[Federal Register Volume 65, Number 119 (Tuesday, June 20, 2000)]
[Notices]
[Pages 38336-38368]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-15061]



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Part III





Department of Health and Human Services





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Administration for Children and Families



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Request for Applications for the Office of Community Services' Fiscal 
Years 2000 (Supplementary) and 2001 Discretionary Grants Programs; 
Notice

  Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS-2001-01]


Request for Applications for the Office of Community Services' 
Fiscal Years 2000 (Supplementary) and 2001 Discretionary Grants 
Programs

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

ACTION: Request for applications for the Office of Community Services' 
Discretionary Awards.

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SUMMARY: The Administration for Children and Families (ACF), Office of 
Community Services (OCS), announces that competing applications will be 
accepted for new grants pursuant to the Secretary's discretionary 
authority under sections 680(a) of the Community Services Block Grant 
Act of 1981, as amended. Included in the Program Announcement are 
programs to be funded with FY 2001 discretionary funds (Urban and Rural 
Community Economic Development and Rural Community Facilities 
Development). Also included are programs to be funded with unobligated 
FY 2000 discretionary funds.
    Since FY 2000 funds must be obligated by September 30, 2000 and FY 
2001 funds (if appropriated) by September 30, 2001, this Program 
Announcement includes separate closing dates for applications for each 
fiscal year's funds.
    Closing Date: The closing date for submission of applications for 
Fiscal Year 2000 funds (Sub-Priority Area 1.1A, 1.1B, and 1.3A, and 
2.1A) is August 4, 2000. The closing date for submission of 
applications for Fiscal Year 2001 funds (Sub-Priority Areas 1.1, 1.2, 
1.3, 1.4, 1.5, 1.6, and 2.1) is October 20, 2000. Mailed applications 
postmarked after the appropriate closing date will be classified as 
late.

Application Submission:

    Mailing Address: Discretionary applications must be mailed to the 
U.S. Department of Health and Human Services, Administration for 
Children and Families, Office of Grants Management/OCSE, 4th Floor 
West, Aerospace Center, 370 L'Enfant Promenade, S.W., Washington, D.C. 
20447; Attention: Discretionary Grants Program.
    Submission Instructions: Mailed applications shall be considered as 
meeting an announced deadline if they are either received on or before 
the closing date or postmarked on or before the closing date and 
received by ACF in time for the independent review.
    Applications mailed must bear a legibly dated U.S. Postal Service 
postmark or a legibly dated, machine produced postmark of a commercial 
mail service affixed to the envelope/package containing the 
application(s). To be deemed acceptable as proof of timely mailing, a 
postmark from a commercial mail service must include the logo/emblem of 
the commercial mail service company and must reflect the date the 
package was received by the commercial mail service company from the 
applicant. Private metered postmarks shall not be acceptable as proof 
of timely mailing. (Applicants are cautioned that express/overnight 
mail services do not always deliver as agreed.)
    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 closing 
date, between the hours of 8 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/OCSE, ACF Mailroom, 2nd Floor 
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: Discretionary Grants Program. (Applicants are 
again cautioned that express/overnight mail services do not always 
deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    Late applications: Applications that do not meet the criteria above 
are considered late applications. ACF shall notify each late applicant 
that its application will not be considered in the current competition.
    Extension of deadlines: ACF may extend application deadlines when 
circumstances such as acts of God (floods, hurricanes, etc.) occur, or 
when there are widespread disruptions of the mail service. 
Determinations to extend or waive deadline requirements rest with ACF's 
Chief Grants Management Officer.
    Number of Copies Required: One signed original application and four 
copies must be submitted at the time of the initial submission. (OMB-
0970-0062, which expires 10/31/2001).
    The first page of the SF-424 must contain in the lower right-hand 
corner, a designation indicating under which sub-priority area funds 
are being requested (for example UR for 1.1, URA for 1.1A, URNA for 
1.1B, HB for 1.2, PD for 1.3, HPD for 1.3A, DD for 1.4, AM for 1.5, UT 
for 1.6, RF for 2.1, or RFA for 2.1A. See Part G, section 1, item 11 
for details. (See Part C for a description of each of the sub-priority 
areas.)
    For general questions on the announcement, Contact:

Kaaren Turner--(202) 260-5683
David Matthews--(202) 401-5271
Walter Thaxton--(202) 401-5269
Bobby Malone--(202) 401-5270
Calvin Brockington--(202) 401-5273
Debra Brown--(202) 401-3446
Thelma Woodland--(202) 401-5294
Ruth Walston--(202) 401-9340

    For a copy of the announcement, Contact: Administration for 
Children and Families, Office of Community Services, 370 L'Enfant 
Promenade, SW., 5TH Floor West, Washington, DC 20447, (202) 401-9345, 
(202) 401-9354, (202) 401-4687 (fax).
    In addition, the announcement is accessible on the OCS web site for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm
    The Catalog of Federal Domestic Assistance number for this program 
is 93.570. The title is Community Services Block Grant--Discretionary 
Awards.

Table of Contents

Part A--Preamble

1. Legislative Authority
2. Departmental Goals
3. Definitions of Terms

Part B--Application Prerequisites

1. Eligible Applicants
2. Availability of Funds
3. Project and Budget Periods
4. Mobilization of Resources
5. Program Beneficiaries
6. Number of Projects in Application
7. Multiple Submittals
8. Subawarding Projects
9. Third Party Agreements
10. Funding Considerations
11. Prohibited Activities

Part C--Program Priority Areas

Part D--Criteria for Review and Evaluation of All Applications

1. Criteria for Review and Evaluation of All Applications Submitted 
Under Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4

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2. Criteria for Review and Evaluation of Applications Submitted 
Under Sub-Priority Areas 1.3 and 1.3A
3. Criteria for Review and Evaluation of Applications Submitted 
Under Sub-Priority Area 1.5
4. Criteria for Review and Evaluation of Applications Submitted 
Under Sub-Priority Area 1.6
5. Criteria for Review and Evaluation of All Applications Under Sub-
Priority Areas 2.1 and 2.1A

Part E--Application Procedures

1. Availability of Forms
2. Intergovernmental Review
3. Application Consideration
4. Criteria for Screening Applications

Part F--Contents of Application and Receipt Process

1. Contents of Application
2. Acknowledgment of Receipt

Part G--Instructions for Completing Application Package

1. SF-424 Application for Federal Assistance
2. SF-424A Budget Information--Non-Construction Programs

Part H--Post Award Information and Reporting Requirements

1. Notification of Grant Award
2. Attendance at OCS Training Conference
3. Reporting Requirements
4. Audit Requirements
5. Lobbying
6. Applicable Federal Regulations

Attachments

A--2000 Poverty Income Guidelines
B--Standard Form 424, Application for Federal Assistance
C--Standard Form 424A, Budget Information--Non-Construction Programs
D--Standard Form 424B, Assurances--Non-Construction Programs
E--Certification Regarding Drug-Free Workplace Requirements
F--Certification Regarding Debarment, Suspension and Other 
Responsibility Matters
G--State Single Point of Contact List
H--Certification Regarding Lobbying; Disclosure of Lobbying 
Activities, SF-LLL
I--DHHS Regulations Applying to All Applicants/Grantees Under the 
Fiscal Year 2000 (Supplementary) and Fiscal Year 2001 Discretionary 
Grants Programs
J--Certification Regarding Environmental Tobacco Smoke
K--Guidelines for a Business Plan
L--Table of Standard Industrial Codes and Occupational 
Classifications
M--Applicant's Checklist

Part A--Preamble

1. Legislative Authority

    The Community Services Block Grant Act of 1981, as amended, 
(Section 680 of the Community Opportunities, Accountability, and 
Training and Educational Services (COATS) Act of 1998, authorizes the 
Secretary to make grants to provide technical and financial assistance 
for economic development activities designed to address the economic 
needs of low-income individuals and families, conduct rural community 
development activities and conduct neighborhood innovation projects.

2. Departmental Goals

    This announcement is particularly relevant to the Departmental goal 
of strengthening the American family and promoting self-sufficiency. 
These programs have objectives of increasing the access of low-income 
people to employment and business development opportunities, and 
improving the integration, coordination, and continuity of the various 
HHS (and other Federal Departments') funded services potentially 
available to families living in poverty.

3. Definitions of Terms

    For purposes of this Program Announcement, the following 
definitions apply:

--Budget period: The interval of time into which a grant period of 
assistance is divided for budgetary and funding purposes.
--Building deconstruction: The systematic disassembly of residential 
and commercial buildings.
--Cash contributions: The cash outlay that includes the money 
contributed to the project or program by the recipient and third 
parties.
--Community development corporation (CDC): A private, non-profit 
corporation, governed by a board of directors consisting of residents 
of the community and business and civic leaders, that has as a 
principal purpose planning, developing, or managing low-income housing 
or community development projects.
--Community economic development (CED): A process by which a community 
uses resources to attract capital and increase physical, commercial, 
and business development and job opportunities for its residents.
--Construction projects: For the purpose of this announcement, 
construction projects involve land improvements and development or 
major renovation of (new or existing) facilities and buildings, 
including their improvements, fixtures and permanent attachments.
--Displaced worker: An individual who is in the labor market but has 
been unemployed for six months or longer.
--Distressed community: A geographic urban neighborhood or rural 
community of high unemployment and pervasive poverty.
--Eligible applicant: (See appropriate Program Priority Area under Part 
C.)
--Employment education and training program: A program that provides 
education and/or training to welfare recipients, at-risk youth, public 
housing tenants, displaced workers, homeless and low-income individuals 
and that has demonstrated organizational experience in education and 
training for these populations.
--Empowerment Zones and Enterprise Communities (EZ/EC): Those 
communities designated as such by the Secretary of Agriculture or 
Housing and Urban Development.
--Equity investment: The provision of capital to a business entity for 
some specified purpose in return for a portion of ownership using a 
third party agreement as the contractual instrument.
--Indian tribe: A tribe, band, or other organized group of Indians 
recognized in the State in which it resides or which is considered by 
the Secretary of the Interior to be an Indian tribe or an Indian 
organization for any purpose. For the purpose of Priority Area 1.0 
(Urban and Rural Community Economic Development), an Indian tribe or 
Indian organization is ineligible unless the applicant organization is 
a private non-profit community economic development corporation.
--Job creation: New jobs, i.e. jobs not in existence prior to the start 
of the project, that result from new business startups, business 
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
--Job placement: Placing a person in an existing vacant job of a 
business, service, or commercial activity not related to new 
development or expansion activity.
--Letter of commitment: A signed letter or agreement from a third party 
to the applicant that pledges financial or other support for the grant 
activities only subject to receiving an award of OCS grant funds.
--Loan: Money lent to a borrower under a binding pledge for a given 
purpose to be repaid, usually at a stated rate of interest and within a 
specified period of time.
--Poverty Income Guidelines: Guidelines published annually by the U.S. 
Department of Health and Human Services that establish the level of 
poverty defined as low-income for individuals and their families.

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--Program income: Gross income earned by the grant recipient that is 
directly generated by an activity supported with grant funds.
--Project period: The total time for which a project is approved for 
OCS support, including any approved extensions.
--Revolving loan fund: A capital fund established to make loans whereby 
repayments are re-lent to other borrowers.
--Self-employment: The state of an individual or individuals who engage 
in self-directed economic activities.
--Self-sufficiency: The economic state not requiring public assistance 
for an individual and his (her) immediate family.
--Subaward: An award of financial assistance in the form of money, or 
property in lieu of money, made under an award by a recipient to an 
eligible sub-recipient or by a sub-recipient to a lower tier sub-
recipient. The term includes financial assistance when provided by any 
legal agreement, even if the agreement is called a contract, but does 
not include procurement of goods and services nor does it include any 
form of assistance which is excluded from the definition of ``award'' 
in 45 CFR 74.2.

    Note: Subawards do not include equity investments or loan 
transactions since they are promulgated under third party 
agreements.

--Technical assistance: A problem-solving event generally utilizing the 
services of an expert. Such services may be provided on-site, by 
telephone, or by other communications. These services address specific 
problems and are intended to assist with the immediate resolution of a 
given problem or set of problems.
--Temporary Assistance to Needy Families (TANF): Title I of the 
Personal Responsibility and Work Opportunity Reconciliation Act of 1996 
(P.L. 104-193) creates the TANF program that transforms welfare into a 
system that requires work in exchange for time-limited assistance. The 
law specifically eliminates any individual entitlement to or guarantee 
of assistance, repeals the Aid to Families with Dependent Children 
(AFDC) program, Emergency Assistance (EA) and Job Opportunities and 
Basic Skills Training (JOBS) programs, and replaces them with a block 
grant entitlement to States under Title IV-A of the Social Security 
Act.
--Third party: Any individual, organization, or business entity that is 
not the direct recipient of grant funds.
--Third party agreement: A written agreement entered into by the 
grantee and an organization, individual or business entity (including a 
wholly-owned subsidiary), by which the grantee makes an equity 
investment or a loan in support of grant purposes.
--Third party in-kind contributions: The value of non-cash 
contributions provided by non-federal third parties which may be in the 
form of real property, equipment, supplies and other expendable 
property, and the value of goods and services directly benefiting and 
specifically identifiable to the project or program.

Part B--Application Prerequistes

1. Eligible Applicants

    Priority areas included in this Program Announcement have differing 
eligibility requirements. Therefore, eligible applicants are identified 
in the narrative descriptions of each sub-priority area found in Part 
C. Applicant must submit proof of 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 tax code. Applications that do not 
include proof of this status will be disqualified.

2. Availability of Funds

Appropriation Amounts

    Approximately $3,900,000 in funds appropriated for FY 2000 is 
available.
    Approximately $26,560,000 is expected to be available for FY 2001. 
However, all grant awards for FY 2001 are subject to the availability 
of appropriated funds.
    The grant funding levels or ranges and the approximate number of 
grants to be made under each sub-priority area are indicated in the 
narrative description of each area in Part C.

3. Project and Budget Periods

    For Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4, applicants 
with projects involving construction only may request a project period 
of up to 60 months and a budget period of up to 36 months. Applicants 
for non-construction projects under these priority areas may request 
project periods of up to 36 months and budget periods of up to 17 
months. Applicants for Sub-Priority Areas 1.5 and 1.6 may request 
project and budget periods of up to 17 months. For Sub-Priority Areas 
1.3 and 1.3A, applicants may request project and budget periods of up 
to 12 months.
    For Sub-Priority Areas 2.1 and 2.1A, grantees will be funded for 24 
month project periods and 12 month budget periods.

4. Mobilization of Resources

    OCS encourages and strongly supports leveraging of resources 
through public/private partnerships that can mobilize cash and/or 
third-party in-kind contributions.

5. Program Beneficiaries

    Projects proposed for funding under this announcement must result 
in direct benefits to low-income people as defined in the most recent 
annual revision of the Poverty Income Guidelines published by DHHS.
    Attachment A to this announcement is an excerpt from the Poverty 
Income Guidelines currently in effect. Annual revisions of these 
guidelines are normally published in the Federal Register in February 
or early March of each year. Grantees will be required to apply the 
most recent guidelines throughout the project period. These revised 
guidelines may be obtained at public libraries, Congressional offices, 
or by writing the Superintendent of Documents, U.S. Government Printing 
Office (GPO), Washington, D.C. 20402. Also, see staff members listed 
under ``For General Questions On the Announcement, Contact'' at the 
beginning of this announcement.
    No other government agency or privately-defined poverty guidelines 
are applicable for the determination of low-income eligibility for 
these OCS programs.
    Note, however, that low-income individuals granted lawful temporary 
resident status under Sections 245A or 210A of the Immigration and 
Nationality Act, as amended by the Immigration Reform and Control Act 
of 1986 (Public law 99-603), may not be eligible for direct or indirect 
assistance based on financial need under this program for a period of 
five years from the date such status was granted.

6. Number of Projects in Application

    All Priority Area 1.0 applications may contain only one project 
except for Sub-Priority Areas 1.3, 1.3A, 1.5, and 1.6. Applications 
that are not in compliance with this requirement may be disqualified.

7. Multiple Submittals

    There is no limit to the number of applications that can be 
submitted under a specific program priority area as long as each 
application contains a proposal for a different project. However, an 
applicant can receive only

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one grant in each priority area. Also, applicants who receive more than 
one grant for a common budget/project period must be mindful that 
salaries and wages claimed for the same persons cannot collectively 
exceed 100% of total annual salary.

8. Subawarding Projects

    OCS does not fund projects where the role of the applicant is 
primarily to serve as a conduit for funds through the use of subawards 
to other organizations. In cases where the applicant proposes to make 
one or more subawards, it must retain a substantive role in the 
implementation and operation of the project for which funding is 
requested.

9. Third Party Agreements

    Any applicant submitting a proposal for funding under Sub-Priority 
Areas 1.1, 1.1A, 1.1B, 1.2, or 1.4 who proposes to use some or all of 
the requested OCS funds to enter into a third party agreement in order 
to make an equity investment (such as the purchase of stock) or a loan 
to an organization or business entity (including a wholly-owned 
subsidiary), must include in the application, along with the business 
plan, a copy of the signed third party agreement for approval by OCS. 
(See last paragraph of this section in those instances where a signed 
third party agreement is not available when the application is 
submitted.)
     A third party agreement coverinig an equity investment 
must contain, at a minimum, the following:

1. The type of equity transaction (e.g. stock purchase).
2. Purpose(s) for which the equity investment is being made.
3. Cost per share.
4. Number of shares being purchased.
5. Percentage of ownership of the business.
6. Number of sets on the board, if applicable.

     A third party agreement covering a loan transaction must 
contain, at a minimum, the following information:

1. Purpose(s) for which the loan is being made.
2. Rates of interest and other fees.
3. Terms of loan.
4. Repayment schedules.
5. Collateral security.
6. Default and collection procedures.

     All third party agreements must include written 
commitments as follows:
    From the third party (as appropriate):
    1. A minimum of 75% of the jobs to be created as a result of the 
injection of grant funds will be filled by low-income individuals.
    2. The grantee will have the right to screen applicants for jobs to 
be filled by low-income individuals and to verify their eligibility.
    3. If the grantee's equity investment equals 25% or more of the 
business's assets, the grantee will have representation on the board of 
directors.
    4. Reports will be made to the grantee regarding the use of grant 
funds on a quarterly basis or more frequently, if necessary.
    5. A procedure will be developed to assure that there are no 
duplicate counts of jobs created.
    6. Detailed information will be provided on how the grant funds 
will be used by the third party by submitting a Source and Use of Funds 
Statement. In addition, the agreement must provide details on how the 
grantee will provide support and technical assistance to the third 
party in areas of recruitment and retention of low-income individuals.
    From the grantee:
    Detailed information on how the grantee will provide support and 
technical assistance to the third party in areas of recruitment and 
retention of low-income individuals.
     All third party agreements should be accompanied by:
    (1) A signed statement from a Certified or Licensed Public 
Accountant as to the sufficiency of the third party's financial 
management system in accordance with 45 CFR 74, to protect adequately 
any federal funds awarded under the application.
    (2) Financial statements for the third party organization for the 
prior three years. (If not available because the organization is a 
newly-formed entity, include a statement to this effect.)
    (3) The third party agreement will specify how the grantee will 
provide oversight of the third party for the life of the agreement. 
Also, the agreement will specify that the third party will maintain 
documentation related to the grant objectives as specified in the 
agreement and will provide the grantee and HHS access to that 
documentation.
    If a signed third party agreement is not available when the 
application is submitted, the applicant must submit as part of the 
narrative as much of the above-mentioned information as possible in 
order to enable reviewers to evaluate the proposal. It should be noted 
that that portion of a grant, which will be used to fund a third party 
agreement, will not be released until the agreement has been approved 
by OCS.

10. Funding Considerations

    In cases where an application ranks highly and is competitive, the 
following may apply:
    (1) When the applicant is proposing to enter into a third party 
agreement for all of the grant's operational funds, OCS will send a 
time-limited letter of intent to fund pending receipt of a signed third 
party agreement. Once OCS has determined that the agreement is 
acceptable, an award will be forwarded to the applicant.
    (2) Previous performance of applicants will be considered an 
important determining factor in the grant award decisions.
    (3) Any applicant that has three or more active OCS grants may only 
be funded under exceptional circumstances.
    (4) Pre-award site visits may be performed for the purpose of 
undertaking assessments of many of these applications prior to OCS 
making final determinations on grant awards.
    (5) OCS will consider applications that include revolving loan 
funds as a grant activity.

11. Prohibited Activities

    OCS will not consider applications that propose the establishment 
of Small Business Investment Corporations or Minority Enterprise Small 
Business Investment Corporations.

Part C--Program Priority Areas

    The program priority areas of the Office of Community Services' 
Discretionary Grants Program, and funds available for each sub-priority 
area, are as follows:

------------------------------------------------------------------------
           Sub-priority areas              FY 2000 funds   FY 2001 funds
------------------------------------------------------------------------
    Priority Area 1.0: Urban and Rural Community Economic Development
------------------------------------------------------------------------
1.1  Urban and Rural Community Economic   ..............     $17,000,000
 Development (Operational) (FY 2001)....
1.1A  Urban and Rural Community Economic       3,000,000  ..............
 Development (Operational) (FY 2000)....
1.1B  Urban and Rural Community Economic         300,000  ..............
 Development (Native Americans) (FY
 2000)..................................
1.2  Urban and Rural Community Economic   ..............       2,100,000
 Development (HBCU Set-Aside) (FY 2001).
1.3  Urban and Rural Community Economic   ..............         750,000
 Development (Pre-Developmental Set-
 Aside) (FY 2001).......................

[[Page 38340]]

 
1.3A  Urban and Rural Community Economic         300,000  ..............
 Development (Pre-Developmental Set-
 Aside) (FY 2000).......................
1.4  Urban and Rural Community Economic   ..............       2,500,000
 Development (Developmental Set-Aside)
 (FY 2001)..............................
1.5  Administrative and Management        ..............         500,000
 Expertise (Set-Aside) (FY 2001)........
1.6  Training and Technical Assistance    ..............         210,000
 (Set-Aside) (FY 2001)..................
------------------------------------------------------------------------
        Priority Area 2.0: Rural Community Development Activities
------------------------------------------------------------------------
2.1  Rural Community Facilities (Water    ..............       3,500,000
 and Waste Water Treatment Systems
 Development) (FY 2001).................
2.1A  Rural Community Facilities (Water          300,000
 and Waste Water Treatment Systems
 Development) (FY 2000).................
------------------------------------------------------------------------

Priority Area 1.0  Urban and Rural Community Economic Development

    Eligible applicants are private, non-profit 501(c)(3) community 
development corporations (CDCs) governed by a board consisting of 
residents of the community and business and civic leaders that has as a 
principal purpose planning, developing, or managing low-income housing 
or community development projects.
    The purpose of this priority area is to encourage the creation of 
projects intended to provide employment and business development 
opportunities for low-income people through business, physical or 
commercial development. Generally the opportunities must aim to improve 
the quality of the economic and social environment of TANF recipients; 
low-income residents including displaced workers; at-risk teenagers; 
non-custodial parents, particularly those of children receiving TANF 
assistance; individuals residing in public housing; individuals who are 
homeless; and individuals with developmental disabilities. Grant funds 
under this priority area are intended to provide resources to eligible 
applicants (CDCs) but also have the broader objectives of arresting 
tendencies toward dependency, chronic unemployment, and community 
deterioration in urban and rural areas.
    Sub-Priority Area 1.5 is intended to provide administrative and 
management expertise to current Office of Community Services' grantees 
who are experiencing problems in the implementation of urban and rural 
community economic development projects.
    Sub-Priority Area 1.6 makes funds available to provide training and 
technical assistance to groups of community development corporations in 
developing or implementing projects funded under this section; its aim 
is to generally enhance the viability and competence of community 
development corporations.
    This priority area also seeks to attract additional private capital 
into distressed communities, including empowerment zones and enterprise 
communities, and to build and/or expand the ability of local 
institutions to better serve the economic needs of local residents.
1. Urban and Rural Community Economic Development (Operational)
a. Urban and Rural Community Economic Development (Operational--FY 
2001) (Sub-Priority Area 1.1)
    Funds will be provided to a limited number of private, non-profit, 
501(c)(3) community development corporations for business development 
activities at the local level. Funding will be provided for specific 
projects and will require the submission of business plans or work 
plans, where applicable, that meet the test of economic feasibility. 
Attachment K should be used as a guideline for the business plan.
    The applicant should select a project in an industry in its region 
that promotes economic sustainability and self-sufficiency for families 
in the low-income community.
    Projects must further the Departmental goals of strengthening 
American families and promoting their self-sufficiency. OCS is 
particularly interested in receiving applications that involve public-
private partnerships that are directed toward the development of 
economic self-sufficiency in distressed communities through projects 
that focus on providing employment and business development 
opportunities for low-income people through business startups, business 
expansions, development of new services industries, and/or other newly-
undertaken physical and commercial activities.
    Applicants are encouraged to foster partnerships with child support 
enforcement agencies to increase the capability of low-income non-
custodial parents, particularly those of children receiving TANF 
assistance, to fulfill their parental responsibilities. Such applicants 
may request funds for a business development project or a project that 
demonstrates innovative ways to create jobs for low-income persons in 
the targeted group or community.
    See other applicable requirements under 1.d., below.
    Eligible organizations located in Empowerment Zones and Enterprise 
Communities are urged to submit applications.
    For Fiscal Year 2001, it is anticipated that approximately 30 
grants up to a maximum of $349,999 will be awarded and approximately 13 
grants of $350,000 but not more than $500,000 will be made. Competition 
for these funds will be restricted to either the $349,999 and under 
category or the $350,000 up to $500,000 category. Applicants will 
compete within the category in which they fall.
b. Urban and Rural Community Economic Development (Operational--FY 
2000) (Sub-Priority Area 1.1A)
    Funds will be provided to a limited number of private, non-profit, 
501(c)(3), community development corporations under this sub-priority 
area for purposes described under section 1.a (Sub-Priority Area 1.1) 
above.
    In addition, OCS is particularly interested in receiving 
applications that propose a realistic plan for development of new and 
innovative businesses that offer genuine career and entrepreneurship 
opportunities to low-income non-custodial parents as well as for 
improving the economic infrastructure and facilities of the community. 
For example:
     One business sector that an applicant could consider 
addressing is that of the construction trades and, within it, the new 
and growing sub-sector of building deconstruction and materials re-use. 
Building deconstruction offers new opportunities for career and new 
enterprises and provides an excellent training ground for employment in 
the wider construction field where there are serious and growing 
shortages of trained workers throughout the United States. It also 
offers opportunities for significant, vertically integrated enterprise 
development through materials salvage, recycling, re-use and re-
manufacturing.
     Another new business sector that might be considered is 
that of environmental justice/sustainable community development which

[[Page 38341]]

includes businesses developed to address lead abatement in low-income 
dwellings; cleanup of toxic wastes or leaking underground storage 
tanks; treatment of low-income dwellings that combine lead abatement 
with weatherization and mitigation of other hazards such as asbestos or 
radon; installation and maintenance of alternative and renewable energy 
technologies in the homes of the poor; recycling; forest or watershed 
restoration; and urban pesticide programs designed to reduce the use of 
toxic pesticides in low-income communities through integrated pest 
management and similar techniques.
     Home health care and housekeeping care for the elderly and 
infirm are businesses for which there is a serious need and which can 
create higher than minimum wage jobs for low-income workers.
    See other applicable requirements under 1.d., below.
    Eligible organizations located in Empowerment Zones and Enterprise 
Communities are urged to submit applications.
    Approximately 7 grants are anticipated to be made up to $500,000 
each under this sub-priority area.
c. Urban and Rural Community Economic Development (Operational-Native 
Americans) (Sub-Priority Area 1.1B)
    Funds will be provided to three private, non-profit, 501(c)(3), 
community development corporations that enter into agreements with 
Native American tribes to carry out business development activities, 
i.e. business startups, business expansions, development of new 
services industries, and/or other newly-undertaken physical and 
commercial activities, on reservations.
    The Native American Tribes with which the CDCs are partnering will 
also be considered for FY 2000 funds from the Department of Health and 
Human Services' Administration for Native Americans (ANA).
    The applicant should select a project that promotes economic 
sustainability and self-sufficiency for families on the Reservation 
where the project will be implemented.
    An application under this sub-priority area must reflect a 
significant partnership role for the tribe. The application also must 
contain a written, signed agreement from an authorized tribal official 
confirming the tribe's significant involvement in the grant activities 
and receipt of FY 2000 funds from ANA. By entering into a partnership 
agreement with a tribe, the applicant will be considered to have 
fulfilled the goal of mobilizing non-discretionary program dollars 
under Criterion V, Public-Private Partnerships, item (1), and will be 
granted the maximum number of points (15) in that category.
    See other applicable requirements under 1.d., below.
    Approximately three (3) grants for $100,000 each are anticipated to 
be made under this sub-priority area.
d. Additional Requirements Applicable to Sub-Priority Areas 
1.1,1.1A,1.1B,1.2, and 1.4
    Applicants must show that the proposed project:
    (1) Creates full-time permanent jobs except where an applicant 
demonstrates that a permanent part-time job produces actual wages that 
exceed the HHS poverty guidelines. Seventy-five percent (75%) of the 
jobs created must be filled by low-income residents of the community 
and also must provide for career development opportunities. Project 
emphasis should be on employment of individuals who are unemployed or 
on public assistance, with particular emphasis on those that are at-
risk teenagers, TANF recipients, low-income non-custodial parents 
(particularly those of children receiving TANF assistance), individuals 
residing in public housing, and individuals who are homeless. While 
projected employment in future years may be included in the 
application, it is essential that the focus of employment projects 
concentrates on those permanent jobs created during the duration of the 
OCS project period; and/or
    (2) Creates a significant number of business development 
opportunities for low-income residents of the community or 
significantly aids such residents in maintaining economically viable 
businesses; and
    (3) Assists low-income participants to become self-sufficient.
    In the evaluation process, favorable consideration will be given to 
applicants under this priority area that show the lowest cost-per-job 
created. Unless there are extenuating circumstances, OCS will not fund 
projects where the cost-per-job in OCS funds exceeds $15,000.
    In addition, favorable consideration in the evaluation process will 
be given to applicants who demonstrate their intention to coordinate 
services with the local TANF offices and/or other employment education 
and training offices and child support enforcement agencies that serve 
the proposed area. The offices and agencies should serve welfare 
recipients, at-risk youth, public housing tenants, displaced workers, 
homeless and low-income individuals (as defined by the annual revision 
to the Poverty Income Guidelines published by DHHS) including non-
custodial parents. Applicants should submit a written agreement from 
the applicable office or agency that indicates what actions will be 
taken to integrate/coordinate services that relate directly to the 
project for which funds are being requested. The agreement should 
include the goals and objectives (including target groups) that the 
applicant and the employment education and training offices and child 
support enforcement agencies expect to reach through their 
collaboration. It should describe the cooperative relationship, 
including specific activities and/or actions each of these entities 
proposes to carry out in support of the project, and the mechanism(s) 
to be used in coordinating those activities if the project is funded by 
OCS. Documentation that illustrates the organizational experience of 
the employment education and training offices should also be included.
    OCS encourages applications that will develop linkages or 
agreements with local agencies responsible for administering TANF 
programs and child support enforcement agreements. OCS would expect 
these programs to create new jobs for TANF recipients and low-income 
non-custodial parents, particularly those of children receiving TANF 
assistance. These initiatives can be accomplished through a variety of 
business development projects funded under this priority area, i.e., 
business expansions, new business development and self-employment 
activities, etc.
    OCS encourages each applicant to describe the project scope that 
includes the low-income community served, the business activities 
undertaken, and types of jobs to be created. The business activities 
should be described by Standard Industrial Codes (SIC) and jobs by 
occupational classifications. This information is published by the U.S. 
Department of Commerce in the Statistical Abstract of the United 
States, 1998, Tables No. 679 and 680. Also, applicant may use the 
material included in Attachment L to identify industrial areas and 
occupational classifications.
    OCS does not fund education and training programs. In projects 
where participants must be trained, any funds that are proposed to be 
used for training purposes must be limited to providing specific job-
related training to those individuals who have been selected for 
employment in the grant supported project which includes new business

[[Page 38342]]

startups, business expansions, development of new service industries, 
and/or other newly-undertaken physical and commercial activities.
    Projects involving training and placement for existing vacant 
positions will be disqualified.
    Projects that would result in the relocation of a business from one 
geographic area to another with the possible displacement of employees 
are discouraged.
    Applicants must be aware that projects funded under these sub-
priority areas must be operational by the end of the project period, 
i.e., businesses must be in place, and low-income individuals actually 
employed in those businesses.

2. Urban and Rural Community Economic Development (HBCU Set-Aside)

a. Urban and Rural Community Economic Development (HBCU Set-Aside --FY 
2001) (Sub-Priority Area 1.2)
    Funds will be provided to a limited number of private, non-profit, 
501 (c)(3) community development corporations for projects that will be 
carried out in conjunction with Historically Black Colleges and 
Universities (HBCUs), as defined in Executive Order Number 12876, dated 
Nov. 1, 1993, through contract or sub-grant. Such projects must conform 
to the purposes, requirements, and prohibitions applicable to those 
submitted under Sub-Priority Area 1.1.
    These projects should reflect a significant partnership role for 
the college or university, and the applicant in doing so will be 
considered to have fulfilled the goals of the evaluation criterion for 
Public-Private Partnerships and will be granted the maximum number of 
points in that category. Applications for these set-aside funds that 
are not funded due to the limited amount of funds available may also be 
considered competitively within the larger pool of eligible applicants 
under Sub-Priority Area 1.1. Any funds that are not used under this 
sub-priority area due to the limited number of highly scored 
applications will be rolled over into Sub-Priority Area 1.1.
    Any funds that are proposed to be used for training purposes must 
be limited to providing specific job-related training to those 
individuals who have been selected for employment in the grant 
supported project which includes new business startups, business 
expansions, development of new service industries, and/or other newly-
undertaken physical or commercial activities.
    Approximately 6 grants are anticipated to be made at $350,000 each 
under this sub-priority area.

3. Urban and Rural Community Economic Development (Pre-Developmental 
Set-Aside)

a. Urban and Rural Community Economic Development (Pre-Developmental 
Set-Aside--FY 2001) (Sub-Priority Area 1.3)
    OCS intends in this sub-priority area to provide funds to recently-
established private, non-profit, 501(c)(3), community development 
corporations that propose to undertake economic development activities 
in distressed communities.
    OCS recognizes that there are a number of newly-organized non-
profit community development corporations that have identified needs in 
their communities but have not had the staff or other resources to 
develop projects to address those needs. This lack of resources also 
might be affecting their ability to compete for funds, such as those 
provided under Sub-Priority Area 1.1 since their limited resources 
would preclude them from developing a comprehensive business plan and/
or mobilizing resources.
    OCS has an interest in providing support to these new entities in 
order to enable them to become more firmly established in their 
communities, thereby bringing technical expertise and new resources to 
previously unserved or underserved communities. Therefore, OCS is 
setting aside funds for grants to private, non-profit, 501(c)(3), 
community development corporations that have never received OCS funding 
and have been in existence for no more than three years, or have been 
in existence longer than three years but have no record of 
participation in economic development type projects. For the latter, a 
CDC must state that it has not been active. (The phrase ``no 
participation in economic development-type projects'' means an eligible 
applicant has not sponsored nor had any significant participation in 
projects that have provided employment or business development 
opportunities through business startups, business expansions, 
development of new service industries, and/or newly-undertaken physical 
or commercial activities.)
    In addition, applicants with housing experience must not have had 
primary responsibility in planning, developing, and managing housing.
    With funding received under this sub-priority area, CDCs may incur 
costs to: (1) Evaluate the feasibility of potential projects that 
address identified needs in the low-income community and that conform 
to those projects and activities allowable under Sub-Priority Areas 
1.1, 1.1A, 1.1B, 1.2, and 1.4; (2) develop a business plan related to 
one of those projects; and (3) mobilize resources to be contributed to 
one of those projects, including the utilization of HBCUs.
    Based on the availability of funds in Fiscal Year 2002, OCS will 
consider establishing a set-aside in Sub-Priority Area 1.4 to provide 
operational funds to those organizations that received pre-
developmental grants. Grants might be for a maximum of $250,000 and 
competition for those funds would be restricted to those organizations 
that received pre-developmental grants in Fiscal Years 2000 and 2001. 
The business plan developed as a result of the pre-developmental grant 
would be submitted as part of the competitive application.
    Specifically, each application for funds under this sub-priority 
area must include the following as part of the project narrative:
    1. Description of the impact area, i.e., a description of the low-
income area it proposes to address;
    2. Analysis of need in the distressed community;
    3. How the potential projects relate to applicant's organizational 
goals and previous experience (if any);
    4. Project design and implementation factors including a discussion 
of potential projects that might be implemented to address identified 
needs, a strategy for conduct of feasibility studies on potential 
projects and quarterly work plans with specific task timelines and a 
self-evaluation component; and
    5. Project objectives and measurable impact, i.e., a discussion of 
preparing a business plan on only one selected project based on results 
of the feasibility studies and plan for mobilization of non-
discretionary dollars to implement it.
    Applications that are not funded within this set-aside due to the 
limited amount of funds available may also be considered competitively 
within the larger pool of eligible applicants. Any funds that are not 
used under this sub-priority area due to the limited number of highly 
scored applications will be rolled over into another priority area.
    Approximately 10 grants are anticipated to be made at $75,000 each 
under this sub-priority area.

[[Page 38343]]

b. Urban and Rural Community Economic Development (Pre-Developmental 
Set-Aside--FY 2000) (Sub-Priority Area 1.3A)
    Projects under this sub-priority area must conform to the purposes 
and requirements of Sub-Priority Area 1.3. (See 3.a., above.)
    OCS is interested particularly in applications from recently-
established private, non-profit, 501 (c) (3), community development 
corporations that propose to undertake economic development activities 
in distressed communities in partnership with Historically Black 
Colleges and Universities. Such applications must reflect a significant 
partnership role for the college or university. Each application also 
must contain a written, signed agreement from an authorized HBCU 
official confirming the school's significant involvement in the grant 
activities. By entering into a partnership agreement, the applicant 
will be considered to have fulfilled the goal of mobilizing non-
discretionary program dollars under Criterion IV, Significant and 
Beneficial Impact, and will be granted the maximum number of points (5) 
in that category.
    Approximately 4 projects are anticipated to be funded at $75,000 
each.

4. Urban and Rural Community Economic Development (Developmental Set-
Aside) (Sub-Priority Area 1.4)

    OCS intends in this sub-priority area to provide funds to 
organizations that received grants from OCS in Fiscal Years 1998 and 
1999 under Sub-Priority Area 1.3, the pre-developmental grant program. 
These organizations will compete only among themselves. Such projects 
must conform to the purposes, requirements and prohibitions applicable 
to those submitted under Sub-Priority Area 1.1 including the additional 
requirements delineated in section 1.d., above. Applications that are 
not funded within this set-aside due to the limited amount of funds 
available may also be considered competitively within the larger pool 
of eligible applicants under Sub-Priority Area 1.1. Any funds that are 
not used under this sub-priority area due to the limited number of 
highly scored applications will be rolled over into Sub-Priority Area 
1.1.
    Approximately 10 grants are anticipated to be made at $250,000 each 
under this sub-priority area.

5. Administrative and Management Expertise (Set-Aside) (Sub-Priority 
Area 1.5)

    OCS believes that one of the most effective means of assuring the 
successful operation of a project under the Discretionary Grants 
Program area is through the sharing amongst CDCs of their experiences 
in dealing with the day-to-day issues and challenges presented in 
promoting community economic development. Accordingly, OCS strongly 
encourages more experienced private, non-profit CDCs to share their 
administrative and management expertise with less experienced CDCs or 
with those who have encountered difficulties in operationalizing their 
work programs. In order to facilitate this, OCS will provide funds to 
one or more private, non-profit, 501(c)(3), community development 
corporations to assist with their efforts to enhance the management and 
operational capacities of the less experienced CDCs or those having 
difficulties.
    An applicant in this sub-priority area must document its experience 
and capability in several of the following areas:

 Business/development;
 Micro-entrepreneurship development;
 Commercial development;
 Organizational and staff development;
 Board training;
 Business management, including strategic planning and fiscal 
management;
 Finance, including business packaging and financial/accounting 
services;
 Regulatory compliance including zoning and permit compliance;
 Incubator development;
 Tax credits and bond financing;
 Marketing.

    The applicant must document staff competence or the accessibility 
of third party resources with proven competence. If the work program 
requires the significant use of third party (consultant/contractor) 
resources, those resources should be identified and resumes of the 
individuals or key organizational staff provided.
    Resumes of the applicant's staff, who are to be directly involved 
in programmatic and administrative expertise sharing, should also be 
included. The applicant must document successful experience in the 
mobilization of resources (both cash and in-kind) from private and 
public sources. The applicant also must clearly state how the 
information learned from this project may be disseminated to other 
interested grantees.
    OCS will share with the grantee information on other grantees 
seeking to benefit from such assistance. Such formal requests could 
also be initiated by a grantee with the concurrence of OCS. These 
contacts may occur on-site, by telephone, or by other methods of 
communication. Costs incurred in connection with participation in such 
activities will be borne by the recipient(s) of the OCS grant under 
this sub-priority area.
    A grantee under this sub-priority area will be expected to 
disseminate results of the project via a handbook, a progress paper, 
evaluation reports, general manual, or seminars/workshops.
    Approximately one grant is anticipated to be made at $500,000 under 
this sub-priority area.

6. Training and Technical Assistance (Set-Aside) (Sub-Priority Area 
1.6)

    Funds will be awarded for the purpose of providing training and 
technical assistance to strengthen the network of CDCs.
    An applicant in this sub-priority area must document its experience 
and capability in implementing projects national in scope and have 
significant and relevant experiences in working with community 
development corporations.
    OCS anticipates that the grant will be for $210,000 with a grant 
period not to exceed 17 months. Applicant must have the ability to 
collect and analyze data nationally that may benefit CDCs and be able 
to disseminate information to all OCS-funded grantees; publish a 
national directory of funding sources for CDCs (public, corporate, 
foundation, religious); publish research papers on specific aspects of 
job creation by CDCs; and design and provide information on successful 
projects and economic niches that CDCs can target. The applicant also 
will be responsible for the development of instructional programs, 
national conferences, seminars, and other activities to assist 
community development corporations.
    Eligible applicants are private, non-profit, 501(c)(3), 
organizations. Applicants must be able to operate on a national basis 
and have significant and relevant experience in working with community 
development corporations.
    Approximately one grant is anticipated to be made at $210,000 under 
this sub-priority area.

[[Page 38344]]

Priority Area 2.0  Rural Community Facilities Development

1. Rural Community Facilities (Water and Waste Water Treatment Systems 
Development--FY 2001) (Sub-Priority Area 2.1)

    FY 2001 funds will be provided under this sub-priority area to help 
low-income rural communities develop the capability and expertise to 
establish and/or maintain affordable, adequate, and safe water and 
waste water treatment facilities.
    Funds provided under this priority area may not be used for 
construction of water and waste water treatment systems or for 
operating subsidies for such systems, but other mobilized funds may be 
used for these activities. Therefore, it is suggested that applicants 
coordinate projects with the Farmers Home Administration (FmHA) and 
other Federal and state agencies to ensure that funds for hardware for 
local community projects are available.
    Each applicant must include a full discussion of how the proposed 
use of funds will enable low-income rural communities to develop the 
capability and experience to establish and maintain affordable, 
adequate and safe water and waste water systems. Applicants also must 
discuss how they will disseminate information about water and waste 
water programs serving rural communities, and how they will better 
coordinate Federal, State, and local water and waste water program 
financing and development to assure improved service to rural 
communities.
    Among the benefits that merit discussion under this sub-priority 
area are the number of rural communities to be provided with technical 
and advisory services; the number of rural poor individuals who are 
expected to be directly served by applicant-supported improved water 
and waste water systems; the decrease in the number of inadequate water 
systems related to applicant activity; the number of newly-established 
and applicant-supported treatment systems (all of the above may be 
expressed in terms of equivalent connection units); the increase in 
local capacity in engineering and other areas of expertise; and the 
amount of non-discretionary program dollars expected to be mobilized.
    Eligible applicants are multi-state, regional private, non-profit, 
501(c)(3), organizations that can provide training and technical 
assistance to small, rural communities in meeting their community 
facility needs.
    Approximately eight (8) grants are anticipated to be made ranging 
from $300,000 to $533,000 each under this sub-priority area.

2. Rural Community Facilities (Water and Waste Water Treatment Systems 
Development--FY 2000) (Sub-Priority Area 2.1A)

    Projects proposed for funding under this sub-priority area must 
conform to the requirements, purposes, and prohibitions cited under 
Sub-Priority Area 2.1. (See 1., above.)
    One grant of approximately $300,000 is anticipated to be made under 
this sub-priority area.

Part D--Criteria for Review and Evaluation of all Applications

1. Criteria for Review and Evaluation of All Applications Submitted 
Under Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4

a. Criterion I: Analysis of Need (Maximum: 5 Points)
    The application documents that the project addresses a vital need 
in a distressed community. (0-3 points)
    Most recent available statistics and other information are provided 
in support of its contention. (0-2 points)
b. Criterion II: Organizational Experience in Program Area and Staff 
Responsibilities (Maximum: 25 Points)
    (1) Organizational experience in program area (sub-rating: 0-15 
points). Documentation provided indicates that projects previously 
undertaken have been relevant and effective and have provided permanent 
benefits to the low-income population. (0-5 points)
    The applicant has demonstrated the ability to implement major 
activities in such areas as business development, commercial 
development, physical development, or financial services; the ability 
to mobilize dollars from sources such as the private sector 
(corporations, banks, etc.), foundations, the public sector (including 
state and local governments) or individuals; that it has a sound 
organizational structure and proven organizational capability; and that 
it has an ability to develop and maintain a stable program in terms of 
business, physical, or community development activities that will 
provide needed permanent jobs, services, business development 
opportunities, and other benefits to community residents. (0-10 points)
    (2) Staff skills, resources and responsibilities (sub-rating 0-10 
points). The application describes in brief resume form the experience 
and skills of the project director who is not only well qualified, but 
whose professional capabilities are relevant to the successful 
implementation of the project. If the key staff person has not yet been 
identified, the application contains a comprehensive position 
description that indicates that the responsibilities to be assigned to 
the project director are relevant to the successful implementation of 
the project. (0-5 points)
    The applicant has adequate facilities and resources (i.e. space and 
equipment) to successfully carry out the work plan. (0-2 points)
    The assigned responsibilities of the staff are appropriate to the 
tasks identified for the project and sufficient time of senior staff 
will be budgeted to assure timely implementation and cost effective 
management of the project. (0-3 points)
c. Criterion III: Project Implementation (Maximum: 25 Points)
    The business plan or work plan, where applicable, is both sound and 
feasible. The plan describes the key work tasks and shows how the 
project objectives will be accomplished including the development of 
businesses and creation of jobs for low-income persons during the 
allowable OCS project period. The project is responsive to the needs 
identified in the Analysis of Need. (0-5 points)
    It sets forth realistic quarterly time targets by which the various 
work tasks would be completed. (0-5 points)
    Critical issues or potential problems that might impact negatively 
on the project are defined and the project objectives can be reasonably 
attained despite such potential problems. (0-5 points)
    The application contains a full and accurate description of the 
proposed use of the requested financial assistance.
    If the applicant is applying for funding under Sub-Priority Area 
1.1A, the work plan describes a new and innovative business project.
    If the applicant proposes to make an equity investment or a loan to 
an individual, organization, or business entity (including a wholly-
owned subsidiary), the application includes a signed third party 
agreement; a signed statement by a Certified or Licensed Public 
Accountant, as to the sufficiency of the third party's financial 
management system; and financial statements for the third party's prior 
three years of operation. (If newly formed and unable to provide the 
information regarding the prior three years of operation, a statement 
to that effect is included.) If the applicant states that an agreement 
is not currently in place, the application contains in the narrative as 
much information required

[[Page 38345]]

for third party agreements as is available. (See Part B, item 9.)
    Also, if the project proposes the development of a new or expanded 
business, service, physical or commercial activity, the application 
addresses applicable elements of a business plan. Guidelines for a 
Business Plan are included in Attachment K.
    The financial plan element, which indicates the project's potential 
and timetable for financial self-sufficiency, is included. It includes 
for the applicant and the third party, if appropriate, the following 
exhibits for the first three years (on a quarterly basis) of the 
business' operations: Profit and Loss Forecasts, Cash Flow Projections, 
and Proforma Balance Sheets. Based on these documents, the application 
also contains an analysis of the financial feasibility of the project. 
Also, a Source and Use of Funds statement for all project funding is 
included. (0-10 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 20 Points)
    (1) Significant and beneficial impact (sub-rating: 0-5 points). The 
proposed project will produce permanent and measurable results that 
will reduce the incidence of poverty and TANF assistance in the 
community. (0-3 points)
    The OCS grant funds, in combination with private and/or other 
public resources, are targeted into low-income communities, distressed 
communities, and/or designated Empowerment Zones and Enterprise 
Communities. (0-2 points)
    (2) Community empowerment consideration and partnership with child 
support enforcement agency (sub-rating: 0-5 points). The applicant is 
located in an area that is characterized by poverty and other 
indicators of socio-economic distress such as a poverty or TANF 
assistance rate of at least 20%, designation as an Empowerment Zone or 
Enterprise Community (EZ/EC), high levels of unemployment, high levels 
of incidences of violence, gang activity, crime, drug use, and low-
income non-custodial parents of children receiving TANF. (0-3 points)
    Applicant has documented that it was involved in the preparation 
and implementation of a comprehensive community-based strategic plan to 
achieve both economic and human development in an integrated manner; 
and how the proposed project will support the goals of that plan. Also 
applicant documents that it has entered into partnership agreements 
with the local TANF and/or other employment education and training 
office and/or child support enforcement agency to increase capability 
of low-income parents and families to fulfill their parental 
responsibilities. (0-2 points)

    Note: Applicants who have projects located in EZ/EC target areas 
or those who have included signed current agreements with child 
support enforcement agencies will automatically receive the maximum 
2 points.

    (3) Cost-per-job (sub-rating: 0-5 points). During the project 
period, the proposed project will create new, permanent jobs or 
maintain permanent jobs for low-income residents at a cost-per-job 
below $15,000 in OCS funds unless there are extenuating circumstances, 
e.g., Alaska where the cost of living is much higher.

    Note: The maximum number of points will be given to those 
applicants proposing estimated cost-per-job for low-income residents 
of $10,000 or less of OCS requested funds. Higher cost-per-job 
estimates will receive correspondingly fewer points unless 
adequately justified by extenuating circumstances.

    (4) Career development opportunities (sub-rating: 0-5 points). The 
applicant documents that the jobs to be created for low-income people 
have career development opportunities that will promote self-
sufficiency.
e. Criterion V: Public-Private Partnerships (Maximum: 20 Points)
    (1) Mobilization of resources: (sub-rating: 15 points).  The 
application documents that the applicant will mobilize from public and/
or private sources cash and/or in-kind contributions valued at an 
amount equal to the OCS funds requested.
    Cash resources such as cash or loans contributed from all project 
sources (except for those contributed directly by the applicant) are 
documented by letters of commitment from third parties making the 
contribution. Third party in-kind contributions such as equipment or 
real property contributed by the applicant or third parties are 
documented by an inventory for equipment and a copy of deed or other 
legal document for real property.


    Note 1: Applicants documenting that the value of such 
contributions will be at least equal to the OCS funds requested will 
receive the maximum number of points for this sub-criterion. Lesser 
contributions will be given consideration based upon the value 
documented.


    Note 2: Future or projected program income such as gross or net 
profits from the project or business operations will not be 
recognized as mobilized or contributed resources.


    Note 3: Applicants under Sub-Priority Area 1.1B who have a 
signed, written agreement for a significant partnership role with a 
Native American tribe or under Sub-Priority Area 1.2 who have a 
signed, written agreement for a significant partnership role with 
Historically Black Colleges and Universities, are deemed to have 
fully met this criterion and will receive the maximum number of 
points if they submit the agreement along with the application.


    (2) Integration/coordination of services: (sub-rating: 5 points). 
The applicant demonstrates a commitment to or agreements with local 
agencies responsible for administering child support enforcement, 
employment education, and training programs to ensure that welfare 
recipients, at-risk youth, displaced workers, public housing tenants, 
homeless and low-income individuals, and low-income non-custodial 
parents will be trained and placed in the newly created jobs. The 
applicant provides written agreements from the local TANF or other 
employment education and training offices and child support enforcement 
agency indicating what actions will be taken to integrate/coordinate 
services that relate directly to the project for which funds are being 
requested. (0-2 points)
    The agreements include: (1) The goals and objectives that the 
applicant and the TANF or other employment education and training 
offices and/or child support enforcement agency expect to achieve 
through their collaboration; (2) the specific activities/actions that 
will be taken to integrate/coordinate services on an on-going basis; 
(3) the target population that this collaboration will serve; (4) the 
mechanism(s) to be used in integrating/coordinating activities; (5) how 
those activities will be significant in relation to the goals and 
objectives to be achieved through the collaboration; and (6) how those 
activities will be significant in relation to their impact on the 
success of the OCS-funded project. (0-2 points)
    The applicant also provides documentation that illustrates the 
organizational experience related to the employment education and 
training program. (Refer to Criterion II for guidelines.) (0-1 point)
f. Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5 
Points)
    Funds requested are commensurate with the level of effort necessary 
to accomplish the goals and objectives of the project. (0-2 points)
    The application includes a detailed budget breakdown for each of 
the budget categories in the SF-424A. The applicant presents a 
reasonable administrative cost. (0-2 points)
    The estimated cost to the government of the project also is 
reasonable in

[[Page 38346]]

relation to the anticipated results. (0-1 point)

2. Criteria for Review and Evaluation of Applications Submitted Under 
Sub-Priority Area 1.3 and 1.3A

a. Criterion I: Analysis of Need (Maximum: 15 Points)
    The application documents that there are clearly identified needs 
in a low-income community not being effectively addressed. (0-10 
points)
    Most recent available statistics and other information are provided 
in support of its contention. (0-5 points)
b. Criterion II: Organizational Capability and Capacity (Maximum: 20 
Points)
    (1) Organizational experience in program area (sub-rating: 5 
points). The applicant show why its organization can successfully 
implement the project for which it is requesting funds. (0-5 points)
    (2) Management capacity (sub-rating: 5 points). Applicant fully 
details its ability to implement sound and effective management 
practices and if it has been a recipient of other Federal or other 
governmental grants, it also details that it has consistently complied 
with financial and program progress reporting and audit requirements. 
(0-3 points)
    Applicant has submitted available documentation on its management 
practices and progress reporting procedures along with a statement by a 
Certified or Licensed Public Accountant as to the sufficiency of the 
applicant's financial management system to protect adequately any 
Federal funds awarded under the application submitted. (0-2 points)

    Note: The documentation of the applicant's management practices, 
etc., and statement from the accountant on the financial management 
system must address the applicant organization's own internal system 
rather than an external system of an affiliate, partner, management 
support organization, etc.

    (3) Staffing (sub-rating: 5 points). The application fully 
describes (e.g., resumes) the experience and skills of key staff 
showing that they are not only well qualified but that their 
professional capabilities are relevant to the successful implementation 
of the project.
    (4) Staffing responsibilities (sub-rating: 5 points). The 
application describes how the assigned responsibilities of the staff 
are appropriate to the tasks identified for the project.
c. Criterion III: Project Design, Implementation and Evaluation 
(Maximum: 30 Points)
    (1) Project implementation component (sub-rating: 25 points). The 
work plan addresses a clearly identified need in the low-income 
community as described in Criterion I. The plan must include a 
methodology to evaluate the feasibility of potential projects that 
conform to the type of projects and activities allowable under Sub-
Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4. (0-8 points)
    The work plan discusses the preparation of a business plan on one 
selected project based on the results of the feasibility studies and a 
plan for mobilization of non-discretionary funds to implement the 
business plan. (0-4 points)
    It sets forth realistic quarterly time schedules of work tasks by 
which the objectives (including the development of a business plan and 
mobilization of resources) will be accomplished.

    Note: Because quarterly time schedules are used by OCS as a key 
instrument to monitor progress, failure to include these time 
targets will seriously reduce an applicant's point score in this 
criterion.

(0-8 points)
    It defines critical issues or potential problems that might impact 
negatively on the project and it indicates how the project objectives 
will be attained notwithstanding any such potential problems. (0-5 
points)
    (2) Evaluation component (sub-rating: 5 points). The proposal 
includes a self-evaluation component. The evaluation data collection 
and analysis procedures are specifically oriented to assess the degree 
to which the stated goals and objectives are achieved. (0-3 points)
    Qualitative and quantitative measures reflective of the scheduling 
and task delineation in (1) above are used to the maximum extent 
possible. This component indicates the ways in which the potential 
grantee would integrate qualitative and quantitative measures of 
accomplishment and specific data into its program progress reports that 
are required by OCS from all organizations receiving pre-developmental 
grants. (0-2 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 25 Points)
    The proposed project around which the business plan is to be 
developed with the use of OCS grant funds is targeted into low-income 
communities, and/or designated Empowerment Zones or Enterprise 
Communities with the goals of increasing the economic conditions and 
social self-sufficiency of residents. Also, the project proposes to 
produce permanent and measurable results that will reduce the incidence 
of poverty and number of TANF recipients in the low-income area 
targeted. (0-20 points)

    Note: This sub-priority area permits applicants to conduct 
several feasibility studies related to various potential projects. 
However, on completion of the studies, one proposed project must be 
selected and a business plan prepared for the selected project.

    The activity targets mobilization of non-discretionary program 
dollars from private sector individuals, public resources, 
corporations, and foundations including the utilization of Historically 
Black Colleges and Universities, if the proposed project is 
implemented. (0-5 points)

    Note: An applicant under Sub-Priority Area 1.3A who has 
submitted a signed, written agreement for a significant partnership 
role with an HBCU is deemed to have fully met this sub-criterion and 
should receive the maximum five points.

e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 10 
points)
    Funds requested are commensurate with the level of effort necessary 
to accomplish the goals and objectives of the project. The estimated 
cost to the government of the project also is reasonable in relation to 
the anticipated results. (0-5 points)
    The application includes a narrative detailed budget breakdown for 
each of the budget categories in the SF 424-A. The applicant presents a 
reasonable administrative cost. (0-5 points)

3. Criteria for Review and Evaluation of Applications Submitted Under 
Sub-Priority Area 1.5

a. Criterion I: Organizational Experience in Program Area and Staff 
Responsibilities (Maximum: 20 Points)
    (1) Organizational experience in program area (sub-rating: 0-10 
points). Applicant has documented the capability to provide leadership 
in solving long-term and immediate problems locally and/or nationally 
in such areas as business development, commercial development, 
organizational and staff development, board training, and micro-
entrepreneurship development. (0-2 points)
    Applicant documents a capability (including access to a network of 
skilled individuals and/or organizations) in two or more of the 
following areas: Business management, including strategic planning and 
fiscal management; finance, including development of

[[Page 38347]]

financial packages and provision of financial/accounting services; and 
regulatory compliance, including assistance with zoning and permit 
compliance. (0-2 points)
    The applicant has the demonstrated ability to mobilize dollars from 
sources such as the private sector (corporations, banks, foundations, 
etc.) and the public sector, including state and local governments. (0-
2 points)
    Applicant also demonstrates that it has a sound organizational 
structure and proven organizational capability as well as an ability to 
develop and maintain a stable program in terms of business, physical or 
community development activities that have provided permanent jobs, 
services, business development opportunities, and other benefits to 
poverty community residents. (0-2 points)
    Applicant indicates why it feels that its successful experiences 
would be of assistance to existing grantees that are experiencing 
difficulties in implementing their projects. (0-2 points)
    (2) Staff skills, resources and responsibilities (sub-rating 0-10 
points). The application describes in brief resume form the experience 
and skills of the project director who is not only well qualified, but 
who has professional capabilities relevant to the successful 
implementation of the project. If the key staff person has not yet been 
identified, the application contains a comprehensive position 
description that indicates that the responsibilities to be assigned to 
the project director are relevant to the successful implementation of 
the project. (0-5 points)
    The applicant has adequate facilities and resources (i.e. space and 
equipment) to successfully carry out the work plan. (0-3 points)
    The assigned responsibilities of the staff are appropriate to the 
tasks identified for the project and sufficient time of senior staff 
will be budgeted to assure timely implementation and cost effective 
management of the project. (0-2 points)
b. Criterion II: Work Program (Maximum: 30 Points)
    The applicant demonstrates in some specificity a thorough 
understanding of the problems a grantee may encounter in implementing a 
successful project. (0-15 points)
    The application includes a strategy for assessing the specific 
nature of the problems, outlining a course of action and identifying 
the resources required to resolve the problems. (0-15 points)
c. Criterion III: Significant and Beneficial Impact (Maximum: 30 
Points)
    Project funds under this sub-priority area are to be used for the 
purposes of transferring expertise directly, or by a contract with a 
third party, to other OCS funded grantees. Applicant describes how the 
success or failure of collaboration with these grantees will be 
documented. (0-15 points)
    Applicant demonstrates an ability to disseminate results on the 
kinds of programmatic and administrative expertise transfer efforts in 
which it participated and successful strategies that it may have 
developed to share expertise with grantees during the grant period. (0-
10 points)
    Applicant states whether the results of the project will be 
included in a handbook, a progress paper, an evaluation report, a 
general manual, or seminars/workshops, and why the particular 
methodology chosen would be most effective. (0-5 points)
d. Criterion IV: Public-Private Partnerships (Maximum: 15 Points)
    Applicant demonstrates how it will design a comprehensive strategy 
that makes use of other available resources to resolve typical and 
recurrent grantee problems.
e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 5 
Points)
    Applicant documents that the funds requested are commensurate with 
the level of effort necessary to accomplish the goals and objectives of 
the project. The application includes a detailed budget breakdown for 
each of the appropriate budget categories in the SF-424A. (0-3 points)
    The estimated cost to the government of the project also is 
reasonable in relation to the anticipated results. (0-2 points)

4. Criteria for Review and Evaluation of Applications Submitted Under 
Sub-Priority Area 1.6

a. Criterion I: Need for Assistance (Maximum: 10 Points)
    The application documents that the project addresses a vital, 
nationwide need related to the purposes of Priority Area 1.0 and 
provides data and information in support of its contention.
b. Criterion II: Organizational Experience in Program Area and Staff 
Responsibilities (Maximum: 20 Points)
    (1) Organizational experience. Applicant has documented the 
capability to provide leadership in solving long-term and immediate 
problems locally and/or nationally in such areas as business 
development, commercial development, organizational and staff 
development, board training, and micro-entrepreneurship development. 
Applicant documents a capability (including access to a network of 
skilled individuals and/or organizations) in two or more of the 
following areas: Business management, including strategic planning and 
fiscal management; finance, including development of financial packages 
and provision of financial/accounting services; and regulatory 
compliance, including assistance with zoning and permit compliance. (0-
10 points)
    (2) Staff skills. The applicant's proposed project director and 
primary staff are well qualified and their professional experiences are 
relevant to the successful implementation of the proposed project. (0-
10 points)
c. Criterion III: Work Plan (Maximum: 35 Points)
    The applicant has submitted a detailed and specific work plan that 
is both sound and feasible. Specifically, the work plan:
    (1) Demonstrates that all activities are comprehensive and 
nationwide in scope, adequately described, and appropriately related to 
the goals of the program. (0-10 points)
    (2) Demonstrates in some specificity a thorough understanding of 
the kinds of training and technical assistance that can be provided to 
the network of community development corporations. (0-10 points)
    (3) Delineates the tasks and sub-tasks involved in the areas 
necessary to carry out the responsibilities, i.e. training, technical 
assistance, research, outreach, seminars, etc. (0-5 points)
    (4) States the intermediate and end products to be developed by 
task and sub-task. (0-5 points)
    (5) Provides realistic time frames and a chronology of key 
activities for the goals and objectives. (0-5 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 25 Points)
    Project funds will be used for the purpose of providing training 
and technical assistance on a national basis to the network of 
community development corporations.
    The applicant describes how:
    (1) The project will assure long-term program and management 
improvements for community development corporations. (0-10 points)
    (2) The project will impact on a significant number of community 
development corporations. (0-10 points)

[[Page 38348]]

    (3) The project will leverage or mobilize significant other non-
federal resources for the direct benefit of the project. (0-5 points)
e. Criterion V: Budget Reasonableness (Maximum: 10 Points)
    (1) The resources requested are reasonable and adequate to 
accomplish the project. (0-5 points)
    (2) Total costs are reasonable and consistent with anticipated 
results. (0-5 points)

5. Criteria for Review and Evaluation of All Applications Under Sub-
Priority Areas 2.1 and 2.1A

a. Criterion I: Analysis of Need (Maximum: 5 Points)
    The application documents that the project addresses a vital need 
in a distressed community and provides statistics and other data and 
information in support of its contention.
b. Criterion II: Organizational Experience in Program Area and Staff 
Responsibilities (Maximum: 15 Points)
    (1) Organizational Experience in Program Area (sub-rating: 0-5 
points)
    Documentation provided indicates that projects previously 
undertaken have been relevant and effective and have provided permanent 
benefits to the low-income population.
    Organizations that propose providing training and technical 
assistance have detailed competence in the specific program priority 
area and as a deliverer with expertise in the fields of training and 
technical assistance. If applicable, information provided by these 
applicants also addresses related achievements and competence of each 
cooperating or sponsoring organization.
    (2) Staff Skills, Resources and Responsibilities (sub-rating 0-10 
points). The application describes in brief resume form the experience 
and skills of the project director who is not only well qualified, but 
whose professional capabilities are relevant to the successful 
implementation of the project. If the key staff person has not yet been 
identified, the application contains a comprehensive position 
description that indicates that the responsibilities to be assigned to 
the project director are relevant to the successful implementation of 
the project. The applicant has adequate facilities and resources (i.e. 
space and equipment) to successfully carry out the work plan. The 
assigned responsibilities of the staff are appropriate to the tasks 
identified for the project and sufficient time of senior staff will be 
budgeted to assure timely implementation and cost effective management 
of the project.
c. Criterion III: Project Implementation (Maximum: 25 Points)
    The work plan is both sound and feasible. The project is responsive 
to the needs identified in the Analysis of Need. It sets forth 
realistic quarterly time targets by which the various tasks will be 
completed. Critical issues or potential problems that might impact 
negatively on the project are defined and the project objectives can be 
reasonably attained despite such potential problems.
d. Criterion IV: Significant and Beneficial Impact (Maximum: 30 Points)
    The application contains a full and accurate description of the 
proposed use of the requested financial assistance. The proposed 
project will produce permanent and measurable results that will reduce 
the incidence of poverty in the areas targeted and significantly 
enhance the self-sufficiency of program participants. Results are 
quantifiable in terms of program area expectations, e.g., number of 
units of housing rehabilitated, agricultural and non-agricultural job 
placements, etc. The OCS grant funds, in combination with private and/
or other public resources, are targeted into low-income and/or 
distressed communities and/or designated Empowerment Zones and 
Enterprise Communities.
e. Criterion V: Public-Private Partnerships (Maximum: 20 Points)
    The application documents that the applicant will mobilize from 
public and/or private sources cash and/or in-kind contributions valued 
at an amount equal to the OCS funds requested.

    Note:  Applicants documenting that the value of such 
contributions will be at least equal to the OCS funds requested will 
receive the maximum number of points for this Criterion. Lesser 
contributions will be given consideration based upon the value 
documented.

f. Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5 
Points)
    Funds requested are commensurate with the level of effort necessary 
to accomplish the goals and objectives of the project. The application 
includes a narrative detailed budget break-down for each of the budget 
categories in the SF-424A. The applicant presents a reasonable 
administrative cost. The estimated cost to the government of the 
project also is reasonable in relation to the anticipated results.

Part E--Application Procedures

1. Availability of Forms

    For purposes of this announcement, all applicants will use the 
following forms:

SF 424
SF 424A
SF 424B

    Applications proposing construction projects will present all 
required financial data using SF-424A. Instructions for completing the 
SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D. 
These forms may be photocopied for this application.
    Part F contains instructions for the project abstract and project 
narrative. They should be submitted on plain bond paper along with the 
SF-424 and related forms.
    Attachment M, Applicant's Checklist, provides a checklist to aid 
applicants in preparing a complete application package for OCS.
    The applicant must be aware that in signing and submitting the 
application for this award, it is certifying that it will comply with 
the Federal requirements concerning the following regulations: Drug-
free workplace, Attachment E; Debarment, Attachment F; and 
Environmental Tobacco Smoke, Attachment J.

2. 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.
    As of October 5, 1999 the following jurisdictions have elected NOT 
to participate in the Executive Order process. Applicants from these 
jurisdictions or for projects administered by Federally-recognized 
Indian tribes need take no action in regard to E. O. 12372:
    Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, 
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, American Samoa and Palau.
    Applicants should contact their SPOCs as soon as possible to alert 
them of the prospective applications and receive any necessary 
instructions. Applicants must submit any required

[[Page 38349]]

material to the SPOCs as soon as possible so that the program office 
can obtain and review SPOC comments as part of the award process. It is 
imperative that the applicant submit all required materials, if any, to 
the SPOC and indicate the date of this submittal (or the date of 
contact if no submittal is required) on the Standard Form 424, item 
16a, and submit a copy of the letter along with its application to OCS.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline date to comment on proposed new or competing continuation 
awards.
    The SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to clearly differentiate between mere advisory comments and 
those official state process recommendations which they intend to 
trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Office of Grants Management/OCSE, 4th Floor 
West, Aerospace Center, 370 L'Enfant Promenade, SW., Washington, DC 
20447.
    A list of the Single Points of Contact for each state and territory 
is included as Attachment G of this announcement.

3. Application Consideration

    Applications that meet the screening requirements in sections 4.a 
and 4.b below may be reviewed competitively. Such applications will be 
referred to reviewers for a numerical score and explanatory comments 
based solely on responsiveness to program priority area guidelines and 
evaluation criteria published in this announcement.
    Applications submitted under all priority areas (with the exception 
of Sub-Priority Area 1.6) will be reviewed by persons outside of the 
Office of Community Services. The results of these reviews will assist 
the Director and OCS program staff in considering competing 
applications.
    Reviewers' scores will weigh heavily in funding decisions but will 
not be the only factors considered. Applications generally will be 
considered in order of the average scores assigned by reviewers. 
However, highly ranked applications are not guaranteed funding since 
the Director may also consider other factors deemed relevant including, 
but not limited to, the timely and proper completion of projects funded 
with OCS funds granted in the last five (5) years; comments of 
reviewers and government officials; staff evaluation and input; 
geographic distribution; previous program performance of applicants; 
compliance with grant terms under previous DHHS grants; audit reports; 
investigative reports; and applicant's progress in resolving any final 
audit disallowances on previous OCS or other Federal agency grants.
    Applicants with three or more active OCS grants at the time of 
review may be denied funding. In addition, for applications received 
under 1.0, OCS will consider the geographic distribution of funds among 
states and the relative proportion of funding among rural and urban 
areas in accordance with Section 680(a)(2)(D) of the CSBG Act.
    OCS reserves the right to discuss applications with other Federal 
or non-Federal funding sources to ascertain the applicant's performance 
record.

4. Criteria for Screening Applications

    a. Initial screening. All applications that meet the published 
deadline for submission will be screened to determine completeness and 
conformity to the requirements of this announcement. Only those 
applications meeting the following requirements will be reviewed and 
evaluated competitively. Others will be returned to the applicants with 
a notation that they were unacceptable.
    (1) The application must contain an Application for Federal 
Assistance (SF-424), a budget (SF-424A), and signed Assurances (SF-
424B) completed according to instructions published in Parts F and G 
and Attachments B, C, and D of this Program Announcement.
    (2) A project abstract must also accompany the standard forms.
    (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.
    (4) While there is no limit to the number of applications that can 
be submitted under a specific program priority area, each application 
must be submitted for consideration under one priority area only.
    b. Pre-review. Applications that pass the initial screening will be 
forwarded to reviewers and/or OCS staff prior to the programmatic 
review to verify that the applications comply with this Program 
Announcement in the following areas:
    (1) Eligibility: Applicant meets the eligibility requirements for 
the sub-priority area under which funds are being requested. Proof of 
non-profit status, i.e. the IRS determination letter of tax exemption, 
must be included in the appendices of the project narrative where 
applicable. Applicants that do not submit proof of non-profit status 
will be disqualified. Applicants must also be aware that the 
applicant's legal name as required in SF-424 (Item 5) must match that 
listed as corresponding to the Employer Identification Number (Item 6).
    (2) Number of Projects: An application may contain only one project 
under Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4. However, an 
application may contain more than one project under Sub-Priority Areas 
1.3, 1.3A, 1.5, and 1.6 where applicants are researching various 
opportunities, sharing administrative and management expertise with 
current OCS grantees, and providing training and/or technical 
assistance to current OCS grantees, including the organization of 
seminars and other activities to assist community development 
corporations.
    (3) Grant amount: The amount of funds requested does not exceed the 
limits indicated in the appropriate sub-priority area.
    (4) Written Agreement When Applicant Proposes to Make Equity 
Investment or Loan: (Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4): 
The application contains a written third party agreement, or a 
discussion of a proposed agreement, signed by the applicant and the 
third party that includes all of the elements required in Part B, item 
9.
    An application will be disqualified if it does not conform to one 
or more of the above requirements.
    c. Panel reviews. Applications that pass the pre-rating review will 
be assessed and scored by panels of reviewers. Each reviewer will give 
a numerical score for each application reviewed. These numerical scores 
will be supported by explanatory statements on a formal rating form 
describing major strengths and weaknesses under each applicable 
criterion published in the announcement.
    The panelists will use the criteria found in Part D along with the 
specific requirements contained under each program sub-priority area as 
described in Part C.

Part F--Contents of Application and Receipt Process

1. Contents of Application

    Each submission should include one signed original and four 
additional copies of the application. The application package including 
the narrative should not exceed 65 pages for the applications submitted 
under Sub-Priority Areas 1.1, 1.1A, 1.1B, 1.2, and

[[Page 38350]]

1.4 and 30 pages under the other sub-priority areas. This does not 
include appendices listed below. Application pages should be numbered 
sequentially throughout the application package, beginning with an 
abstract of the proposed project as page number one. Each application 
must include all of the following, in the order listed below:
    a. Table of Contents.
    b. A Project Abstract--A paragraph that succinctly describes the 
project in 500 characters or less.
    c. Completed Standard Form 424--(Attachment B)--that has been 
signed by an official of the organization applying for the grant who 
has authority to obligate the organization legally.
    d. A Standard Form 424A--Budget Information--Non-Construction 
Programs (Attachment C).
    e. A narrative budget justification for each object class category 
required under Section B, SF-424A (Attachment C).
    f. A Project Narrative. The project narrative must address the 
specific concerns mentioned under the relevant priority area 
description in Part C. The narrative should also provide information on 
how the application meets the evaluation criteria in Part D and 
Guidelines for a Business Plan (Attachment K) of the Program 
Announcement.
    g. A Standard Form 424B Assurances--Non-Construction (Attachment 
D)--All applicants, whether or not their project involves construction, 
must sign and submit the Standard Form 424B with their applications.
    h. Certification Regarding Lobbying--(Attachment H)--Applicant must 
sign and return an executed copy of the lobbying certification.
    i. Disclosure of Lobbying Activities, SF-LLL (Attachment H)--Fill 
out, sign and date the form.
    j. DHHS Regulations Applying to All Applicants/Grantees Under the 
Fiscal Year 2000 (Supplementary) and 2001 Discretionary Grants Program 
(Attachment I)--By signing and submitting the application, applicant is 
certifying that it will comply with these regulations.
    k. Certification Regarding Environmental Tobacco Smoke (Attachment 
J)--Applicant must make the appropriate certification of their 
compliance with the Pro-Children Act of 1994. By signing and submitting 
the application, applicant is providing the certification regarding 
environmental tobacco smoke and need not mail back the certification 
with their applications.
    l. Certification Regarding Drug-Free Workplace Requirement 
(Attachment E): By signing and submitting the application, applicant is 
certifying that it will comply with this regulation.
    m. Certification Regarding Debarment, Suspension, and Other 
Responsibility Matters: By signing and submitting the application, 
applicant is certifying that it will comply with this regulation.
    n. Appendices should include: Proof of non-profit status [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 a copy of the currently valid IRS tax exemption 
certificate]; a copy of the Articles of Incorporation bearing the seal 
of the State in which the corporation or association is domiciled; a 
listing of the current Board of Directors' names, titles and addresses 
(Note: If the applicant is proposing an equity transaction, this is 
also needed for the third party organization.); resumes of the project 
director and other key management team members; written agreements, 
i.e., third party agreements, coordination with TANF, etc.; a copy of 
the submission to the State Single Point of Contact, if applicable; 
Single Point of Contact comments, where applicable; certification 
regarding anti-lobbying activities; and a disclosure of lobbying 
activities.

2. Acknowledgment of Receipt

    All applicants will receive an acknowledgment notice with an 
assigned identification number. Applicants are requested to supply a 
self-addressed mailing label with their application that can be 
attached to this acknowledgment notice. The identification number and 
the program priority area letter code must be referred to in all 
subsequent communications with OCS concerning the application. If an 
acknowledgment is not received within three weeks after the deadline 
date, please notify ACF by telephone at (202) 401-5103.

    Note: To facilitate receipt of this acknowledgment from ACF, 
applicant should include a cover letter with the application 
containing an E-mail address and facsimile (FAX) number if these 
items are available to applicant.

Part G--Instructions for Completing Application Package

    It is suggested that the applicant reproduce the SF-424 and SF-
424A, and type its organization's legal name on the copies. If an item 
on the SF-424 cannot be answered or does not appear to be related or 
relevant to the assistance requested, write NA for Not Applicable.
    Prepare your application in accordance with the standard 
instructions given in Attachments B and C corresponding to the forms, 
as well as the OCS specific instructions set forth below:

1. SF-424 Application for Federal Assistance

    Item 1. For the purposes of this announcement, all proposals are 
considered Applications; there are no Pre-Applications. For the purpose 
of this announcement, construction projects involve land improvements 
and development or major renovation of (new or existing) facilities and 
buildings, including their improvements, fixtures and permanent 
attachments. All others are considered non-construction. Check the 
appropriate box under Application. Whether applications involve 
construction or non-construction projects, all applicants are required 
to complete the Budget Information--Non-construction Programs sections 
of SF-424A.
    Items 5 and 6. The legal name of the applicant must match that 
listed as corresponding to the Employer Identification Number. Where 
the applicant is a previous Department of Health and Human Services 
grantee, enter the Central Registry System Employee Identification 
Number (EIN) and the Payment Identifying Number (PIN), if one has been 
assigned, in the block entitled Federal Identifier located at the top 
right hand corner of the form.
    Item 7. If the applicant is a non-profit corporation, enter N in 
the box and specify non-profit corporation in the space marked Other. 
Any non-profit organization submitting an application must submit proof 
of its non-profit status in its applications at time of submission.
    Item 9. Enter DHHS-ACF/OCS.
    Item 10. The Catalog of Federal Domestic Assistance number for OCS 
programs covered under this announcement is 93.570. The title is CSBG 
Discretionary Awards.
    Item 11. In addition to a brief descriptive title of the project, 
indicate one of the following program priority areas for which funds 
are being requested.

UR--Sub-Priority Area 1.1. Urban and Rural Community Economic 
Development (Operational--FY 2001)
URA--Sub-Priority Area 1.1A. Urban and Rural Community Economic 
Development (Operational--FY 2000)
URNA--Sub-Priority Area 1.1B. Urban and Rural Community Economic 
Development (Native Americans) (FY 2000)
HB--Sub-Priority Area 1.2. Urban and Rural Community Economic

[[Page 38351]]

Development (HBCU Set-Aside--FY 2001)
PD--Sub-Priority Area 1.3. Urban and Rural Community Economic 
Development (Pre-Developmental Set-Aside) (FY 2001)
HPD--Sub-Priority Area 1.3A. Urban and Rural Community Economic 
Development (Pre-Developmental Set-Aside) (FY 2000)
DD--Sub-Priority Area 1.4. Urban and Rural Community Economic 
Development (Developmental Set-Aside) (FY 2001)
AM--Sub-Priority Area 1.5. Administrative and Management (Set-Aside) 
(FY 2001)
UT--Sub-Priority Area 1.6. Training and Technical Assistance (Set-
Aside) (FY 2001)
RF--Sub-Priority Area 2.1. Rural Community Facilities (Water and Waste 
Water Treatment Systems Development) (FY 2001)
RFA--Sub-Priority Area 2.1A. Rural Community Facilities (Water and 
Waste Water Treatment Systems Development) (FY 2000)

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

    See instructions accompanying this form as well as the instructions 
set forth below:
    In completing these sections, the Federal funds budget entries will 
relate to the requested OCS discretionary funds only, and Non-Federal 
will include mobilized funds from all other sources--applicant, state, 
local, and other. Federal funds other than requested OCS Discretionary 
funding should be included in Non-Federal entries.
    The budget forms in SF-424A are only to be used to present grant 
administrative costs and major budget categories. Financial data that 
is generated as part of a project Business Plan or other internal 
project cost data must be separate and should appear as part of the 
project Business Plan or other project implementation data.
    Sections A and D of SF-424A must contain entries for both Federal 
(OCS) and non-Federal (mobilized) funds. Section B contains entries for 
Federal (OCS) funds only. Clearly identified continuation sheets in SF-
424A format should be used as necessary.

Section A--Budget Summary

Lines 1-4

-- Column (a): Line 1--Enter CSBG Discretionary
-- Column (b): Line 1--Enter 93.570
-- Columns (c) and (d): Leave Blank
-- Columns (e) through (g): Line 1, enter the appropriate amounts 
needed to support the project for the budget period.

    Line 5: Enter the figures from Line 1 for all columns completed as 
required, (c), (d), (3), (f), and (g).

Section B--Budget Categories

    Allowability of costs is governed by applicable cost principles set 
forth in 45 CFR Parts 74 and 92. A budget narrative must be submitted 
that includes the appropriate justifications as stated.
    This section should contain entries for OCS funds only. For all 
projects, this first budget period will be entered in Column (1).
    Budget estimates for administrative costs must be supported by 
adequate detail for the grants officer to perform a cost analysis and 
review. Adequately detailed calculations for each budget object class 
are those which reflect estimation methods, quantities, unit costs, 
salaries, and other similar quantitative detail sufficient for the 
calculation to be duplicated. For any additional object class 
categories included under the object class other, identify the 
additional object class(es) and provide supporting calculations.
    Supporting narratives and justifications are required for each 
budget category, with emphasis on unique/special initiatives; large 
dollar amounts; local, regional, or other travel; new positions; and 
major equipment purchases.
    A detailed itemized budget with a separate budget justification for 
each major item should be included as indicated below:

Line 6a

    Personnel--Enter the total costs of salaries and wages.
    Justification--Identify the project director and staff. Specify by 
title or name the percentage of time allocated to the project, the 
individual annual salaries and the cost to the project (both Federal 
and non-Federal) of the organization's staff who will be working on the 
project.

Line 6b

    Fringe Benefits--Enter the total costs of fringe benefits unless 
treated as part of an approved indirect cost rate which is entered on 
Line 6j.
    Justification--Enter the total costs of fringe benefits, unless 
treated as part of an approved indirect cost rate. Provide a breakdown 
of amounts and percentages that comprise fringe benefit costs.

Line 6c

    Travel--Enter total cost of all travel by employees of the project. 
Do not enter costs for consultant's travel.
    Justification--Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, mileage rate, transportation costs 
and subsistence allowances. Traveler must be a person listed under the 
personnel line or employee being paid under non-federal share. (Note: 
Local transportation and consultant travel costs are entered on Line 
6h.)

Line 6d

    Equipment--Enter the total estimated costs for all non-expendable 
personal property to be acquired by the project. Equipment means 
tangible nonexpendable personal property, including exempt property, 
charged directly to the award having a useful life of more than one 
year and an acquisition cost of $5,000 or more per unit. However, 
consistent with recipient policy, lower limits may be established.
    Justification--Provide breakdown of cost per item. Items that cost 
less than $5,000 should be included under Supplies.

Line 6e

    Supplies--Enter the total estimated costs of all tangible personal 
property (supplies) other than that included on line 6d.
    Justification--Provide a general description as to what is being 
purchased such as type of supplies, office, classroom, medical, etc. 
Also property that is not equipment and costs less than $5,000 per 
item.

Line 6f

    Contractual--Enter the total costs of all contracts, including (1) 
procurement contracts (except those which belong on other lines such as 
equipment, supplies, etc.) and (2) contracts with secondary recipient 
organizations including delegate agencies and specific projects(s) or 
businesses to be financed by the applicant.
    Justification--Contractual cannot be a person--it must be the name 
of an organization, firm, etc. Consultant cost goes in line 6h--Other.

Line 6g

    Construction--Enter the estimated costs of renovation, repair, or 
new construction. Identify the type of construction activity and costs 
associated, i.e., concrete, HVAC, electrical, etc. Provide narrative 
justification and breakdown of costs.

[[Page 38352]]

Line 6h

    Other--Enter the total of all other costs. Such costs, where 
applicable, may include, but are not limited to insurance, fees and 
travel paid directly to individual consultants, local transportation 
(all travel which does not require per diem is considered local 
travel), space and equipment rentals, printing, computer use training 
costs including tuition and stipends, training service costs including 
wage payments to individuals and supportive service payments, and staff 
development costs.
    Justification--Provide as much detail as you can. Some items may 
have to be defined more than others.

Line 6j

    Indirect Charges--Enter the total amount of indirect costs. This 
line should be used only when the applicant currently has an indirect 
cost rate approved by DHHS or other Federal agencies.
    If the applicant organization is in the process of initially 
developing or renegotiating a rate, it should, immediately upon 
notification that an award will be made, develop a tentative indirect 
cost rate proposal based on its most recently completed fiscal year in 
accordance with the principles set forth in the pertinent DHHS Guide 
for Establishing Indirect Cost Rates and submit it to the appropriate 
DHHS Regional Office. It should be noted that when an indirect cost 
rate is requested, those costs included in the indirect cost pool 
cannot be also budgeted or charged as direct costs to the grant. 
Indirect costs consistent with approved Indirect Cost Rate Agreements 
are allowable.

Section C--Non-Federal Resources

    This section is to record the amounts of non-Federal resources that 
will be used to support the project. Non-Federal resources mean other 
than OCS funds for which the applicant is applying. Therefore, 
mobilized funds from other Federal programs, such as the Job Training 
Partnership Act program, should be entered on these lines. Provide a 
brief listing of the non-Federal resources on a separate sheet and 
describe whether it is a grantee-incurred cost or a third-party in-kind 
contribution. The firm commitment of these resources must be documented 
and submitted with the application in order to be given credit in the 
Public-Private Partnerships Criterion.
    Except in unusual situations, this documentation must be in the 
form of letters of commitment from the organization(s)/individuals from 
which funds will be received.

    Note: Even though there are no matching requirements for the 
Discretionary Grants Program, grantees will be held accountable for 
any match, cash or in-kind contribution proposed or pledged as part 
of an approved application.

Part H--Post Award Information and Reporting Requirements

1. 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 that provides the amount of Federal funds approved for 
use in the project, the budget period for which support is provided, 
the terms and conditions of the award, the total project period for 
which support is contemplated, and the total financial participation 
from the award recipient.
    General Conditions and Special Conditions (where the latter are 
warranted) that will be applicable to grants, are subject to the 
provisions of 45 CFR Parts 74 and 92.

2. Attendance at OCS Training Conference

    The Executive Director and/or Project Director will be required to 
attend a two-day national workshop in Washington, D.C. The project 
budget must include funds for travel to and attendance at this 
conference.

3. Reporting Requirements

    Grantees will be required to submit semi-annual progress and 
financial reports (SF-269) as well as a final progress and financial 
report.
    Under the Paperwork Reduction Act of 1995, Public Law 104-13, an 
agency may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a currently 
valid OMB control number. This program announcement does not contain 
information collection requirements beyond those approved for ACF grant 
applications under OMB Control Number 0970-0062, which expires 10/31/
2001.

4. Audit Requirements

    Grantees are subject to the audit requirements in 45 CFR Parts 74 
and 92 and OMB Circular A-133. If an applicant will not be requesting 
indirect costs, it should anticipate in its budget request the cost of 
having an audit performed at the end of the grant period.

5. 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 nonappropriated 
funds and, if so, the name, address, payment details, and purpose of 
any agreements with such lobbyists whom recipients or their subtier 
contractors or subgrantees will pay with the nonappropriated funds; and 
(3) to file quarterly up-dates about the use of lobbyists if an event 
occurs that materially affects the accuracy of the information 
submitted by way of declaration and certification. The law establishes 
civil penalties for noncompliance and is effective with respect to 
contracts, grants, cooperative agreements and loans entered into or 
made on or after December 23, 1989. See Attachment H for certification 
and disclosure forms to be submitted with the applications for this 
program.

6. Applicable Federal Regulations

    Attachment I provides a list of the regulations that apply to all 
applicants/grantees under the FY 2000 (Supplementary) and FY 2001 
Discretionary Grants Programs.

    Dated: June 9, 2000.
Donald Sykes,
Director, Office of Community Services.

Attachments

A--2000 Poverty Income Guidelines
B--Standard Form 424, Application for Federal Assistance
C--Standard Form 424A, Budget Information--Non-Construction Programs
D--Standard Form 424B, Assurances--Non-Construction Programs
E--Certification Regarding Drug-Free Workplace Requirements
F--Certification of Debarment, Suspension and Other Responsibility 
Matters
G--State Single Points of Contact Listing
H--Certification Regarding Lobbying and Disclosure of Lobbying 
Activities, SF LLL
I--DHHS Regulations Applying to all Applicants/Grantees Under the 
Fiscal Year

[[Page 38353]]

2000 (Supplementary) and Fiscal Year 2001 Discretionary Grants 
Programs
J--Certification Regarding Environmental Tobacco Smoke
K--Guidelines for a Business Plan
L--Table of Standard Industrial Codes and Occupational 
Classifications
M--Applicant's Checklist

Attachment A

2000 Poverty Guidelines for the 48 Contiguous States and the District of
                                Columbia
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guidelines
------------------------------------------------------------------------
1..........................................................       $8,350
2..........................................................       11,250
3..........................................................       14,150
4..........................................................       17,050
5..........................................................       19,950
6..........................................................       22,850
7..........................................................       25,750
8..........................................................       28,650
------------------------------------------------------------------------

    For family units with more than 8 members, add $2,900 for each 
additional member. (The same increment applies to smaller family 
sizes also, as can be seen in the figures above).

                   2000 Poverty Guidelines for Alaska
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guidelines
------------------------------------------------------------------------
1..........................................................      $10,430
2..........................................................       14,060
3..........................................................       17,690
4..........................................................       21,320
5..........................................................       24,950
6..........................................................       28,580
7..........................................................       32,210
8..........................................................       35,840
------------------------------------------------------------------------

    For family units with more than 8 members, add $3,630 for each 
additional member. (The same increment applies to smaller family 
sizes also as can be seen in the figures above).

                   2000 Poverty Guidelines for Hawaii
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guidelines
------------------------------------------------------------------------
1..........................................................       $9,500
2..........................................................       12,930
3..........................................................       16,270
4..........................................................       19,610
5..........................................................       22,950
6..........................................................       26,290
7..........................................................       29,630
8..........................................................       32,970
------------------------------------------------------------------------

    For family units with more than 8 members, add $3,340 for each 
additional member. (The same increment applies to smaller family 
sizes also, as can be seen in the figures above).
BILLING CODE 4184-01-P

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[[Page 38355]]


BILLING CODE 4184-01-C

Instructions for the SF-424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information. 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget. Send it to the address provided by the 
sponsoring agency.
    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) 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 Employee 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 problem under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities).
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as Item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loan 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 38356]]

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[[Page 38357]]


[GRAPHIC] [TIFF OMITTED] TN20JN00.002


[[Page 38358]]



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 (0348/004), 
Washington, DC 50503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

General Instructions

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

Section A. Budget Summary

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

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

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

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

Section B. Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    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 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 Estimates of Federal Funds Needed for Balance of 
the Project

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Lines 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
necessary.

Attachment D.--Assurances--Non-Construction Programs

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

[[Page 38359]]

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 (0348-0040), 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 CFR 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. 276c 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) Institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive (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 
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

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

----------------------------------------------------------------------
Applicant organization

----------------------------------------------------------------------
Date submitted

Attachment E.--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 pint is: Division of Grants Management and 
Oversight, Office of Management and Acquisition, Department of 
Health and Human Services, Room 517-D 200 Independence Avenue, SW 
Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements 
(Instructions for Certification)

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

[[Page 38360]]

    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 indetifications 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; 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 impose 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 undr 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, with 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 an 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 conditions 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, with 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 numbers(s) of each affected grant.

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

Attachment F.--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.

[[Page 38361]]

    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency may 
terminate this transaction for cause or default.

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

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


[[Page 38362]]



Attachment G.--State Single Points of Contact (SPOCs)

    It is estimated that in 2001, the Federal Government will outlay 
$305.6 billion in grants to State and local governments. Executive 
Order 12372, ``Intergovernmental Review of Federal Programs,'' was 
issued with the desire to foster the intergovernmental partnership 
and strengthen federalism by relying on State and local processes 
for the coordination and review of proposed Federal financial 
assistance and direct Federal development. The Order allows each 
State to designate an entity to perform this function. Below is the 
official list of those entities. For those States that have a home 
page for their designated entity, a direct link has been provided 
below. States that are not listed on this page have chosen not to 
participate in the intergovernmental review process, and therefore 
do not have a SPOC. If you are located within one of these States, 
you may still send application materials directly to a Federal 
awarding agency.
    Arizona: Joni Saad, Arizona State Clearinghouse, 3800 N. Central 
Avenue, Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 
280-1315, Fax: (602) 280-8144, [email protected].
    Arkansas: Tracy L. Copeland, Manager, State Clearinghouse, 
Office of Intergovernmental Services, Department of Finance and 
Administration, 1515 W 7th St., Room 412, Little Rock, Arkansas 
72203, Telephone: (501) 682-1074, Fax: (501) 682-5206, 
[email protected].
    California: Grants Coordination, State Clearinghouse, Office of 
Planning and Research, P.O. Box 3044, Room 222, Sacramento, 
California 95812-3044, Telephone: (916) 445-0613, Fax: (916) 323-
3018, [email protected].
    Delaware: Charles H. Hopkins, Executive Department, Office of 
the Budget, 540 S. Dupont Highway, 3rd Floor, Dover, Delaware 19901, 
Telephone: (302) 739-3323, Fax: (302) 739-5661, 
[email protected].
    District of Columbia: Ron Seldon, Office of Grants Management 
and Development, 717 14th Street, NW., Suite 1200, Washington, DC 
20005, Telephone: (202) 727-1705, Fax; (202) 727-1617, [email protected].
    Florida: Cherie L. Trainor, Florida State Clearinghouse, 
Department of Community Affairs, 2555 Shumard Oak Blvd., 
Tallahassee, Florida 32399-2100, Telephone: (850) 922-5438, (850) 
414-5495 (direct), Fax: (850) 414-0479, 
[email protected].
    Georgia: Georgia State Clearinghouse, 270 Washington Street SW, 
Atlanta, Georgia 30334, Telephone: (404) 656-3855, Fax: (404) 656-
7901, [email protected].
    Illinois: Virginia Bova, 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-
8485, [email protected].
    Indiana: Frances Williams, State Budget Agency, 212 State House, 
Indianapolis, Indiana 46204-2796, Telephone: (317) 232-2972, Fax: 
(317) 233-3323, [email protected].
    Iowa: Steven R. McCann, Division of Community and Rural 
Development, Iowa Department of Economic Development, 200 East Grant 
Avenue, Des Moines, Iowa 50309, Telephone: (515) 242-4719, Fax: 
(515) 242-4809, [email protected].
    Kentucky: Ron Cook, Department for Local Government, Kentucky 
State Clearinghouse, 1024 Capital Center Drive, Suite 340, 
Frankfort, Kentucky 40601, Telephone: (502) 573-2382, Fax: (502) 
573-0175, [email protected].
    Maine: Joyce Benson, State Planning Office, 184 State Street, 38 
State House Station, Augusta, Maine 04333, Telephone: (207) 287-
3261, (207) 287-1461 (direct), Fax: (207) 287-6489, 
[email protected].
    Maryland: Linda Janey, Manager, Clearinghouse and Plan Review 
Unit, Maryland Office of Planning, 301 West Preston Street--Room 
1104, Baltimore, Maryland 21201-2305, Telephone: (410) 767-4490, 
Fax: (410) 767-4480, [email protected].
    Michigan: Richard Pfaff, Southeast Michigan Council of 
Governments, 660 Plaza Drive--Suite 1900, Detroit, Michigan 48226, 
Telephone: (313) 961-4266, Fax: (313) 961-4869, [email protected].
    Mississippi: Cathy Mallette, Clearinghouse Officer, Department 
of Finance and Administration, 550 High Street, 303 Walters Sillers 
Building, Jackson, Mississippi 39201-3087, Telephone: (601) 359-
6762, Fax: (601) 359-6758.
    Missouri: Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Jefferson Building, Room 915, 
Jefferson City, Missouri 65102, Telephone: (573) 751-4834, Fax: 
(573) 522-4393, [email protected].
    Nevada: Heather Elliott, Department of Administration, State 
Clearinghouse, 209 E. Musser Street, Room 200, Carson City, Nevada 
89701, Telephone: (775) 684-0209, Fax: (775) 684-0260, 
[email protected].
    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, 
[email protected].
    New Mexico: Ken Hughes, Local Government Division, Room 201 
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone 
(505) 827-4370, Fax: (505) 827-4948, [email protected].
    North Carolina: Jeanette Furney, Department of Administration, 
1302 Mail Service Center, Raleigh, North Carolina 27699-1302, 
Telephone: (919) 807-2323, Fax: (919) 733-9571, 
[email protected].
    North Dakota: Jim Boyd, Division of Community Services, 600 East 
Boulevard Ave, Dept 105, Bismarck, North Dakota 58505-0170, 
Telephone: (701) 328-2094, Fax: (701) 328-2308, [email protected].
    Rhode Island: Kevin Nelson, Department of Administration, 
Statewide Planning Program, One Capitol Hill, Providence, Rhode 
Island 02908-5870, Telephone: (401) 222-2093, Fax: (401) 222-2083, 
[email protected].
    South Carolina: Omeagia Burgess, 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, [email protected].
    Texas: Tom Adams, Governors Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, Fax: (512) 936-2681, [email protected].
    Utah: Carolyn Wright, Utah State Clearinghouse, Governor's 
Office of Planning and Budget, State Capitol--Room 114, Salt Lake 
City, Utah 84114, Telephone: (801) 538-1535, Fax: (801) 538-1547, 
[email protected].
    West Virginia: Fred Cutlip, Director, Community Development 
Division, West Virginia Development Office, Building #6, Room 553, 
Charleston, West Virginia 25305, Telephone: (304) 558-4010, Fax: 
(304) 558-3248, [email protected].
    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, [email protected].
    Wyoming: Sandy Ross, Department of Administration and 
Information, 2001 Capitol Avenue, Room 214, Cheyenne, WY 82002, 
Telephone: (307) 777-5492, Fax: (307) 777-3696, 
[email protected].
    Guam: Director, Bureau of Budget and Management Research, Office 
of the Governor, P.O. Box 2950, Agana, Guam 96910, Telephone: 011-
671-472-2285, Fax: 011-472-2825, [email protected].
    Puerto Rico: Norma Burgos/Jose E. Caro, Puerto Rico Planning 
Board, Federal Proposals Review Office, Minillas Government Center, 
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 
727-4444, (809) 723-6190, Fax: (809) 724-3270.
    North Mariana Islands: Ms. Jacoba T. Seman, Federal Programs 
Coordinator, Office of Management and Budget, Office of the 
Governor, Saipan, MP 96950, Telephone: (670) 664-2289, Fax: (670) 
664-2272, omb.jseman@saipan. com.
    Virgin Islands: Ira Mills, Director, Office of Management and 
Budget, #41 Norre Gade Emancipation Garden Station, Second Floor, 
Saint Thomas, Virgin Islands 00802, Telephone: (340) 774-0750, Fax: 
(340) 776-0069, [email protected].
    Changes to this list can be made only after OMB is notified by a 
State's officially designated representative. E-mail messages can be 
sent to [email protected]. If you prefer, you may send 
correspondence to the following postal address: Attn: Grants 
Management, Office of Management and Budget, New Executive Office 
Building, Suite 6025, 725 17th Street, NW, Washington, DC 20503.

Attachment H.--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of

[[Page 38363]]

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, an officer or emplyee of Congress, or an employee of a 
Member of Congress in connection with the awarding of any Federal 
contract, the making of any Federal grant, the making of any Federal 
loan, the entering into of any cooperative agreement, and the 
extension, continuation, renewal, amendment, or modification of any 
Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with the 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

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Title

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Organization

BILLING CODE 4184-01-P

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[GRAPHIC] [TIFF OMITTED] TN20JN00.003

Instructions for Completion of SF-ILL, Disclosure of Lobbying 
Activities

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, as the initiation or 
receipt of a covered Federal action, or a material change to a 
previous filing, pursuant to title 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 tier. 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 
Staates Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action

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(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 
instruction, 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 information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0046), 
Washington, DC 20503.

Attachment I.--Department of Health and Human Services (DHHS) 
Regulations Applying to All Applicants/Grantees Under the Fiscal 
Year 2000/2001 Discretionary Grants Program

Title 45 of the Code of Federal Regulations

Part

16--DHHS Grant Appeals Process
74--Administration of Grants (non-governmental)
74--Administration of Grants (state and local governments and Indian 
Tribal affiliates):

Section

    74.26--Non-Federal Audits
    74.27--Allowable cost for hospitals and non-profit organizations 
among other things
    74.32--Real Property
    74.34--Equipment
    74.35--Supplies
    74.24--Program Income
75--Informal Grant Appeal Procedures
76--Debarment and Suspension from Eligibility for Financial 
Assistance

Subpart F--Drug Free Workplace Requirements

Part

80--Non-discrimination Under Programs Receiving Federal Assistance 
through DHHS Effectuation of Title VI of the Civil Rights Act of 
1964
81--Practice and Procedures for Hearings Under Part 80 of this Title
83--Regulation for the Administration and Enforcement of Sections 
799A and 845 of the Public Health Service Act
84--Non-discrimination on the Basis of Handicap in Programs and 
Activities Receiving Federal Financial Assistance
85--Enforcement of Non-discrimination on the Basis of Handicap in 
Programs or Activities Conducted by DHHS
86--Non-discrimination on the Basis of Sex in Education Programs and 
Activities Receiving or Benefitting from Federal Financial 
Assistance
91--Non-discrimination on the Basis of Age in Health and Human 
Services Programs or Activities Receiving Federal Financial 
Assistance
92--Uniform Administrative Requirements for Grants and Cooperative 
Agreements to States and Local Governments (Federal Register, March 
11, 1988)
93--New Restrictions on Lobbying
100--Intergovernmental Review of DHHS Programs and Activities

Attachment J.--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 regulatory for 
provision of health, day care, education, or library services to 
children under the age of 18, if the services are funded by Federal 
programs either directly or through State or local governments, by 
Federal grant, contract, loan, or loan guarantee. The law does not 
apply to children's services provided in private residences, 
facilities funded solely by Medicare or Medicaid funds, and portions 
of facilities used for inpatient drug or alcohol treatment. Failure 
to comply with the provisions of the law may result in the 
imposition of a civil monetary penalty of up to $1000 per day and/or 
the imposition of an administrative compliance order on the 
responsible entity. By signing and submitting this application the 
applicant/grantee certifies that it will comply with the 
requirements of the Act.
    The applicant/grantee further agrees that it will require the 
language of this certification be included in any subawards which 
contain provisions for the children's services and that all 
subgrantees shall certify accordingly.

Attachment K.--Guidelines for a Business Plan

    The application must contain a detailed and specific workplan or 
business plan that is both sound and feasible. Generally, a business 
plan is required for applications submitted under sub-priority areas 
1.1, 1.2 and 1.4. For all business ventures (except for business 
development opportunities for self-employed program participants) a 
complete business plan will be required using guidelines discussed 
in the next several paragraphs. For the remaining sub-priority 
areas, a workplan is acceptable in lieu of a business plan.
    Please note that OCS does not require the application to contain 
business plans for each self-employed program participant. However, 
a project that proposes to provide self-employed and other business 
opportunities for program participants must include a development 
plan that shows how participants will become self-sufficient and how 
their technical assistance needs will be met.

Guidelines of a Business Plan

    The business plan is one of the major components that will be 
evaluated by the OCS to determine the feasibility of a business 
venture or an economic development project. It must be well prepared 
and address all the relevant elements as follows:
    (a) Executive Summary (limit summary to 3 pages)
    (b) The business and its industry. This section should describe 
the nature and history of the business and provide some background 
on its industry.
    (i) The Business: as a legal entity the general business 
category;
    (ii) Description and Discussion of Industry: current status and 
prospects for the industry;
    (c) Products and Services: This section deals with the 
following:
    (i) Description: Describe in detail the products or services to 
be sold;
    (ii) Proprietary Position: Describe proprietary features if any 
of the product, e.g., patients, trade secrets;
    (iii) Potential: Features of the product or service that may 
give it an advantage over the competition;
    (d) Market Research and Evaluation: The applicant should 
consider businesses in growth industries and occupations with skill 
levels accessible to low income persons. Businesses should be 
identified by Standard Industrial Codes (SIC) and jobs by 
occupational classifications. This information is published by the 
U.S. Department of Commerce in the ``Statistical Abstract of the 
United States, 1996'', Table No. 646 and 647. Also, you may use the 
table included as ``Attachment L'' to identify industrial areas and 
occupational classifications. This section should present sufficient 
information to show that the product or service has a substantial 
market and can achieve sales in the face of competition;
    (i) Customers: Describe the actual and potential purchasers for 
the product or service by market segment.
    (ii) Market Size and Trends: State the site of the current total 
market for the product or service offered;
    (iii) Competition: An assessment of the strengths and weaknesses 
of competitive in the current market;

[[Page 38366]]

    (iv) Estimated Market Share and Sales: Describe the 
characteristics of the product or service that will make it 
competitive in the current market;
    (e) Marketing Plan: The marketing plan should detail the 
product, pricing, distribution, and promotion strategies that will 
be used to achieve the estimated market share and sales projections. 
The marketing plan must describe what is to be done, how it will be 
done and who will do it. The plan should address the following 
topics-Overall Marketing Strategy, Packaging, Service and Warranty, 
Pricing, Distribution and Promotion.
    (f) Design and Development Plans: If the product, process or 
service of the proposed venture requires any design and development 
before it is ready to be placed on the market, the nature and extent 
and cost of this work should be fully discussed. The section should 
cover items such as Development Status and Tasks, Difficulties and 
Risks, Product Improvement and New Products, and Costs.
    (g) Manufacturing and Operations Plan: A manufacturing and 
operations plan should describe the kind of facilities, plant 
location, space, capital equipment and labor force (part and/or full 
time and wage structure) that are required to provide the company's 
product or service.
    (h) Management Team: The management team is the key in starting 
and operating a successful business. The management team should be 
committed with a proper balance of technical, managerial and 
business skills, and experience in doing what is proposed. This 
section must include a description of: the key management personnel 
and their primary duties; compensation and/or ownership; the 
organizational structure; Board of Directors; management assistance 
and training needs; and supporting professional services.
    (i) Overall Schedule: A schedule that shows the timing and 
interrelationships of the major events necessary to launch the 
venture and realize its objectives. Prepare, as part of this 
section, a month-by-month schedule that shows the timing of such 
activities as product development, market planning, sales programs, 
and production and operations. Sufficient detail should be included 
to show the timing of the primary tasks required to accomplish each 
activity.
    (j) Critical Risks and Assumptions: The development of a 
business has risks and problems and the Business Plan should contain 
some explicit assumptions about them. Accordingly, identify and 
discuss the critical assumptions in the Business Plan and the major 
problems that will have to be solved to develop the venture. This 
should include a description of the risks and critical assumptions 
relating to the industry, the venture, its personnel, the products 
market appeal, and the timing and financing of the venture.
    Also, if a ``construction project'' is involved, the Business 
Plan should identify and address briefly the project's timeframes 
and critical assumptions for conduct of predevelopment, 
architectural/engineering and environmental studies, etc., and 
acquisition of permits for building, use and occupancy that are 
required for the project.
    (k) Community Benefits: The proposed project must contribute to 
economic, human and community development within the projects 
targets area. A section that describes and discusses the potential 
economic and non-economic benefits to low income members of the 
community must be included as well as a description of the strategy 
that will be used to identify and hire individuals being served by 
public assistance programs and how linkages with community agencies/
organizations administering the AFDC/TANF program will be developed. 
The following project benefits must be described:

Economic Development and Job Creation

--Number of jobs that will have career development opportunities and 
a description of those jobs;
--Number of jobs that will be filled by individuals lifted form 
AFDC/TANF assistance;
--Number of Self-employed and other ownership opportunities created 
for low-income residents;
--Annual salary expected for each person employed (net profit after 
deductions of business expenses for self-employed persons);
--Specific steps to be taken including on-going management support 
and technical assistance provided by the grantee or a third party of 
develop and sustain self-employed program participants after their 
businesses are in place.

    Note: OCS will not recognize job equivalents nor job counts 
based on economic multiplier functions; jobs must be specifically 
identified.

    Other benefits, which might be discussed, are:

Human Development

--New technical skills development and associated career 
opportunities for community residents;
--Management development and training;
--Benefits of self-sufficient for persons lifted from AFDC/TANF 
assistance.

Community Development

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

    (l) The Financial Plan: The Financial Plan is basic to the 
development of a Business Plan. Its purpose is to indicate the 
project's potential and the timetable for financial self-
sufficiency. In developing the Financial Plan, the following 
exhibits must be prepared for the first three years of the business' 
operation:
    (i) Profit and Loss Forecasts--quarterly for each year;
    (ii) Cash Flow Projections--quarterly for each year.
    (iii) Pro forma balance sheets--quarterly for each year;
    Also, additional financial information for the business 
operations that must be included are an initial Source and Use of 
Funds Statement for project funds and a brief summary paragraph 
discussing any further capital requirements and their sources.
    If an applicant is proposing a project which will affect a 
property listed in, or eligible for inclusion in the National 
Register of Historic Places, it must identify this property in the 
narrative and explain how it has complied with the provisions of 
Section 106 of the National Historic Preservation Act of 1966 as 
amended. If there is any question as to whether the property is 
listed or eligible for inclusion in the National Register of 
Historic Places, the applicant should consult with the State 
Historic Preservation Officer. (See Attachment D': SF-424B, Item 13 
for additional guidance.) The applicant should contact OCS early in 
the development of its application for instructions regarding 
compliance with the Act and data required to be submitted to the 
Department of Health and Human Services. Failure to comply with the 
cited Act may result in the application being ineligible for funding 
consideration.

Applicable to Sub-Priority Area 1.1, 1.2, and 1.4

    Applications submitted under Sub-Priority Areas 1.1, 1.2 and 1.4 
which propose to use the requested OCS funds to make an equity 
investment or a loan to a business concern, including a wholly-owned 
subsidiary, or to make a sub-grant with a portion of OCS funds, must 
include a written agreement between the community development 
corporation and the recipient of the grant funds which contains all 
of the elements listed in Part C under the appropriate Priority 
Area.

Applicable to Sub-Priority Area 1.5 Only

    An applicant in this priority area must document its experience 
and capability in several of the following areas:

--Business/Development;
--Micro-Entrepreneurship Development;
--Commercial Development;
--Organizaitonal and Staff Development;
--Board Training;
--Business Management, including Strategic Planning and Fiscal 
Management;
--Finance, including Business Packaging and Financial/Accounting 
Service, and/or
--Regulatory compliance including Zoning and permit Compliance
--Incubator Development
--Tax Credits and Bond Financing
--Marketing

    The applicant must document staff competence or the 
accessibility of third party resources with proven competence. If 
the work program requires the significant use of third party 
(consultant/contractor) resources, those resources should be 
identified and resumes of the individuals or key organizational 
staff provided.
    Resumes of the applicant's staff, who are to be directly 
involved in programmatic and administrative expertise sharing, 
should also be included. The applicant must document successful 
experience in the mobilization of resources (both cash and in-kind) 
from private and public sources. The applicant must also clearly 
state how the information learned from this project may be 
disseminated to other interested grantees.

Applicable to Sub-Priority Area 1.6 Only

    An applicant in this priority area must document its experience 
and capability in

[[Page 38367]]

implementing projects national in scope and have significant and 
relative experiences in working with community development 
corporations.
    The applicant must have the ability to collect and analyze data 
nationally that may benefit CDCs and be able to disseminate 
information to all of OCS funding grantees; publish a national 
directory of funding sources for CDCs (public, corporate, 
foundation, religious); publish research papers on specific aspects 
of job creation by CDCs; design and provide information on 
successful projects and economic niches that CDCs can target. The 
applicant will also be responsible for the development of 
instructional programs, national conferences, seminars, and other 
activities to assist community development corporations; and provide 
peer-to-peer technical assistance to OCS funded CDCs.

Applicable to Sub-Priority Area 2.1

    Each applicant must include a full discussion of how the 
proposed use of funds will enable low-income rural communities to 
develop the capability and expertise to establish and maintain 
affordable, adequate and safe water and waste water systems. 
Applicants must also discuss how they will disseminate information 
about water and waste water programs serving rural communities, and 
how they will better coordinate Federal, State and local water and 
waste water program financing and development to assure improved 
service to rural communities.
    Among the benefits that merit discussion under this sub-priority 
area are: The number of rural communities to be provided with 
technical and advisory services; the number of rural poor 
individuals who are expected to be directly served by applicant-
supported improved water and waste water systems; the decrease in 
the number of inadequate water systems related to applicant 
activity; the number of newly-established and applicant-supported 
treatment systems (all of the above may be expressed in terms of 
equivalent connection units); the increase in local capacity in 
engineering and other areas of expertise; and the amount of non-
discretionary program dollars expected to be mobilized.
    e. Significant and Beneficial Impact and Other Criteria. The 
project narrative must address the remaining aspects of the project 
noted in the outline of Part F, ``Contents of Application and 
Receipt Process'', Items V and VI. These include private 
partnerships and Budget Appropriateness and Reasonableness'' areas 
as well as information to be included in the appendices.

Attachment L.--Table of Standard Industrial Codes and Occupational 
Classifications

Standard Industrial (SIC) Codes

Agriculture
Mining
Construction
Manufacturing
Transportation, and Public Utilities
Wholesale and Retail Trade
Finance, Insurance and Real Estate Services
Government

Occupational Classifications

Managerial and Professional Specialty Technical sales, and 
Administrative support (includes technicians and related support, 
technicians, sales occupations, including clerical)
Precision Production, Craft, and Repair (includes mechanics, 
repairers, construction trades, crafters)
Operators, fabricators, and Laborers (includes machine operators, 
assemblers, inspectors, transportation and material moving 
occupations, handlers, equip cleaners, Helpers, laborers including 
construction laborers)
Farming, Forestry and Fishing

    Source: U.S. Department of Commerce, ``Statistical Abstract of 
the United States, 1996'', Table Nos. 646 and 647. Updated 1998. 
Table Nos. 679 and 680.

BILLING CODE 4184-01-M

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[GRAPHIC] [TIFF OMITTED] TN20JN00.004

[FR Doc. 00-15061 Filed 6-19-00; 8:45 am]
BILLING CODE 4184-01-P