of the member CBOs. Applicant may be able to use a time line chart to 
convey this aspect of the work plan in minimal space.

    Note: Applicants should make sure that these projections relate 
accurately to the amount of grant funds requested and rates of 
matching contributions that are planned for IDA's. In other words, 
applicants should not project a greater number of IDA accounts than 
that number that can be matched by the grant funds that will be 
available to the project. Applicants should also be aware that OCS 
funds awarded pursuant to this Announcement will be from FY 2000 
funds and may not be expended after the end of the five-year 
Project/Budget Period to support administration of the project or 
matching contributions to Individual Development Accounts which may 
be open at that time. Consequently, Applicants should consider 
carefully the length of time participants will need to achieve their 
savings goals and at what point in the project they may wish to 
discontinue the opening of new accounts. Applicants should provide 
assurance that in every case provision will be made for payment of 
all promised matching deposits to IDA accounts opened by project 
participants in the course of the demonstration project.

    This Element of the Proposal should also include a management plan 
or chart showing the responsibilities of the applicant agency, key 
personnel, and all partnering agencies and consortium members (where 
applicable), with an indication of who will be performing various tasks 
such as recruiting, training, economic education instruction, and 
support activities. (This plan or chart should be included in the 
Appendix to the Application.)
    It is suggested that applicants use no more than 3 pages for this 
Sub-Element, not counting the management plan/chart, which should be 
included in the Appendix.

Evaluation Criteria 3: Budget and Budget Justification

Element III. Appropriateness of Budget and Proposed Use of Cash and In-
Kind Resources. (0-5 points)

    Criteria: Completeness of the Budget Justification, and the degree 
to which a description of the allocation of both cash and in-kind 
resources available to the project (including any income generated for 
the project by the Reserve Fund) demonstrates a thoughtful plan that 
reflects the needs of Project Participants and the responsive 
activities and interventions to be undertaken by the Applicant and its 
partners.
    Every application must include a Budget Justification, placed after 
the Budget Forms SF 424 and 424A, explaining the sources and uses of 
project funds. The Budget Justification will not be counted as part of 
the Project Description subject to the thirty page limitation. 
Applicant should briefly but thoroughly describe how all of the 
resources available to the Project will be employed to carry out the 
Work Plan described in Element II, including those training elements 
and support services designed to help assure participant success in 
meeting their savings commitments and their chosen ``qualified 
expense'' use of their Individual Development Account assets. In the 
budget forms and supporting Budget Justification, Applicants must 
clearly distinguish between AFI Act/OCS grant funds and other funds, 
and between cash and in-kind resources described.
    As noted above, the Budget Justification will not be counted as 
part of the Project Description subject to the thirty page limitation.

Evaluation Criteria 4: Approach II

Element IV. Project Data: Adequacy of Plan for Collecting, Validating 
and Providing Project-related Data for Management Information, 
Reporting, and Evaluation Purposes. (0-5 points)

    Criteria: Adequacy of the plan for collecting, validating and 
providing relevant, accurate and complete data for internal management 
information, statutory reporting and project evaluation purposes; and 
clear expression of a commitment to cooperation with the statutorily 
mandated evaluation of the national Assets for Independence 
Demonstration Program.

    Note: Under the AFI Act project grantees are required to use at 
least 2%--but not more than 9.5%--of grant funds to provide the 
research organization evaluating the

[[Page 69836]]

demonstration project with such information with respect to the 
demonstration project as may be required for the evaluation.

    The AFI Act allocates a portion of the appropriated funds to 
support an evaluation of the overall demonstration program in addition 
to the funds grantees are required to expend on data collection. This 
Element requires the Applicant to provide a well thought-out plan for 
collecting, validating and reporting/-providing the necessary data in a 
timely fashion. The Applicant is also encouraged to identify the kinds 
of data it believes would facilitate the management information, 
reporting, and evaluation purposes. The Applicant should also declare 
its agreement to cooperate with the evaluation of the national program, 
and include a brief explanation of its perception of what that 
cooperation would entail. Applicants are urged to carry out an ongoing 
assessment of the data and information collected as an effective 
``process'' management/feedback tool in implementing the project. If 
the Applicant anticipates such an undertaking, the plans should be 
briefly outlined here.

    Note: To attain a maximum score for this Element, the Applicant 
must state its agreement to use the ``MIS IDA'' information system 
software developed by the Center for Social Development, or a 
comparable and compatible system, for the maintenance, collection, 
and transmission of data from the proposed project.

    It is suggested that applicants use no more than 2 pages for this 
Element.

Evaluation Criteria 5: Non-Federal Resources

Element V. Commitment of Resources. (Total of 0-15 points)

Sub-Element V(a). Proportion of Public/Private Required Non-Federal 
Matching Contributions. (0-2 points)
    Criterion: Whether a proportionately greater amount of committed 
required non-Federal matching contribution funds are from private 
sector as opposed to public sources.
    In accordance with the legislative preferences set forth in Part 
III Section J Preferences, above, applications which provide a 
commitment of required non-Federal cash matching contributions with a 
proportionately greater amount of such funds committed from private 
sector as opposed to public sources will receive 2 points under this 
Element.
    Applicants are reminded that as noted in PART II Section I Non-
Federal Matching Funds Requirements, where the Applicant is itself 
providing any of the required cash non-Federal share, it must include 
in the Appendix a statement of commitment, on applicant letterhead, 
signed by the official signing the SF 424 and countersigned by the 
Applicant's Board Chairperson or Treasurer, that the non-Federal 
matching funds will be provided, contingent only on the OCS grant 
award, and that non-Federal share deposits and the opening of 
Individual Development Accounts will be coordinated so that new 
accounts will only be opened when there are sufficient funds in the 
Reserve Fund to cover the maximum matching requirements of the Savings 
Plan Agreements.
Sub-Element V(b). Availability of Additional Resources. (0-13 points)
    Criterion: The extent to which additional resources (beyond the 
required amount of direct funds from non-federal public sector and from 
private sources that are formally committed to the project as matching 
contributions) will be available to support those activities and 
interventions identified in sub-Element II(b), such as economic 
literacy classes, ``qualified expense''-related training, counseling, 
post-employment support services, and crisis intervention.
    As noted below in Part IV, Paragraph D Initial OCS Screening, the 
only applications which will be considered for competitive review are 
those which include written documentation of a commitment, contingent 
only on award of the OCS grant, from the provider(s) of non-Federal 
share, in cash as distinguished from in-kind, of at least the amount of 
the total Federal grant request.
    OCS has determined that the strict legislative limitations on the 
use of Federal grant funds and of the minimum required non-Federal 
match (at least 90.5% of each must go toward matching deposits in 
Individual Development Accounts) mean that important training, 
counseling and support activities, critical to the success of a 
project, can best be supported by additional resources, both of the 
applicant itself and from the community.
    In order to receive points in the review process under this sub-
Element, the applicant must identify those additional resources, cash 
and in-kind, which will be dedicated to support of those activities and 
interventions identified in sub-Element II(b), such as economic 
literacy classes, training, counseling, post-employment support 
services, and crisis intervention; and any staff data collection/
verification activities described in Element III. Such resources may be 
existing programs of the applicant or a project partner, such as Family 
Development, Economic Literacy classes, or Small Business Training, in 
which Project Participants will be enrolled as part of their efforts to 
achieve self-sufficiency. This Element will be judged in the review 
process on the adequacy of the available resources to support the 
activities and interventions described in sub-Element II(b). The 
commitment of such resources to the project must be documented in 
writing and submitted as an Appendix to the Application. Because such 
additional resources are not part of the legislatively mandated non-
Federal matching requirement, these additional resources may be of 
Federal or non-Federal origin, public or private, in cash or in-kind. 
Applicants are reminded that they will be held accountable for 
commitments of such additional resources even if over the amount of the 
required match.
    It is suggested that no more than 3 pages be used for this Element, 
not including non-Federal Share Agreements, assurances, letters of 
commitment, partnership agreements, or Memoranda of Understanding, 
which should be put in an Appendix to the proposal.

Evaluation Criteria 6: Results or Benefits Expected

Element VI. Significant and Beneficial Impacts/Critical Issues or 
Potential Problems. (0-10 points)

    Criteria: The extent to which proposed project is expected to 
produce permanent and measurable results that will reduce the incidence 
of poverty in the community and lead TANF recipients and other eligible 
individuals and working families toward economic self-sufficiency 
through economic literacy education and accumulation of assets; and the 
extent to which applicant convincingly explains how the project will 
meet any critical issues or potential problems in achieving these 
results.
    Applicants should set forth their realistic goals and projections 
for attainment of these and other beneficial impacts of the proposed 
project and should demonstrate that projected savings goals have a true 
relationship to the ability of the participant to save the projected 
amounts and to the value or cost of the ``Qualified Expense'' for which 
the IDA is to be used.
    Results are expected to be quantifiable in terms of the number of 
Individual Development Accounts opened, their rate of growth, the 
number and size of withdrawals for each of the three ``Qualified 
Expenses'', and the impact of the payment of those expenses on the

[[Page 69837]]

participants' movement toward self-sufficiency.
    Applicants should also in this Element explicitly address critical 
issues or potential problems that might affect the achievement of 
project objectives, with an explanation of how they would be overcome, 
and how the objectives will be achieved notwithstanding any such 
problems.
    It is suggested that no more than 3 pages be used for this Element.

Part IV. Application Procedures

A. Application Development/Availability of Forms

    In order to be considered for a grant under this program 
announcement, an application must conform to the Program Requirements 
set out in Part II and be prepared in accordance with the guidelines 
set out in Part III, above. It must be submitted on the forms supplied 
in the attachments to this Announcement and in the manner prescribed 
below. Attachments A through I contain all of the standard forms 
necessary for the application for awards under this OCS program. These 
attachments and Parts IV and V of this Announcement contain all the 
instructions required for submittal of applications.
    Additional copies 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 
Announcement is accessible on the Internet through the OCS WEBSITE for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/ under 
``Funding Opportunities''.
    The applicant must be aware that in signing and submitting the 
application for this award, it is certifying that it will comply with 
the Federal requirements concerning the drug-free workplace, the 
Certification Regarding Environmental Tobacco Smoke, and debarment 
regulations set forth in Attachments G, H, and I.
    Part III contains instructions for the substance and development of 
the project narrative. Part V contains instructions for completing 
application forms. Part VI, Section A describes the contents and format 
of the application as a whole.

B. Application Submission

(1) Number of Copies Required
    One signed original application and four copies should be submitted 
at the time of initial submission. (OMB 0976-0139).
(2) Deadline
    Mailed applications shall be considered as meeting the announced 
deadline of May 15, 2000 if they are either received on or before the 
deadline date or postmarked on or before the deadline date and received 
by ACF in time for the independent review. Mailed applications must be 
sent to: U.S. Department of Health and Human Services, Administration 
for Children and Families, Office of Grants Management, Office of Child 
Support Enforcement, ``Attention: IDA Program'', 370 L'Enfant 
Promenade, SW, Washington, DC 20447.
    Applications submitted via overnight/express delivery services 
should be addressed to the Administration for Children and Families, 
Office of Grants Management, Office of Child Support Enforcement, 
``Attention IDA Program'', 901 D Street SW, Fourth Floor, Washington, 
DC 20024.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark, or a legibly dated machine produced postmark of a commercial 
mail service, or an official dated receipt of an overnight/express 
delivery service, is affixed to the envelope/package containing the 
application(s). To be acceptable as proof of timely mailing, a postmark 
from a commercial mail service or receipt from an overnight/express 
delivery service company must include the logo/emblem of the company 
and must reflect the date the package was received by the company from 
the applicant. Private Metered postmarks shall not be acceptable as 
proof of timely mailing.
    Applications handcarried by applicants, applicant couriers, or by 
other representatives of the applicant 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., EST, at the U.S. 
Department of Health and Human Services, Administration for Children 
and Families, Office of Grants Management, Office of Child Support 
Enforcement, Mailroom, 2nd Floor (near loading dock), Aerospace Center, 
901 D Street, SW, Washington, DC 20024, between Monday and Friday 
(excluding Federal holidays). The address must appear on the envelope/
package containing the application with the note ``Attention: IDA 
Program''.
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
(3) Late Applications
    Applications which do not meet the criteria above are considered 
late applications. ACF shall notify each late applicant that its 
application will not be considered in the current competition.
(4) Extension of Deadlines
    ACF may extend an application deadline for applicants affected by 
acts of God such as floods and hurricanes, or when there is widespread 
disruption of the mails. A determination to waive or extend deadline 
requirements rest with ACF's Chief Grants Management Officer.

C. Intergovernmental Review

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.

    Note: State/Territory Participation in the Intergovernmental 
Review Process Does not Signify Applicant Eligibility for Financial 
Assistance Under a Program. A Potential Applicant Must Meet the 
Eligibility Requirements of the Program for Which it is Applying 
Prior to Submitting an Application to its SPOC, if Applicable, or to 
ACF.

    Attachment J is a Single Point of Contact List for participating 
jurisdictions. The following jurisdictions have elected not to 
participate in the Executive Order process: Alabama, Alaska, American 
Samoa, Colorado, Connecticut, Kansas, Hawaii, Idaho, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Oklahoma, 
Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, and Washington. Applicants from these jurisdictions, for 
projects administered by federally recognized Indian Tribes, or which 
are States, need take no action in regard to E.O. 12372. All remaining 
jurisdictions participate in the Executive Order process and have 
established SPOCs. Applicants from participating jurisdictions should 
contact their SPOCs as soon as possible to alert them of the 
prospective applications and receive instructions. Applicants must 
submit any required material to the SPOCs as soon as possible so that 
the program office can obtain and review SPOC comments as part of the 
award process. The applicant must submit all required materials, if 
any, to the SPOC and indicate the date of this submittal (or the date 
of contact

[[Page 69838]]

if no submittal is required) on the Standard Form 424, item 16a. Under 
45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to 
comment on proposed awards. SPOCs are encouraged to eliminate the 
submission of routine endorsements as official recommendations. 
Additionally, SPOCs are requested to clearly differentiate between mere 
advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule. When comments 
are submitted directly to ACF, they should be addressed to: Department 
of Health and Human Services, Administration for Children and Families, 
Office of Grants Management, Office of Child Support Enforcement, 370 
L'Enfant Promenade, SW, Mail Stop 6C-462, Washington, DC 20447.

D. Initial OCS Screening

    Each application submitted under this program announcement will 
undergo a pre-review to determine that the application was postmarked 
by the closing date and submitted in accordance with the instructions 
in this announcement.
    All applications that meet the published deadline requirements as 
provided in this Program Announcement will be screened for completeness 
and conformity with the following requirements. Only complete 
applications that meet the requirements listed below will be reviewed 
and evaluated competitively. Other applications will be returned to the 
applicants with a notation that they were unacceptable and will not be 
reviewed.
    The following requirements must be met by all Applicants except as 
noted:
    (1) The application must contain a signed Standard Form 424 
``Application for Federal Assistance'' (SF-424), a budget (SF-424A), 
and signed ``Assurances'' (SF 424B) completed according to instructions 
published in Part V and Attachments A, B, and C of this Program 
Announcement.
    (2) A project narrative must also accompany the standard forms. OCS 
requires that the narrative portion of the application be limited to 30 
letter-size pages, numbered, and typewritten on one side of the paper 
only with one-inch margins and type face no smaller than 12 characters 
per inch (c.p.i.) or equivalent. Applications with project narratives 
(excluding Project Summaries and appendices) of more than 30 letter-
sized pages of 12 c.p.i. type or equivalent on a single side will not 
be reviewed for funding. The Joint Applicant Agreement (where 
applicable), non-Federal share agreement, Budget Narrative, Charts, 
exhibits, resumes, position descriptions, letters of support or 
commitment, Agreements with Financial Institutions and other partnering 
organizations, and Business Plans (where required) are not counted 
against this page limit, and should be in the Appendix. It is strongly 
recommended that applicants follow the format and content for the 
narrative described in the program elements set out in part III.
    (3) The SF-424 and the SF-424B must be signed by an official of the 
organization applying for the grant who has authority to obligate the 
organization legally.
    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).
    (4) Application must contain documentation of the applicant's (or 
joint applicant's) tax exempt status as required under Part II, Section 
A.
    (5) Application must include a copy of a ``Non-Federal Share 
Agreement'' or Agreements in writing executed with the entity or 
entities providing the required non-Federal matching contributions, 
signed by a person authorized to make a commitment on behalf of the 
entity and signed for the Applicant by the person signing the SF424. 
Such Agreement(s) must include: (1) A commitment by the organization to 
provide the non-Federal funds contingent only on the grant award; and 
(2) an agreement as to the schedule of the opening of Individual 
Development Accounts by the Applicant, and the schedule of deposits by 
the organization to the project's Reserve Fund, such that the two 
schedules will together assure that there will be at all times in the 
Reserve Fund non-Federal matching contribution funds sufficient to meet 
the maximum pledges of matching contributions under the ``Savings Plan 
Agreements'' for all Individual Development Accounts then open and 
being maintained by the grantee as part of the demonstration project.
    Where Applicants (or Joint Applicants) themselves are providing 
non-Federal share funding, then with regard to those funds the 
application should include an assurance, signed by the person signing 
the SF424, and countersigned by the board Chairperson or Treasurer that 
the required non-Federal share funds will be provided and that deposits 
and the opening of Individual Development Accounts will be coordinated 
so that new accounts will only be opened when there are sufficient 
funds in the Reserve Fund to cover the maximum matching requirements of 
the Savings Plan Agreements. (See part II, Section I.)
    Applicants are strongly encouraged to mobilize additional 
resources, which may be cash or in-kind contributions, Federal or non-
Federal, for support of project administration and assistance to 
Project Participants in obtaining skills, knowledge, and needed support 
services. [See part III, Element V(b)]
    (6) All Applications must include a copy of an Agreement between 
the Applicant and one or more Qualified Financial Institution(s), which 
states that the accounting procedures to be followed in account 
management will conform to Guidelines (45 CFR part 74) established by 
the Secretary, and under which the partnering financial institution 
will agree to provide data and reports as requested by the applicant.
    E. Consideration of Applications. Applications which pass the 
initial OCS screening will be reviewed and rated by an independent 
review panel on the basis of the specific review criteria described and 
discussed in Part III, above. Applications will be reviewed and rated 
under the Program Elements and Review Criteria set forth in part III I. 
The review criteria were designed to assess the quality of a proposed 
project, and to determine the likelihood of its success. The review 
criteria are closely related and are considered as a whole in judging 
the overall quality of an application. Points are awarded only to 
applications which are responsive to the review criteria and program 
elements within the context of this Program 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 generally will be considered in order of the average 
scores assigned by reviewers. 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 five (5) years; comments of reviewers and government 
officials; staff evaluation and input; the amount and duration of the 
grant requested and the proposed project's consistency and harmony with 
OCS goals and policy; geographic distribution of applications; previous 
program performance of applicants; compliance with grant terms under 
previous HHS grants, including the actual dedication to program of

[[Page 69839]]

mobilized resources as set forth in project applications; audit 
reports; investigative reports; and applicant's progress in resolving 
any final audit disallowances on previous OCS or other Federal agency 
grants.
    Since non-Federal reviewers will be used for review of 
applications, Applicants may omit from the application copies which 
will be made available to the non-Federal reviewers, the specific 
salary rates or amounts for individuals identified in the application 
budget. Rather, only summary information is required.
    OCS reserves the right to discuss applications with other Federal 
or non-Federal funding sources to verify the applicant's performance 
record and the documents submitted.

F. Reconsideration

    After Federal funds are exhausted for this grant competition, 
applications which have been independently reviewed and ranked but have 
no final disposition (neither approved nor disapproved for funding) may 
again be considered for funding. Reconsideration may occur at any time 
funds become available within twelve (12) months following ranking. ACF 
does not select from multiple ranking lists for a program. Therefore, 
should a new competition based on the same review criteria be scheduled 
and applications remain ranked without final disposition, such 
applications will be re-reviewed by independent reviewers in the new 
competition and ranked according to the new score. At the same time, 
such applicants will be informed of their opportunity instead to obtain 
reviewer comments from OCS and to reapply for the new competition, if 
they so choose, and to the extent practical, in which case the previous 
application will be disregarded.

Part V. 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 A and B) 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 necessity, reasonableness, 
and allocability of the proposed costs.

    (Note: The Budget detail and Narrative Budget Justification 
should follow the SF 424 and 424A, and are not counted as part of 
the Project Narrative.)

A. SF-424--Application for Federal Assistance (Attachment A)

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. If applicant is a State, enter ``A'' in the box. If 
applicant is an Indian Tribe enter ``K'' in the box. If applicant is a 
non-profit organization enter ``N'' in the box.
    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 93.602. The title is 
``Assets for Independence Demonstration Program (IDA Program)''.
    Item 11. In addition to a brief descriptive title of the project, 
indicate the priority area for which funds are being requested. Use the 
following letter designations:
I--Individual Projects Under Priority Area 1.0
    Item 13. Proposed Project--The project start date must begin on or 
before September 30, 2000; the ending date should be calculated on the 
basis of 60-month Project Period.
    Item 15a. This amount should be no greater than $500,000 for 
applications under Priority Area 1.0.
    Item 15b-e. These items should reflect both cash and third-party, 
in-kind contributions for the Project Period (60 months).

B. SF-424A--Budget Information--Non-Construction Programs (Attachment 
B)

    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 ``IDA Program'' as Item number 1. (Items 2, 3, 4, 
and 5 should be left blank.)
    Col. (b): Catalog of Federal Domestic Assistance number is 93.602. 
Col. (c) and (d): not relevant to this program.
    Column (e)-(g): enter the appropriate amounts in items 1. and 5. 
(Totals) Column e should not be more than $500,000 for applications 
under Priority Area 1.0, and in no case can it be more than the 
committed non-Federal matching cash contribution.
Section B--Budget Categories
    (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 full 5-year budget 
period. With regard to Class Categories, all of OCS grant funds should 
be entered in ``h. Other'', representing the funds to be deposited in 
the Reserve Fund.
    Columns 2, 3 and 4 are not relevant to this program.
    Column 5: Enter the total federal OCS grant funds for the five year 
budget by Class Categories under ``other'', showing a total of not more 
than $500,000.
Section C--Non Federal Resources
    This section is to record the amounts of ``non-Federal'' resources 
that will be used to support the project, including both the required 
cash non-Federal ``matching contributions'' share, and the ``additional 
resources'' which will bring additional support to the project, which 
may be cash or in-kind, non-Federal or Federal. In this context, ``Non-
Federal'' resources mean any and all resources other than the OCS funds 
for which the applicant is applying. Therefore, mobilized funds from 
other Federal programs, such as the Job Training Partnership Act 
program or the Welfare-to-Work program, should be entered on these 
lines. Provide a brief listing of

[[Page 69840]]

these ``non-Federal'' resources on a separate sheet and describe 
whether it is a grantee-incurred cost or a third-party cash or in-kind 
contribution. The firm commitment of these resources must be documented 
and submitted with the application in order to be given credit in the 
review process under the Non-Federal Resources program element.

    Note: Even though non-Federal resources mobilized may go beyond 
the amount required as match under the IDA Program, grantees will be 
held accountable for any such cash or in-kind contribution proposed 
or pledged as part of an approved application where the use of such 
funds falls within a Program Element/Proposal Review Criterion which 
formed the basis for the grant award. [See part II, Section I. and 
part III, Element V(b).]

    Sections D, E, and F may be left blank by Applicants under Priority 
Area 1.0.
    As noted in Part VI, a supporting Budget Justification must be 
submitted providing details of expenditures under each budget category, 
with justification of dollar amounts which relate the proposed 
expenditures to the work program and goals of the project.

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

    Applicants requesting financial assistance for a non-construction 
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' (Attachment C) 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. (See Attachments D and 
E) 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 U.S.C. 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). 
(See Attachments G and H) By signing and submitting the applications, 
applicants are attesting to their intent to comply with these 
requirements 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. 
(See Attachment I) 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.

Part VI. Contents of Application and Receipt Process

    Application pages should be numbered sequentially throughout the 
application package, beginning with a Summary/Abstract of the proposed 
project as page number one; and each application must include all of 
the following, in the order listed below:

A. Content and Order of IDA Program Application

    1. A Project Summary/Abstract--Brief, not to exceed one page, on 
the Applicant's letterhead, that includes the information listed in 
Part III, Section B.
    2. Table of Contents;
    3. A completed Standard Form 424 (Attachment A) 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 completed Budget Information-Non-Construction Programs (SF-
424A) (Attachment B);
    5. A Budget Justification, including narrative budget justification 
for each object class category included under Section B, as described 
in Part III, Program Element III;
    6. Proof of current tax-exempt status of Applicant or Joint 
Applicant (See Part II B.);
    7. A project narrative, limited to the number of pages specified 
below, which includes all of the required elements described in Part 
III. [Specific information/data required under each component is 
described in Part III Section I, Evaluation Criteria.]
    8. Appendices, which should include the following:
    (a) (Where Application is submitted by a State or Local government 
agency or Tribal government jointly with a tax exempt non-profit 
organization) a properly executed Joint Application Agreement as 
described in Part II B.(2), above;
    (b) Filled out, signed and dated Assurances--Non-Construction 
Programs (SF-424B), (Attachment C);
    (c) Restrictions on Lobbying--Certification for Contracts, Grants, 
Loans, and Cooperative Agreements: filled out, signed and dated form 
found at Attachment D;
    (d) Disclosure of Lobbying Activities, SF-LLL: Filled out, signed 
and dated form found at Attachment E, if appropriate (omit Items 11-15 
on the SF LLL and ignore references to continuation sheet SF-LLL-A)
    (e) Maintenance of Effort Certification (See Attachment F);
    (f) Signed Agreement(s) with partnering Financial Institution(s) 
including identification of insurance carrier and current insurance 
number;
    (g) Signed Agreements with providers of required non-Federal 
matching contributions (See Part II, Section I.)
    (h) Resumes and/or position descriptions (see Part III Program 
Element I);
    (i) (Where Applicant is ``lead agency'' of a collaborative or 
consortium of CBO's) Copies of Partnering Agreements between the 
Applicant and each of the member CBO's, setting forth their roles and 
responsibilities. (See Part III, Elements I and II(b))
    (j) Any letters and/or supporting documents from collaborating or 
partnering agencies in target communities, providing additional 
information on staffing and experience in support of narrative under 
Part III Element I. [Such documents are not part of the Narrative and 
should be included in the Appendices. These documents are therefore not 
counted against the page limitations of the Narrative.]; and
    (k) Single points of contact comments, if applicable.
    Applications must be uniform in composition since OCS may find it 
necessary to duplicate them for review purposes. Therefore, 
applications must be submitted on white 8\1/2\ x 11 inch paper only. 
They must not include colored, oversized or folded materials. Do not 
include organizational brochures or other promotional materials, 
slides, films, clips, etc. in the proposal. They will be discarded if 
included. The applications should be two-hole punched at the top center 
and fastened separately with a compressor slide paper fastener, or a 
binder clip. The submission of bound plans, or plans enclosed in 
binders is specifically discouraged.

B. Acknowledgment of Receipt

    Acknowledgment of Receipt--All applicants will receive an 
acknowledgment with an assigned identification number. Applicants are 
requested to supply a self-addressed mailing label with their 
Application, or a FAX number or e-mail address which can be used for 
acknowledgment. The assigned identification number, along with any 
other identifying codes, must be referenced in all subsequent 
communications concerning the Application. If an acknowledgment is

[[Page 69841]]

not received within three weeks after the deadline date, please notify 
ACF by telephone at (202) 205-5082.

Part VII. Post Award Information and Reporting Requirements.

A. Notification of Grant Award.

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

B. Attendance at Evaluation Workshops

    OCS hopes to sponsor one or more national evaluation workshops in 
Washington, DC or in other locations during the course of the five-year 
project. Project Directors will be expected to attend such workshops 
provided additional funds can be made available by OCS for expenses of 
attending.

C. Reporting Requirements

    Grantees will be required to submit a semi-annual program progress 
and financial report (SF 269) covering the six months after grant 
award, and similar reports after conclusion of the first Project Year. 
Such reports will be due 60 days after the reporting period. Thereafter 
grantees will be required to submit annual program progress and 
financial reports (SF 269), as well as a final program progress and 
financial report within 90 days of the expiration of the grant.

D. Audit Requirements

    Grantees are subject to the audit requirements in 45 CFR part 74 
(non-profit organizations) or part 92 (governmental entities) which 
require audits under OMB Circular A-133.

E. Prohibitions and Requirements With Regard to Lobbying

    Section 319 of Public Law 101-121, signed into law on October 23, 
1989, imposes prohibitions and requirements for disclosure and 
certification related to lobbying on recipients of Federal contracts, 
grants, cooperative agreements, and loans. It provides limited 
exemptions for Indian tribes and tribal organizations. Current and 
prospective recipients (and their subtier contractors and/or grantees) 
are prohibited from using appropriated funds for lobbying Congress or 
any Federal agency in connection with the award of a contract, grant, 
cooperative agreement or loan. In addition, for each award action in 
excess of $100,000 (or $150,000 for loans) the law requires recipients 
and their subtier contractors and/or subgrantees (1) to certify that 
they have neither used nor will use any appropriated funds for payment 
to lobbyists, (2) to submit a declaration setting forth whether 
payments to lobbyists have been or will be made out of non-appropriated 
funds and, if so, the name, address, payment details, and purpose of 
any agreements with such lobbyists whom recipients or their subtier 
contractors or subgrantees will pay with the non-appropriated funds and 
(3) to file quarterly up-dates about the use of lobbyists if an event 
occurs that materially affects the accuracy of the information 
submitted by way of declaration and certification.
    The law establishes civil penalties for noncompliance and is 
effective with respect to contracts, grants, cooperative agreements and 
loans entered into or made on or after December 23, 1989. See 
Attachment H, for certification and disclosure forms to be submitted 
with the applications for this program.

F. Applicable Federal Regulations

    Attachment K indicates the regulations which apply to all 
applicants/grantees under the Assets for Independence Demonstration 
Program.

    Dated: November 23, 1999.
Donald Sykes,
Director, Office of Community Services.

Assets for Independence Demonstration Program

List of Attachments

Attachment A--Application for Federal Assistance
Attachment B--Budget Information--Non-Construction Programs
Attachment C--Assurances--Non-Construction Programs
Attachment D--Certification Regarding Lobbying
Attachment E--Disclosure of Lobbying Activities
Attachment F--Certification Regarding Maintenance Effort
Attachment G--Certification Regarding Drug-Free Workplace 
Requirements
Attachment H--Certification Regarding Environmental Tobacco Smoke
Attachment I--Certification Regarding Debarment, Suspension and 
Other Responsibility Matters
Attachment J--E.O. 12372 State Single Point of Contact List
Attachment K--DHHS Regulations Applying to All Applicants/Grantees 
Under The Assets for Independence Demonstration Program (IDA 
Program)
Attachment L--Accounting Regulations

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[[Page 69842]]

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BILLING CODE 4184-01-C

[[Page 69843]]

Attachment A.--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 No. and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) and 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 disallowance, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (certain Federal agencies may require that 
this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 69844]]

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[[Page 69845]]

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BILLING CODE 4184-01-C

[[Page 69846]]

Attachment B.--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-??4), 
Washington, DC ??503.
    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 programs. 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 requiring a 
functional or activity breakdown enter on Line 1 under Column (a) 
the Catalog program title and the Catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
Catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the Catalog program title on each line 
in Column (a) and the respective Catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for teach program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

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

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in Columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B. Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Line 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 of Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5. Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimate 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 of 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 C.--Assurances--Non-construction Programs

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the

[[Page 69847]]

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 (0348-0040), 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:
    1. Has the legal authority to apply for Federal assistance and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States and, if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the 19 statutes or 
regulations specified in Appendix A of OPM's Standards for a Merit 
System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the AGe Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. Secs. 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. Secs. 3601 et seq.), as amended, relating to 
nondiscrimination in the sale, rental or financing of housing; (i) 
any other nondiscrimination provisions in the specific statute(s) 
under which application for Federal assistance is being made; and 
(j) the requirements of any other nondiscrimination statute(s) which 
may apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with provisions of the Hatch Act 
(5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political 
activities of employees whose principal employment activities are 
funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 265c and 18 U.S.C. Sec. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally-assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institation 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 (Clean Air) Implementation Plans under Section 
176(c) of the Clean 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. Sec. 470), EO 11593 (identification and 
protection of historic properties), and the Archaeological and 
Historic Preservation Act of 1974 (16 U.S.C. Secs. 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. Secs. 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 Amendments 
of 1996 and OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations.''
    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
----------------------------------------------------------------------
Applicant organization
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Date submitted

Attachment D.--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,

[[Page 69848]]

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
BILLING CODE 4184-01-P

[[Page 69849]]

[GRAPHIC] [TIFF OMITTED] TN14DE99.003


BILLING CODE 4184-01-C

[[Page 69850]]

Attachment E.--Instructions for Completion of SF-LLL, Disclosure of 
Lobbying Activities

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, at the initiation or 
receipt of a covered Federal action, or a material change to a 
previous filing, pursuant to tile 31 U.S.C. section 1352. The filing 
of a form is required for each payment or agreement to make payment 
to any lobbying entity 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 a covered Federal action. Complete all items that 
apply for both the initial filing and material change report. Refer 
to the implementing guidance published by the Office of Management 
and Budget for additional information.
    1. Identify the type of covered Federal action for which 
lobbying activity is and/or has been secured to influence the 
outcome of a covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If 
this is a followup report caused by a material change to the 
information previously reported, enter the year and quarter in which 
the change occurred. Enter the date of the last previously submitted 
report by this reporting entity for this covered Federal action.
    4. Enter the full name, address, city, State and zip code of the 
reporting entity, include Congressional District, if known. Check 
the appropriate classification of the reporting entity that 
designates if it is, or expects to be, a prime or subaward 
recipient. Identify the tier of the subawardee, e.g., the first 
subawardee of the prime is the 1st entire. Subawards include but are 
not limited to subcontracts, subgrants and contract awards under 
grants.
    5. If the organization filing the report in item 4 checks 
``Subawardee,'' then enter the full name, address, city, State and 
zip code of the prime Federal recipient. Include Congressional 
District, if known.
    6. Enter the name of the Federal agency making the award or loan 
commitment. Include at least one organizational level below agency 
name, if known. For example, Department of Transportation, United 
States Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative 
agreements, loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number 
available for the Federal action identified in item 1 (e.g., Request 
for Proposal (RFP) number; invitation for Bid (IFB) number; grant 
announcement number; the contract, grant, or loan award number; the 
application/proposal control number assigned by the Federal agency). 
Include prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been an award or 
loan commitment by the Federal agency, enter the Federal amount of 
the award/loan commitment for the prime entity identified in item 4 
or 5.
    10. (a) Enter the full name, address, city, State and zip code 
of the lobbying registrant under the Lobbying Disclosure Act of 1995 
engaged by the reporting entity identified in item 4 to influence 
the covered Federal action.
    (b) Enter the full names of the individual(s) performing 
services, and include full address if different from 10(a). Enter 
Last Name, First Name, and Middle Initial (MI).
    11. The certifying official shall sign and date the form, print 
his/her name, title, and telephone number.
    According to the Paperwork Reduction Act, as amended, no persons 
are required to respond to a collection of information unless it 
displays a valid OMB Control Number. The valid OMB control number 
for this information collection is OMB No. 0348-0046. Public 
reporting burden for this collection of information is estimated to 
average 10 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 (0348-0046), 
Washington, DC 20503.

Attachment F.--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 ____________ Program 
by ____________ (Applicant Organization), 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 G.--Certification Regarding Drug-Free Workplace Requirements

    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) and (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.
    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 highway 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 Schedules 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 substance;
    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;

[[Page 69851]]

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 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 H.--Certification Regarding Environmental Tobacco Smoke

    Public Law 103227, Part C Environmental Tobacco Smoke, also 
known as the Pro Children Act of 1994, 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 $1,000 per day and/
or the imposition of an administrative compliance order on the 
responsible entity. By signing and submitting this application the 
applicant/grantee certifies that it will comply with the 
requirements of the Act.
    The applicant/grantee further agrees that it will require the 
language of this certification be included in any subawards which 
contain provisions for the children's services and that all 
subgrantees shall certify accordingly.

Attachment I.--Certification Regarding Debarment, Suspension and Other 
Responsibility Matters

Certification Regarding Debarment, Suspension and Other 
Responsibility Matters--Primary Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the

[[Page 69852]]

certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency may 
terminate this transaction for cause or default.

Certification Regarding Debarment, Suspension, and Other 
Responsibility Matters--Primary Covered Transactions

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) Where the prospective primary participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

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, debarred, 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 and 
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.

Attachment J.--State Single Point of Contact Listing Maintained by OMB

    In accordance with Executive Order #12372, ``Intergovernmental 
Review of Federal Programs,'' Section 4, ``the Office of Management 
and Budget (OMB) shall maintain a list of official State entities 
designated by the States to review and coordinate proposed Federal 
financial assistance and direct Federal development.'' This attached 
listing is the OFFICIAL OMB LISTING. This listing is also published 
in the Catalogue of Federal Domestic Assistance biannually.

August 23, 1999, OMB State Single Point of Contact Listing*

Arizona

Joni Saad
Arizona State Clearinghouse
3800 N. Central Avenue
Fourteenth Floor
Phoenix, Arizona 85012
Telephone: (602) 280-1315
FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland
Manager, State Clearinghouse
Office of Intergovernmental Services
Department of Finance and Administration
515 W. 7th St., Room 412
Little Rock, Arkansas 72203
Telephone: (501) 682-1074
FAX: (501) 682-5206

California

Grants Coordination
State Clearinghouse
Office of Planning and Research
1400 Tenth Street, Room 121
Sacramento, California 95814
Telephone: (916) 445-0613
FAX: (916) 323-3018

Delaware

Francine Booth

[[Page 69853]]

State Single Point of Contact
Executive Department
Office of the Budget
540 S. Dupont Highway
Suite 5
Dover, Delaware 19901
Telephone: (302) 739-3326
FAX: (302) 739-5661

District of Columbia

Charles Nichols
State Single Point of Contact
Office of Grants Mgmt. and Dev.
717 14th Street, N.W., Suite 1200
Washington, D.C. 20005
Telephone: (202) 727-1700 (direct)
FAX: (202) 727-1617

Florida

Florida State Clearinghouse
Department of Community Affairs
2555 Shumard Oak Blvd.
Tallahassee, Florida 32399-2100
Telephone: (850) 922-5438
FAX: (850) 414-0479
Contact: Cherie Trainor (850) 414-5495

Georgia

Deborah Stephens
Coordinator
Georgia State Clearinghouse
270 Washington Street, S.W., 8th Floor
Atlanta, Georgia 30334
Telephone: (404) 656-3855
FAX: (404) 656-7901

Illinois

Virginia Bova, State Single Point of Contact
Illinois Department of Commerce and Community Affairs
James R. Thompson Center
100 West Randolph, Suite 3-400
Chicago, Illinois 60601
Telephone: (312) 814-6028
FAX: (312) 814-1800

Indiana

Renee Miller
State Budget Agency
212 State House
Indianapolis, Indiana 46204-2796
Telephone: (317) 232-2971 (directline)
FAX: (317) 233-3323

Iowa

Steven R. McCann
Division for Community Assistance
Iowa Department of Economic Development
200 East Grand Avenue
Des Moines, Iowa 50309
Telephone: (515) 242-4719
FAX: (515) 242-4809

Kentucky

Kevin J. Goldsmith, Director
Sandra Brewer, Executive Secretary
Intergovernmental Affairs
Office of the Governor
700 Capitol Avenue
Frankfort, Kentucky 40601
Telephone: (502) 564-2611
FAX: (502) 564-0437

Maine

Joyce Benson
State Planning Office
184 State Street
38 State House Station
Augusta, Maine 04333
Telephone: (207) 287-3261
FAX: (207) 287-6489

Maryland

Linda Janey
Manager, Plan and Project Review
Maryland Office of Planning
301 W. Preston Street, Room 1104
Baltimore, Maryland 21201-2365
Staff Contact: Linda Janey
Telephone: (410) 767-4490
FAX: (410) 767-4480

Michigan

Richard Pfaff
Southeast Michigan Council of Governments
660 Plaza Drive, Suite 1900
Detroit, Michigan 48226
Telephone: (313) 961-4266
FAX: (313) 961-4869

Mississippi

Cathy Mallette
Clearinghouse Officer
Department of Finance and Administration
550 High Street
303 Walters Sillers Building
Jackson, Mississippi 39201-3087
FAX: (601) 359-6758

Missouri

Lois Pohl
Federal Assistance Clearinghouse
Office of Administration
P.O. Box 809
Jefferson Building, 9th Floor
Jefferson City, Missouri 65102
Telephone: (314) 751-4834
FAX: (314) 751-7819

Nevada

Department of Administration
State Clearinghouse
209 E. Musser Street, Room 220
Carson City, Nevada 89710
Telephone: (702) 687-4065
FAX: (702) 687-3983
Contact: Heather Elliot
(702) 687-6367

New Hampshire

Jeffrey H. Taylor
Director, New Hampshire Office of State Planning
Attn: Intergovernmental Review Process
Mike Blake
2\1/2\ Beacon Street
Concord, New Hampshire 03301
Telephone: (603) 271-2155
FAX: (603) 271-1728

New Mexico

Nick Mandell
Local Government Division
Room 201 Bataan Memorial
Santa Fe, New Mexico 87503
Telephone: (505) 827-3640
FAX: (505) 827-4984

New York

New York State Clearinghouse
Division of the Budget
State Capitol
Albany, New York 12224
Telephone: (518) 474-1605
FAX: (518) 486-5617

North Carolina

Jeanette Furney
North Carolina Department of Administration
116 West Jones Street--Suite 5106
Raleigh, North Carolina 27603-8003
Telephone: (919) 733-7232
FAX: (919) 733-9571

North Dakota

North Dakota Single Point of Contact
Office of Intergovernmental Assistance
600 East Boulevard Avenue
Bismarck, North Dakota 58505-0170
Telephone: (701) 224-2094
FAX: (701) 224-2308

Rhode Island

Kevin Nelson
Review Coordinator
Department of Administration
Division of Planning
One Capitol Hill, 4th Floor
Providence, Rhode Island 02908-5870
Telephone: (401) 277-2656
FAX: (401) 277-2083

South Carolina

Omeagia Burgess
State Single Point of Contact
Budget and Control Board
Office of State Budget
1122 Ladies Street--12th Floor
Columbia, South Carolina 29201
Telephone: (803) 734-0494
FAX: (803) 734-0645

Texas

Tom Adams
Governor Office
Director, Intergovernmental Coordination
P.O. Box 12428
Austin, Texas 78711
Telephone: (512) 463-1771
FAX: (512) 936-2681

Utah

Carolyn Wright
Utah State Clearinghouse
Office of Planning and Budget
Room 116 State Capitol
Salt Lake City, Utah 94114
Telephone: (801) 538-1027
FAX: (801) 538-1547

West Virginia

Fred Cutlip, Director
Community Development Division
W. Virginia Development Office
Building #6, Room 553
Charleston, West Virginia 25305
Telephone: (304) 558-4010
FAX: (304) 558-3248

Wisconsin

Jeff Smith
Section Chief, Federal/State Relations
Wisconsin Department of Administration
101 East Wilson Street--6th Floor
P.O. Box 7868
Madison, Wisconsin 53707
Telephone: (608) 266-0267
FAX: (608) 267-6931

Wyoming

Sandy Ross
State Single Point of Contact
Department of Administration and Information
2001 Capitol Avenue, Room 214
Cheyenne, WY 82002
Telephone: (307) 777-5492

[[Page 69854]]

FAX: (307) 777-3696

Territories

Guam

Joseph Rivera
Acting Director
Bureau of Budget and Management Research
Office of the Governor
P.O. Box 2950
Agana, Guam 96932
Telephone: (671) 475-9411 or 9412
FAX: (671) 472-2825

Puerto Rico

Jose Caballero-Mercado
Chairman
Puerto Rico Planning Board
Federal Proposals Review Office
Minillas Government Center
P.O. Box 41119
San Juan, Puerto Rico 00940-1119
Telephone: (787) 727-4444
(787) 723-6190
FAX: (787) 724-3270

Northern Mariana Islands

Mr. Alvaro A. Santo, Executive Officer
Office of Management and Budget
Office of the Governor
Saipan, MP 96950
Telephone: (670) 664-2256
FAX: (670) 664-2272
Contact person: Ms. Jacoba T. Seman
Federal Programs Coordinator
Telephone: (670) 664-2289
FAX: (670) 664-2272

Virgin Islands

Nellon Bowry
Director, Office of Management and Budget
#41 Norregade Emancipation Garden
Station, Second Floor
Saint Thomas, Virgin Islands 00802

    Please direct all questions and correspondence about 
intergovernmental review to: Linda Clark, Telephone: (809) 774-0750, 
FAX: (809) 776-0069.
    If you would like a copy of this list faxed to your office, 
please call our publications office at: (202) 395-9068.
    *In accordance with Executive Order #12372, ``Intergovernmental 
Review of Federal Programs'' this listing represents the designated 
State Single Points of Contact. The jurisdictions not listed no 
longer participate in the process BUT GRANT APPLICANTS ARE STILL 
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY, 
COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.'' 
STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama, 
Alaska; American Samoa; Colorado; Connecticut; Hawaii; Idaho; 
Kansas; Louisiana; Massachusetts; Minnesota; Montana; Nebraska; New 
Jersey; Ohio; Oklahoma; Oregon; Palau; Pennsylvania; South Dakota; 
Tennessee; Vermont; Virginia; and Washington. This list is based on 
the most current information provided by the States. Information on 
any changes or apparent errors should be provided to the Office of 
Management and Budget and the State in question. Changes to the list 
will only be made upon formal notification by the State. Also, this 
listing is published biannually in the Catalogue of Federal Domestic 
Assistance.

Attachment K.--DHHS Regulations Apply to All Applicants/Grantees Under 
the Assets for Independence Demonstration Program (IDA Program)

    Title 45 of the Code of Federal Regulations:

Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants with subgrants to 
entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial 
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal 
Assistance through the Department of Health and Human Services 
Effectuation of Title VIp of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this 
Title
Part 83--Regulation for the Administration and Enforcement of 
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and 
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap 
in Programs or Activities Conducted by the Department of Health and 
Human Services
Part 86--Non-discrimination on the Basis of Sex in Education 
Programs and Activities Receiving or Benefiting from Federal 
Financial Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human 
Services Programs or Activities Receiving Federal Financial 
Assistance
Part 92--Uniform Administrative Requirements for Grants and 
Cooperative Agreements to States and Local Governments (Federal 
Register, March 11, 1988)
Part 93--New Restrictions on Lobbying Part 100--Intergovernmental 
Review of Department of Health and Human Services Programs and 
Activities

Attachment L.--Accounting Regulations

    The Program Announcement states in Part II Sections G(1) and M 
that the Accounting Regulations for maintenance of the Reserve Fund 
to which partnering financial Institutions must adhere could be 
found in this Attachment L.
    As this Program Announcement went to press the subject 
Accounting Regulations were still in clearance. Consequently, they 
are not available for inclusion at this time: and instead, copies of 
the Regulations, which basically conform to CFR part 74, will be 
made available to grantees at the time of grant award.

[FR Doc. 99-31321 Filed 12-13-99; 8:45 am]
BILLING CODE 4184-01-P