[Federal Register Volume 67, Number 35 (Thursday, February 21, 2002)]
[Notices]
[Pages 8074-8107]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-3564]



[[Page 8073]]

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

Part II





Department of Health and Human Services





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



Administration for Children and Families



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



Request for Applications Under the Office of Community Services' Fiscal 
Year 2002 Job Opportunities for Low-Income Individuals (JOLI) Program; 
Notice

  Federal Register / Vol. 67, No. 35 / Thursday, February 21, 2002 / 
Notices  

[[Page 8074]]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS-2002-06]


Request for Applications Under The Office of Community Services' 
Fiscal Year 2002 Job Opportunities for Low-income Individuals (JOLI) 
Program

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

ACTION: Announcement of availability of funds and request for 
applications under the Office of Community Services' FY 2002 Job 
Opportunities for Low-income Individuals (JOLI) Program.

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

SUMMARY: The Administration for Children and Families (ACF), Office of 
Community Services (OCS), announces that, based on availability of 
funds, competing applications will be accepted for new grants pursuant 
to the Secretary's discretionary authority under section 505 of the 
Family Support Act of 1988, as amended.

DATES: To be considered for funding, applications must be postmarked on 
or before April 22, 2002. Applications postmarked after that date will 
not be accepted for consideration. Detailed application submission 
instructions including the addresses to which applications must be 
submitted are found in Part IV-B, Application Submission.

FOR FURTHER INFORMATION, CONTACT: Ros Relaford, Technical Assistance 
Manager, OCS Operations Center, Call: 1-800-281-9519

    or E-mail: [email protected].

    For a copy of this announcement, contact: OCS Operations Center, 
1815 North Fort Meyer Drive, Suite 300, Arlington, Virginia 22209, 1-
800-281-9519.
    In addition, this announcement is accessible on the OCS website for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm.
    If this Program Announcement is not available at these sources, it 
may be obtained by telephoning or writing the office listed under For 
Further Information, Contact.

    The Catalog of Federal Domestic Assistance number for this 
program is 93.593. The title is Job Opportunities for Low-income 
Individuals (JOLI) Program.


SUPPLEMENTARY INFORMATION: This program announcement consists of seven 
parts plus Attachments.

Part I--Background Information

A. Legislative Authority
B. Program Purpose
C. Project Goals
D. Definitions of Terms

Part II--Program Objectives and Requirements

A. Eligible Applicants
B. Project and Budget Periods
C. Availability of Funds and Grant Amounts
D. Mobilization of Resources
E. Program Participants/Beneficiaries
F. Prohibition and Restrictions on the Use of Funds
G. Multiple Submittals
H. Re-Funding
I. Sub-Contracting or Delegating Projects
J. Maintenance of Effort
K. Program Focus
L. Creation of Jobs and Employment Opportunities
M. Cooperative Partnership Agreement with the Designated Agency 
Responsible for the Temporary Assistance for Needy Families (TANF) 
Program
N. Third Party Project Evaluation
O. Economic Development Strategy
P. Training and Support for Micro-Business Development
Q. Cooperative Partnership Agreement with the Designated Agency 
Responsible for the Child Support Enforcement(CSE)Program Support 
for Non-custodial Parents
R. Technical Assistance to Employers
S. Applicant Experience and Cost-per-Job
T. Loan Funds
U. Business Plan
V. Dissemination of Project Results
W. Third Party Agreements

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

A. Purpose
B. Project Summary/Abstract
C. Objectives and Need for Assistance
D. Results or Benefits Expected
E. Approach
F. Organizational Profiles
G. Budget and Budget Justification
H. Non-Federal Resources
I. Evaluation Criteria

Part IV--Application Procedures

A. Availability of Forms
B. Application Submission
C. Intergovernmental Review
D. Application Consideration
E. Criteria for Screening Applications

Part V--Instructions for Completing Forms SF-424

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

Part VI--Contents of Application and Receipt Process

A. Contents of Application
B. Application Format
C. Acknowledgement of Receipt

Part VII--Post Award Information and Reporting Requirements

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

Attachments

Application forms and required Attachments.

Paperwork Reduction Act of 1995

    Public reporting burden for this collection of information is 
estimated to average 10 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed and 
reviewing the collection information. The project description is 
approved under Office of Management and Budget (OMB) Control Number 
0970-0139 which expires 12/31/2003. An agency may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.

Part I--Background Information

A. Legislative Authority

    Section 505 of the Family Support Act of 1988, Public Law 100-485, 
as amended, authorizes the Secretary of HHS to enter into agreements 
with nonprofit organizations (including community development 
corporations) for the purpose of conducting projects designed to create 
employment opportunities for certain low-income individuals (42 U.S.C. 
9926).

B. Program Purpose

    The purpose of the JOLI program is to test and evaluate ways of 
creating employment and business opportunities for individuals 
receiving Temporary Assistance for Needy Families (TANF) assistance and 
other low-income individuals through self-employment, micro-enterprise, 
new business ventures, expansion of existing businesses through 
technical and financial assistance and non traditional initiatives.

C. Project Goals

    The ultimate goals of the projects to be funded under the JOLI 
Program are:
    (1) To achieve through project activities and interventions, the 
creation of new employment opportunities for TANF recipients and other 
low-income

[[Page 8075]]

individuals which can lead to economic self-sufficiency of members of 
the communities served;
    (2) To evaluate the effectiveness of these interventions and of the 
project design through which they were implemented; and
    (3) To make possible the replication of successful programs.

D. Definitions of Terms

    For purposes of this Program Announcement, the following 
definitions apply:
    (1) Budget period: The interval of time into which a multi-year 
period of assistance (project period) is divided for budgetary and 
funding purposes.
    (2) Community-level data: Key information to be collected by each 
grantee that will allow for a national-level analysis of common 
features of JOLI projects. This consists of data on the population of 
the target area, including the percentage of TANF recipients and others 
on public assistance, and the percentage whose incomes fall below the 
poverty line; the unemployment rate; the number of new business starts 
and business closings; and a description of the major employers and 
average wage rates and employment opportunities with those employers.
    (3) Community development corporation: A private, nonprofit entity, 
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.
    (4) Hypothesis: An assumption made in order to test its validity. 
It should assert a cause-and-effect relationship between a program 
intervention and its expected result. Both the intervention and result 
must be measured in order to confirm the hypothesis. For example, the 
following is a hypothesis: ``Eighty hours of classroom training in 
small business planning will be sufficient for participants to prepare 
a successful loan application.'' In this example, data would be 
obtained on the number of hours of training actually received by 
participants (the intervention), and the quality of loan applications 
(the result), to determine the validity of the hypothesis (that eighty 
hours of training is sufficient to produce the result).
    (5) Intervention: Any planned activity within a project that is 
intended to produce changes in the target population and/or the 
environment and that can be formally evaluated. For example, assistance 
in the preparation of a business plan and loan package are planned 
interventions.
    (6) Job creation: To bring about, by activities and services funded 
under this program, new jobs, that is, jobs that were not in existence 
before the start of the project. These activities can include self-
employment/micro-enterprise training, the development of new business 
ventures or the expansion of existing businesses.
    (7) Nonprofit organization: Any organization (including a community 
development corporation) exempt from taxation under section 501(a) of 
the Internal Revenue Code of 1986 by reason of paragraph (3) or (4) of 
Section 501(c) of such Code.
    (8) Non-traditional employment for women or minorities: Employment 
in an industry or field where women or minorities currently make up 
less than twenty-five percent of the work force.
    (9) Outcome evaluation: An assessment of project results as 
measured by collected data which define the net effects of the 
interventions applied in the project. An outcome evaluation will 
produce and interpret findings related to whether the interventions 
produced desirable changes and their potential for replicability. It 
should answer the question: Did this project work?
    (10) Private employers: Third party nonprofit organizations or 
third party for-profit businesses operating or proposing to operate in 
the same community as the applicant, and which are proposed or 
potential employers of project participants.
    (11) Process evaluation: The ongoing examination of the 
implementation of a program. It focuses on the effectiveness and 
efficiency of the program's activities and interventions (for example, 
methods of recruiting participants, quality of training activities, or 
usefulness of follow-up procedures). It should answer questions such 
as: Who is receiving what services and are the services being delivered 
as planned? It is also known as formative evaluation, because it 
gathers information that can be used as a management tool to improve 
the way a program operates while the program is in progress. It should 
also identify problems that occurred and how they were dealt with and 
recommend improved means of future implementation. It should answer the 
question: ``How was the program carried out?'' In concert with the 
outcome evaluation, it should also help explain, ``Why did this program 
work/not work?''; and, ``What worked and what did not?''
    (12) Program participant/beneficiary: An individual eligible to 
receive TANF assistance under Title I of the Personal Responsibility 
and Work Opportunity Reconciliation Act of 1996 (Part A of Title IV of 
the Social Security Act) and any other individual whose income level 
does not exceed 100 percent of the official poverty line as found in 
the most recent revision of the Poverty Income Guidelines published by 
the Department of Health and Human Services. (See Attachment A.)
    (13) Project period: The total time a project is approved for 
support, including any extensions.
    (14) Self-sufficiency: A condition where an individual or family, 
by reason of employment, does not need and is not eligible for public 
assistance.
    (15) Third party: Any individual, organization, or business entity 
that is not the direct recipient of grant funds.
    (16) 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.
    (17) Third party in-kind contributions: The value of non-cash 
contributions provided by non-federal third parties which may be in the 
form of real property, equipment, supplies and other expendable 
property, and the value of goods and services directly benefitting and 
specifically identifiable to the project or program.

Part II--Program Objectives and Requirements

    The objective of the JOLI program is to conduct projects to create 
new employment and business opportunities for certain low-income 
individuals through the provision of technical and financial assistance 
to private employers in the community, self-employment/micro-enterprise 
programs, and/or new business development programs.

A. Eligible Applicants

    Organizations eligible to apply for funding under this program are 
nonprofit organizations (including community development corporations 
and charitable organizations) that are exempt from taxation under 
section 501(a) of the Internal Revenue Code of 1986 by reason of 
paragraph (3) or (4) of section 501(c) of such Code. Applicants must 
provide documentation of their tax exempt status. The applicant can 
accomplish this by providing a copy of the applicant's listing in the 
Internal Revenue Service's (IRS) most recent list of tax-exempt 
organizations described in section 501(c)(3) of the IRS Code or by 
providing a copy of the currently valid IRS tax exemption certificate. 
Failure to

[[Page 8076]]

provide evidence of Section 501(c)(3) or (4) tax exempt status will 
result in rejection of the application.

B. Project and Budget Periods

    The Personal Responsibility and Work Opportunity Reconciliation Act 
of 1996, Public Law 104-193, reauthorized and modified Section 505 of 
the Family Support Act of 1988, the JOLI authorizing legislation. Among 
the modifications effected was the deletion of sub-section (e) that had 
legislatively-mandated project duration. Applicants are therefore free 
to apply for projects from one to three year durations, depending on 
the proposed work program and the applicant's assessment of the time 
required to achieve the proposed project goals.
    OCS has made the programmatic determination that the nature of job 
creation and career development projects which meet the funding 
criteria set forth in this announcement is such that it is not feasible 
to divide funding into 12-month increments, and that completion of the 
entire project is in each case necessary to achieve the purposes of the 
JOLI program. Consequently, budget periods for grants under this 
announcement may be up to three years.

C. Availability of Funds and Grant Amounts

    All grant awards are subject to the availability of appropriated 
funds. It is anticipated that approximately $4,750,000 will be 
available in FY 2002 for JOLI for new grants.
    The 1996 amendments to the JOLI authorizing legislation also 
deleted the limitation on the number of grants to be made in any one 
fiscal year. Thus, OCS expects to award up to 7 new grants in FY 2002, 
based on the amounts requested and contingent on the availability of 
funds. Given the limited funds available for the JOLI program, 
applicants should make a realistic assessment of the time and funds 
needed to achieve the goals set forth in their proposal, and design a 
work program and budget accordingly. The grant request should be for an 
amount needed, up to a maximum of $700,000, to implement that part of 
the project plan supported by OCS funds, taking into consideration 
other cash and in-kind resources mobilized by the applicant in support 
of the proposed project. (See Paragraph D, below, Mobilization of 
Resources, and Part III, Element VI: Budget Appropriateness and 
Reasonableness.)
    In summary, grants of up to $700,000 in OCS funds for project 
periods and budget periods of up to three years will be awarded to 
selected organizations under this program in FY 2002.

D. Mobilization of Resources

    OCS will give favorable consideration in the review process to 
applicants who mobilize cash and/or third party in-kind contributions 
for direct use in the project. The firm commitment of these resources 
must be documented and submitted with the application in order to be 
given credit in the review process under the Public-Private 
Partnerships project element (Part III, Element V). Except in unusual 
situations, this documentation must be in the form of letters of 
commitment from the organization(s)/individual(s) from which resources 
will be received. Even though there is no matching requirement for the 
JOLI Program, grantees will be held accountable for any match, cash or 
in-kind contribution proposed or pledged as part of an approved 
application. (See Part III, Element V, and Part V, Instructions for 
Completing the SF-424, Section C, Non-Federal Resources.)

E. Program Participants/Beneficiaries

    A low-income individual eligible to participate in a project 
conducted under this program is any individual eligible to receive TANF 
assistance under a State program funded under Part A of Title IV of the 
Social Security Act, or any other individual whose income level does 
not exceed 100 percent of the official poverty line. Within these 
categories, emphasis should be on individuals who are receiving TANF 
assistance or its equivalent under State auspices; those who are 
unemployed; those residing in public housing or receiving housing 
assistance; non-custodial parents, and those who are homeless.
    Attachment A to this announcement is an excerpt from the current 
poverty guidelines. Annual revisions of these guidelines are normally 
published in the Federal Register in February or early March. Grantees 
will be required to apply the most recent guidelines throughout the 
project period. These revised guidelines also may be obtained at public 
libraries, Congressional offices, by writing the Superintendent of 
Documents, U.S. Government Printing Office, Washington, DC 20402, or by 
accessing the following website: ``http://aspe.os.dhhs.gov/poverty/
poverty.htm''.
    No other government agency or privately-defined poverty guidelines 
are applicable for the determination of low-income eligibility for this 
program.

F. Prohibition and Restrictions on the Use of Funds

    The use of funds for new construction or the purchase of real 
property is prohibited. Costs incurred for the rearrangement and 
alteration of facilities required specifically for the grant program 
are allowable when specifically approved in advance by ACF in writing.
    If the applicant is proposing a project which will affect a 
property listed in, or is eligible for inclusion in, the National 
Register of Historic Places, it must identify this property in the 
narrative and explain how it has complied with the provisions of 
section 106 of the National Historic Preservation Act of 1966 as 
amended. If there is any question as to whether the property is listed 
in, or is eligible for inclusion in, the National Register of Historic 
Places, the applicant should consult with the State Historic 
Preservation Officer. (See Attachment D: SF-424B, Item 13 for 
additional guidelines.) Failure to comply with the cited Act will 
result in the application being ineligible for funding consideration.

G. Multiple Submittals

    Due to the limited amount of funds available under this program, 
only a single proposal from any one eligible applicant will be funded 
by OCS from FY 2002 JOLI funds pursuant to this announcement.

H. Re-funding

    OCS will not provide funding to a previously funded grantee to 
carry out the same work plan in the same target area.

I. Sub-Contracting or Delegating Projects

    An applicant will not be funded where the proposal indicates that 
the applicant, if funded, will serve as a straw-party, that is, act as 
a mere conduit of funds to a third party without performing a 
substantive role itself. This prohibition does not bar sub-contracting 
or sub-awarding for specific services or activities needed to conduct 
the project.

J. Maintenance of Effort

    The application must include an assurance that activities funded 
under this Program Announcement are in addition to, and not in 
substitution for, activities previously carried out without Federal 
assistance. (See Part VI, Section A.8 and Attachment M.)

K. Program Focus

    The Congressional Conference Report on the 1992 appropriations for 
the Departments of Labor, Health and Human Services, and Education and 
related agencies directed the ACF to

[[Page 8077]]

require economic development strategies as part of the application 
process to ensure that highly qualified organizations participate in 
the program. [H.R. Conf. Rep. No. 282, 102nd Cong., 1st Sess. 39 
(1991)]
    Priority will be given to applicants proposing to serve those areas 
containing the highest percentage of individuals receiving TANF 
assistance under a State program, which is funded under Part A of Title 
IV of the Social Security Act.
    While projected employment in future years may be included in the 
application, it is essential that the focus of the project concentrate 
on the creation of new full-time, permanent jobs and/or new business 
development opportunities for TANF recipients and other low-income 
individuals during the grant project period. OCS is particularly 
interested in receiving innovative proposals that grow out of the 
experience and creativity of applicants and the needs of their 
clientele and communities.
    Applicants should include strategies which seek to integrate 
projects financed and jobs created under this program into a larger 
effort of broad community revitalization which will promote job and 
business opportunities for eligible program participants and impact the 
overall economic environment.
    OCS will only fund projects that create new employment and/or 
business opportunities for eligible program participants. That is, new, 
full-time permanent jobs through the expansion of a pre-identified 
business or new business development, or by providing opportunities for 
self-employment. In addition, projects should enhance the participants' 
capacities, abilities and skills and thus contribute to their progress 
toward self-sufficiency.
    With national welfare reform a reality, and many States 
implementing ``welfare-to-work'' programs, the need for well-paying 
jobs with career potential for TANF recipients becomes ever more 
pressing. In this context, the role of JOLI as a vehicle for exploring 
new and promising areas of employment opportunity for the poor is more 
important than ever.
    Within the JOLI Program framework of job creation through new or 
expanding businesses or self-employment, OCS would welcome proposals 
offering business or career opportunities to eligible participants in a 
variety of fields. For instance, these might include day care and 
transportation, which are not only opportunities for employment, but 
when not available can be serious barriers to employment for TANF 
recipients; environmental justice initiatives involving activities such 
as toxic waste clean-up, water quality management, or Brownfields 
remediation; health-related jobs such as home health aides or medical 
support services; and non-traditional jobs for women and minorities.

L. Creation of Jobs and Employment Opportunities

    The requirement for creation of new, full-time permanent employment 
opportunities (jobs) applies to all applications. OCS has determined 
that the creation of non-traditional job opportunities for women or 
minorities in industries or activities where they currently make up 
less than twenty-five percent of the work force meets the requirements 
of the JOLI legislation for the creation of new employment 
opportunities. OCS continues to solicit other JOLI applications that 
propose the creation of jobs through the expansion of existing 
businesses, the development of new businesses, or the creation of 
employment opportunities through self-employment/micro-enterprise 
development.
    Proposed projects must show that the jobs and/or business/self 
employment opportunities to be created under this program will 
contribute to achieving self-sufficiency among the target population. 
The employment opportunities should provide hourly wages that exceed 
the minimum wage and also provide benefits such as health insurance, 
child care, and career development opportunities.

M. Cooperative Partnership Agreement With the Designated Agency 
Responsible for the TANF Program

    A formal, cooperative relationship between the applicant and the 
designated State agency responsible for administering the TANF program 
(as provided for under Part A of Title IV of the Social Security Act) 
in the area served by the project is a requirement for funding. The 
application should include a signed, written agreement between the 
applicant and the designated State agency responsible for administering 
the TANF program, or a letter of commitment to such an agreement within 
6 months of a grant award (contingent only on receipt of OCS funds). 
The agreement must describe the cooperative relationship, including 
specific activities and/or actions each of these entities propose to 
carry out over the course of the grant period in support of the 
project.
    The agreement, at a minimum, must cover the specific services and 
activities that will be provided to the target population. (See 
Attachment I for a list of the State Human Services Administrators 
administering TANF.)

N. Third Party Project Evaluation

    Proposals must include provision for an independent 
methodologically sound evaluation of the effectiveness of the 
activities carried out with the grant and their efficacy in creating 
new jobs and business opportunities. There must be a well-defined 
process evaluation and an outcome evaluation whose design will permit 
tracking of project participants throughout the proposed project 
period. The evaluation must be conducted by an independent evaluator, 
i.e., a person with recognized evaluation skills who is 
organizationally distinct from, and not under the control of, the 
applicant. It is important that each successful applicant should have a 
third party evaluator selected and performing at the very latest by the 
time the work program of the project is begun, and if possible before 
that time, so that he or she can participate in the final design of the 
program in order to assure that data necessary for the evaluation will 
be collected and available.

O. Economic Development Strategy

    As noted in A. above, the Congress, in the Conference Report on the 
FY 1992 appropriation, directed ACF to require economic development 
strategies as part of the application process for JOLI to ensure that 
highly qualified organizations participate in the program. Accordingly, 
applicants must include in their proposal an explanation of how the 
proposed project is integrated with and supports a larger economic 
development strategy within the target community. Where appropriate, 
applicants should document how they were involved in the preparation 
and planned implementation of a comprehensive community-based strategic 
plan, such as that required for applying for Empowerment Zone/
Enterprise Community (EZ/EC) status, to achieve both economic and human 
development in an integrated manner, and how the proposed project 
supports the goals of that plan. (See Part III, Sub-Element III(b).)

P. Training and Support for Micro-Business Development

    In the case of proposals for creating self-employment micro-
business opportunities for eligible participants, the applicant must 
detail how it will provide training and support services to potential 
entrepreneurs. The assistance to be provided to potential

[[Page 8078]]

entrepreneurs must include, at a minimum: (1) Technical assistance in 
basic business planning and management concepts; (2) assistance in 
preparing a business plan and loan application; and, (3) access to 
business loans.

Q. Support for Noncustodial Parents

    OCS and the Office of Child Support Enforcement (OCSE), both part 
of the ACF, signed a Memorandum of Understanding (MOU) to foster and 
enhance partnerships between OCS grantees and local Child Support 
Enforcement (CSE) agencies. (See Attachment N for the list of CSE State 
Offices that can identify local CSE agencies.) In the words of the MOU:

    ``The purpose of these partnerships will be to develop and 
implement innovative strategies in States and local communities to 
increase the capability of low-income parents and families to 
fulfill their parental responsibilities. Too many low-income parents 
are without jobs or resources needed to support their children. A 
particular focus of these partnerships will be to assist low-income, 
non-custodial parents of children receiving TANF to achieve a degree 
of self-sufficiency that will enable them to provide support that 
will free their families of the need for such assistance.''

    Accordingly, a rating factor and a review criterion have been 
included in this Program Announcement that will award two points to 
applicants who have entered into partnership agreements with their 
local CSE agency to provide for referrals to their project in 
accordance with provisions of the OCS-OCSE MOU. (See Part III, Sub-
Element III(c).)

R. Technical Assistance to Employers

    Technical assistance should be specifically addressed to the needs 
of the private employer in creating new jobs to be filled by eligible 
individuals and/or to the individuals themselves in areas such as job-
readiness, literacy and other basic skills training, job preparation, 
self-esteem building, etc. Financial assistance may be provided to the 
private employer as well as to the individual.
    If the technical and/or financial assistance is to be provided to 
pre-identified businesses that will be expanded or franchised, written 
commitments from the businesses to create the planned jobs must be 
included with the application.

S. Applicant Experience and Cost-per-Job

    In the review process, favorable consideration will be given to 
applicants with a demonstrated record of achievement in promoting job 
and enterprise opportunities for low-income people.
    In view of inflation and other economic factors, OCS considers the 
cost of creating a job under the JOLI program to be $10,000 or less.
    Favorable consideration will be given to those applicants who show 
the lowest cost-per-job created for low-income individuals. For this 
program, OCS views $15,000 in OCS funds as the maximum amount for the 
creation of a job and, unless there are extenuating circumstances, will 
not fund projects where the cost-per-job in OCS funds exceeds this 
amount. Only those jobs created and filled by low-income people will be 
counted in the cost-per-job formula. (See Part III, Sub-Element III 
(d).)

T. Loan Funds

    The creation of a revolving loan fund with funds received under 
this program is an allowable activity. However, OCS encourages the use 
of funds from other sources for this purpose. Loans made to eligible 
beneficiaries for business development activities must be at or below 
market rate.


    Note: Interest accrued on revolving loan funds may be used to 
continue or expand the activities of the approved project.

U. Business Plan

    Where the applicant is proposing the development and startup of a 
new business or the expansion of an existing business, a business plan 
that follows the outline in Attachment L to this announcement must be 
submitted as an Appendix to the proposal.

V. Dissemination of Project Results

    Applications should include a plan for disseminating the results of 
the project after expiration of the grant period. Applicants may budget 
up to $2,000 for dissemination purposes. Final project reports should 
include a description of dissemination activities with copies of any 
materials produced.

W. Third Party Agreements

    Any applicant submitting a proposal for funding 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.
     A third party agreement covering 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; and,
    6. Number of seats 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; and,
    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 
infusion 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 no less than on a quarterly basis;
    5. A procedure will be developed to assure that there are no 
duplicate counts of jobs created; and,
    6. Detailed information should be provided on how the grant funds 
will be used by the third party by submitting a narrative 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

[[Page 8079]]

years. (If not available because the organization is a newly-formed 
entity, include a statement to this effect.); and,
    3. Specifications as to 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 
expenditure of grant funds loaned to or invested in the third party and 
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.

    Note: The funds for a third party agreement will not be released 
until the agreement has been approved by OCS.

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

A. Purpose

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

B. Project Summary/Abstract

    Provide a summary of the project description (a page or less) with 
reference to the funding request.

C. Objectives and Need for Assistance

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

D. Results for Benefits Expected

    Identify the results and benefits to be derived. For example, 
describe the population to be recruited into the JOLI program, how many 
jobs and/or businesses are projected to be created, and how the project 
will assist participants to move toward self-sufficiency.

E. Approach

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

F. Organization Profiles

    Provide information on the applicant organization(s) and 
cooperating partners such as organizational charts, Board of Directors, 
Employer Identification Numbers, contact persons and telephone numbers, 
and other documentation of professional accreditation, information on 
compliance with Federal/State/local government standards, documentation 
of experience in the program area, and other pertinent information. Any 
non-profit organization must submit proof of its non-profit status with 
its application. The non-profit agency can accomplish this by providing 
a copy of one of the following: the applicant's listing in the IRS' 
most recent list of tax-exempt organizations described in Section 
501(c)(3) or (4) of the IRS code; 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.

G. Budget and Budget Justification

    Provide a line item detail and detailed calculations for each 
budget object class identified on the Budget Information form, SF-424A. 
Detailed calculations must include estimation methods, quantities, unit 
costs, and other similar quantitative detail sufficient for the 
calculation to be duplicated. The detailed budget narrative must also 
include a breakout by the funding sources identified in Block 15 of the 
SF-424.
    Provide a narrative budget justification that describes how 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be detailed 
and justified in the budget and the budget justification. For purposes 
of preparing the budget and budget justification, ``Federal resources'' 
refers only to the ACF grant applied for. ``Non-Federal resources'' are 
all other Federal and non-Federal resources. It is suggested that 
budget amounts and computations be presented in a columnar format: 
first column, object class categories; second column, Federal budget; 
next column(s), non-Federal budget(s), and last column, total budget.
    The budget justification should be a narrative.
Personnel
    Description: Costs of employee salaries and wages.

[[Page 8080]]

    Justification: Identify the project director or principal 
investigator, if known. For each staff person, provide the title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include the costs of consultants or personnel 
costs of delegate agencies or of specific project(s) or businesses to 
be financed by the applicant.
Fringe Benefits
    Description: Costs of employee fringe benefits unless treated as 
part of an approved indirect cost rate.
    Justification: Provide a breakdown of the amounts and percentages 
that comprise fringe benefit costs such as health insurance, FICA, 
retirement insurance, taxes, etc.
Travel
    Description: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    Justification: For each trip, show the total number of travelers, 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF-
sponsored workshops should be detailed in the budget.
Equipment
    Description: ``Equipment'' means an article of nonexpendable, 
tangible personal property having a useful life of more than one year 
and an acquisition cost which equals or exceeds the lesser of (a) the 
capitalization level established by the organization for the financial 
statement purposes, or (b) $5,000.

    Note: Acquisition cost means the net invoice unit price of an 
item of equipment, including the cost of any modifications, 
attachments, accessories, or auxiliary apparatus necessary to make 
it usable for the purpose for which it is acquired. Include 
ancillary charges, such as taxes, duty, protective in-transit 
insurance, freight and installation with acquisition cost in 
accordance with the organization's regular written accounting 
practices.

    Justification: For each type of equipment requested, provide a 
description, the cost per unit, the number of units, the total cost, 
and a plan for use in the project, as well as use or disposal after the 
project ends. An applicant organization that uses its own definition 
for equipment should provide a copy of its policy or section of its 
policy which includes the equipment definition.
Supplies
    Description: Costs of all tangible personal property other than 
that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information which supports 
the amount requested.
Contractual
    Description: Costs of all contracts for services and goods except 
for those which belong under other categories such as equipment, 
supplies, construction, etc. Third-party evaluation contracts (if 
applicable) and contracts with secondary recipient organizations, 
including delegate agencies and specific project(s) or businesses to be 
financed by the applicant, should be included under this category.
    Justification: All procurement transactions shall be conducted in a 
manner to provide, to the maximum extent practical, open and free 
competition. Recipients and subrecipients, other than States that are 
required to use Part 92 procedures, must justify any anticipated 
procurement action that is expected to be awarded without competition 
and exceed the simplified acquisition threshold fixed at 41 USC 
403(11), (currently set at $100,000). Recipients might be required to 
make available to ACF pre-award review and procurement documents, such 
as request for proposals or invitations for bids, independent cost 
estimates, etc.


    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions.

Other
    Description: Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, food, medical and dental costs (non-contractual), 
professional services costs, space and equipment rentals, printing and 
publication, computer use, training costs, such as tuition and 
stipends, staff development costs, and administrative costs.
    Justification: Provide computations, a narrative description and a 
justification for each cost under this category.

H. Non-Federal Resources

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

I. Evaluation Criteria

Proposal Elements and Review Criteria for Applications
    Each application which passes the initial screening will be 
assessed and scored by three independent reviewers. Each reviewer will 
give a numerical score for each application reviewed. These numerical 
scores will be supported by explanatory statements on a formal rating 
form describing major strengths and weaknesses under each applicable 
criterion published in the Announcement. Scoring will be based on a 
total of 100 points, and for each application will be the average of 
the scores of the three reviewers.
    The competitive review of proposals will be based on the degree to 
which applicants:
    (1) Adhere to the requirements in PART II and incorporate each of 
the Elements and Sub-Elements below into their proposals, so as to:
    (2) Describe convincingly a project that will develop new 
employment or business opportunities for TANF recipients and other low-
income individuals that can lead to a transition from dependency to 
economic self-sufficiency;
    (3) Propose a realistic budget and time frame for the project that 
will support the successful implementation of the work plan to achieve 
the projects goals in a timely and cost effective manner; and,
    (4) Provide for the collection and validation of relevant data to 
support the national evaluation.
    In order to simplify the application preparation and review 
process, OCS seeks to keep grant proposals cogent and brief. 
Applications with project narratives (excluding Project Summaries, 
Budget Justifications and Appendices) of more than 30 letter-sized 
pages of 12 c.p.i. type or equivalent on a single side will not be 
reviewed for funding.
    Applicants should prepare and assemble their project description 
using the following outline of required project elements. They should, 
furthermore, build their project concept, plans, and application 
description upon the guidelines set forth for each of the project 
elements.
    Project descriptions are evaluated on the basis of substance, not 
length. Pages should be numbered and a table of contents should be 
included for easy

[[Page 8081]]

reference. For each of the Project Elements or Sub-Elements below there 
is at the end of the discussion a suggested number of pages to be 
devoted to the particular element or sub-element. These are suggestions 
only, but the applicant must remember that the overall Project 
Narrative must not be longer than 30 pages.

Evaluation Criteria 1: Organizational Profile

Element I--Organizational Experience in Program Area and Staff Skills, 
Resources and Responsibilities

Sub-Element I(a)--Agency's Experience and Commitment in Program Area
(Weight of 0-10 points in proposal review)

    Applicants should cite their organization's capability and relevant 
experience in developing and operating programs which deal with poverty 
problems similar to those to be addressed by the proposed project. They 
should also cite the organization's experience in collaborative 
programming and operations which involve evaluations and data 
collection. Applicants should identify agency executive leadership in 
this section and briefly describe their involvement in the proposed 
project and provide assurance of their commitment to its successful 
implementation.
    The application should include documentation that briefly 
summarizes two similar projects undertaken by the applicant agency and 
the extent to which the stated and achieved performance targets, 
including permanent benefits to low-income populations, have been 
achieved. The application should note and justify the priority that 
this project will have within the agency, including the facilities and 
resources that it has available to carry it out.
    It is suggested that applicants use no more than 2 pages for this 
sub-element.

    Note: The maximum number of points will be given only to those 
organizations with a demonstrated record of achievement in promoting 
job creation and enterprise opportunities for low-income people.

Sub-Element I(b)--Staff Skills, Resources and Responsibilities
(Weight of 0-10 points in proposal review)

    The application must identify the two or three individuals who will 
have the key responsibility for managing the project, coordinating 
services and activities for participants and partners, and for 
achieving performance targets. The focus should be on the 
qualifications, experience, capacity and commitment to the program of 
the executive officials of the organization and the key staff persons 
who will administer and implement the project. The person identified as 
project director should have supervisory experience, experience in 
finance and business, and experience with the target population. 
Because this is a new project, within an already-established agency, 
OCS expects that the key staff person(s) would be identified, if not 
hired, or provide an estimated hiring time line for each individual to 
be on board.
    The application must also include a resume of the third party 
evaluator, if identified or hired; or the minimum qualifications and 
position description for the third party evaluator, who must be a 
person with recognized evaluation skills who is organizationally 
distinct from and not under the control of the applicant. (See Element 
IV: Project Evaluation, below, for fuller discussion of evaluator 
qualifications.)
    Actual resumes of key staff and position descriptions should be 
included in an appendix to the proposal.
    It is suggested that applicants use no more than 3 pages for this 
sub-element.

Evaluation Criteria 2: Approach 1

Element II: Project Theory, Design, and Plan

    OCS seeks to learn from the application why and how the project, as 
proposed, is expected to lead to the creation of new employment 
opportunities for low-income individuals, which can lead to significant 
improvements in individual and family self-sufficiency.
    Applicants are urged to design and present their project in terms 
of a conceptual cause-effect framework. In the following paragraphs, a 
framework is described that suggests a way to present a project so as 
to show the logic of the cause-effect relations between project 
activities and project results. Applicants are not required to use the 
exact language described; but it is important to present the project in 
a way that makes clear the cause-effect relationship between what the 
project plans to do and the results it expects to achieve.
Sub-Element II(a)--Description of Target Population, Analysis of Need, 
and Project Assumptions
(Weight of 0-10 points in application review)
    The project design or plan should begin by identifying the 
underlying program assumptions. These are the beliefs on which the 
proposed program is built. These assumptions include: the needs of the 
population to be served; the current services available to that 
population, and where and how they fail to meet their needs; why the 
proposed services or interventions are appropriate and will meet those 
needs; and the impact the proposed interventions will have on the 
project participants.
    In other words, the underlying assumptions of the program are the 
applicant's analysis of the needs and problems to be addressed by the 
project, and the applicant's theory of how its proposed interventions 
will address those needs and problems to achieve the desired result. 
Thus a strong application is based upon a clear description of the 
needs and problems to be addressed and a persuasive understanding of 
the causes of those problems.
    In this sub-element of the proposal, the applicant must precisely 
identify the target population to be served. The geographic area to be 
impacted should then be described briefly, citing the percentage of 
low-income individuals and TANF recipients, as well as the unemployment 
rate and other data relevant to the project design.
    The application should include an analysis of the identified 
personal barriers to employment, job retention and greater self-
sufficiency faced by the target population. (These might include such 
problems as illiteracy, substance abuse, family violence, lack of 
skills training, health or medical problems, need for childcare, lack 
of suitable clothing or equipment, or poor self-image.)
    The application should also include an analysis of the identified 
community systemic barriers which the project will seek to overcome. 
These might include lack of jobs (high unemployment rate); lack of 
public transportation; lack of markets; unavailability of financing, 
insurance or bonding; inadequate social services (employment service, 
childcare, job training); high incidence of crime; inadequate health 
care; or environmental hazards (such as toxic dumpsites or leaking 
underground tanks).
    Applicants should be sure not to overlook the personal and family 
services and support that might be needed by project participants after 
they are on the job which will enhance job retention and advancement.
    If the jobs to be created by the proposed project are themselves 
designed to fill one or more of the needs, or remove one or more of the 
barriers so identified, this fact should be highlighted in the 
discussion, e.g., jobs

[[Page 8082]]

in child care, health care, or transportation.
    It is suggested that applicants use no more than 4 pages for this 
sub-element.
Sub-Element II(b)--Project Strategy and Design: Interventions, 
Outcomes, and Goals
(Weight of 0-10 points in proposal review)

    The work plan must describe the proposed project activities, or 
interventions, and explain how they are expected to result in outcomes 
which will meet the needs of the program participants and assist them 
to overcome the identified personal and systemic barriers to 
employment, job retention, and self-sufficiency. In other words, what 
will the project staff do with the resources provided to the project 
and how will what they do (interventions) assist in creating and 
sustaining employment and business opportunities for program 
participants in the face of the needs and problems that have been 
identified.
    The underlying assumptions concerning client needs and the theory 
of how they can be effectively addressed, which are discussed above, 
lead in the project design to the conduct of a variety of project 
activities or interventions, each of which is assumed to result in 
immediate changes, or outcomes.
    The immediate changes lead to intermediate outcomes; and the 
intermediate outcomes lead to the attainment of the final project 
goals.
    The applicant should describe the major activities, or 
interventions, which are to be carried out to address the needs and 
problems identified in Sub-Element II(a); and should discuss the 
immediate changes, or outcomes, which are expected to result. These are 
the results expected from each service or intervention immediately 
after it is provided. For example, a job readiness training program 
might be expected to result in clients having increased knowledge of 
how to apply for a job, improved grooming for job interviews, and 
improved job interview skills; or business training and training in 
bookkeeping and accounting might be expected to result in project 
participants making an informed decision about whether they are suited 
for entrepreneurship.
    At the next level are the intermediate outcomes, which result from 
these immediate changes. Often an intermediate project outcome is the 
result of several immediate changes resulting from a number of related 
interventions such as training and counseling. Intermediate outcomes 
should be expressed in measurable changes in knowledge, attitudes, 
behavior, or status/condition. In the above examples, the immediate 
changes achieved by the job readiness program, coupled with technical 
assistance to an employer in the expansion of a business, could be 
expected to lead to intermediate outcomes of creation of new job 
openings and in the participant applying for a job with the company. 
The acquisition of business skills, coupled with the establishment of a 
loan fund, could be expected to result in the actual decision by the 
participant to go into a particular business venture or seek the 
alternative track of pursuing job readiness and training.
    Finally, the application should describe how the achievement of 
these intermediate outcomes will be expected to lead to the attainment 
of the project goals: employment in newly created jobs, new careers in 
non-traditional jobs, successful business ventures, or employment in an 
expanded business, depending on the project design. Applicants must 
remember that if the major focus of the project is to be the 
development and startup of a new business or the expansion of an 
existing business, then a business plan which follows the outline in 
Attachment L to this announcement must be submitted as an appendix to 
the proposal. (See Part II, U.)
    Applicants do not have to use the exact terminology described 
above, but it is important to describe the project in a way that makes 
clear the expected cause-and-effect relationship between what the 
project plans to do: the activities or interventions, the changes that 
are expected to result, and how those changes will lead to attainment 
of the project goals of new employment opportunities and greater self-
sufficiency. The competitive review of this sub-element will be based 
on the extent to which the application makes a convincing case that the 
activities to be undertaken will lead to the projected results.
    It is suggested that applicants use no more than 4 pages for this 
sub-element.
Sub-Element II(c)--Work Plan
(Weight of 0-10 points in proposal review)

    Once the project strategy and design framework is established, the 
applicant should present the highlights of a work plan for the project. 
The plan should explicitly tie into the project design framework and 
should be feasible, i.e., capable of being accomplished with the 
resources, staff, and partners available. The plan should briefly 
describe the key project tasks and show the time lines and major 
milestones for their implementation. Critical issues or potential 
problems that might affect the achievement of project objectives should 
be explicitly addressed, with an explanation of how they would be 
overcome, and how the objectives will be achieved notwithstanding any 
such problems. The plan should be presented in such a way that it can 
be correlated with the budget narrative included earlier in the 
application.
    Applicants may be able to use a simple Gantt or time line chart to 
convey the work plan in minimal space.
    The application contains a full and accurate description of the 
proposed use of the requested financial assistance.
    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 must include: 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 should be included.) If the applicant states that an 
agreement is not currently in place, the application must contain in 
the narrative as much information required for third party agreements 
as is available.
    Also, if the project proposes the development of a new or expanded 
business, service, physical or commercial activity, the application 
must address applicable elements of a business plan. Guidelines for a 
business plan are included in Attachment L.
    Special attention should be given to assure that the financial plan 
element, which indicates the project's potential and timetable for 
financial self-sufficiency, is included. It must include 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 must 
also contain an analysis of the financial feasibility of the project. 
Also, a narrative ``Source and Use of Funds'' statement for all project 
funding must be included.
    It is suggested that applicants use no more than 3 pages for this 
sub-element.

[[Page 8083]]

Evaluation Criteria 3: Results or Benefits Expected

Element III: Significant and Beneficial Impact

Sub-Element III (a)--Quality of Jobs/Business Opportunities
(Weight of 0-10 points in proposal review)

    The proposed project is expected to produce permanent and 
measurable results that will reduce the incidence of poverty in the 
community and lead welfare recipients from welfare dependency toward 
economic self-sufficiency. Results are expected to be quantifiable in 
terms of the creation of permanent, full-time jobs; the development of 
business opportunities; the expansion of existing businesses; or the 
creation of non-traditional employment opportunities. In developing 
business opportunities and self-employment for TANF recipients and low-
income individuals, the applicant proposes, at a minimum, to provide 
basic business planning and management concepts, and assistance in 
preparing a business plan and loan package.
    The application should document that:
    The business opportunities to be developed for eligible 
participants will contribute significantly to their progress toward 
self-sufficiency; and/or jobs to be created for eligible participants 
will contribute significantly to their progress toward self-
sufficiency. For example, they should provide salaries that exceed the 
minimum wage, plus benefits such as health insurance, child care and 
career development opportunities.
    It is suggested that applicants use no more than 2 pages for this 
sub-element.
Sub-Element III(b)--Community Empowerment Consideration
(Weight of 0-3 points in proposal review)

    Special consideration will be given to applicants located in areas 
characterized by conditions of extreme poverty and other indicators of 
socio-economic distress. Examples of such distress may include: a 
poverty rate of at least 20%, designation as an EZ/EC, high levels of 
violence, gang activity or drug use. Applicants should document that in 
response to these conditions, they have been involved in the 
preparation and planned implementation of a comprehensive community-
based strategic plan to achieve both economic and human development in 
an integrated manner, and they should identify how the proposed project 
will support the goals of that plan.
    It is suggested that applicants use no more than 2 pages for this 
sub-element.
Sub-Element III(c)--Support for Noncustodial Parents
(Weight of 0-2 points in proposal review)

    Applicants who have entered into partnership agreements with local 
CSE Agencies will also receive special consideration upon demonstrating 
they have developed and implemented innovative strategies to increase 
the capability of low-income parents and families, which assists them 
to fulfill their parental responsibilities. In addition, such 
partnership agreements should include referrals of identified income 
eligible families and noncustodial parents economically unable to 
provide child support to the applicant's project.
    To receive the full credit of two points, applicants should 
include, as an Appendix to the application, a signed letter of 
agreement with the local CSE Agency for referral of eligible 
noncustodial parents will be made to the proposed project.
    It is suggested that applicants use no more than 1 page for this 
sub-element.
Sub-Element III(d)--Cost-Per-Job
(Weight of 0-5 points in proposal review)

    The applicant should document that during the project period the 
proposed project will create new, permanent jobs through business 
opportunities or non-traditional employment opportunities for low-
income residents. The cost-per-job should be calculated by dividing the 
total amount of grant funds requested (e.g., $500,000) by the number of 
jobs to be created (e.g., 50) which would equal the cost-per-job 
($10,000). If any other calculations are used, include the methodology 
and rationale in this section. In making calculations of cost-per-job, 
only jobs filled by low-income project participants may be counted. 
(See Part II, Section S.)

    Note: Except in those instances where independent reviewers 
identify extenuating circumstances related to business development 
activities, or high wage levels and living costs, such as in Hawaii 
or Alaska, the maximum number of points will be given only to those 
applicants proposing cost-per-job created estimates of $10,000 or 
less of OCS requested funds. The maximum cost-per-job under the JOLI 
program is $15,000 in OCS funds unless there are extenuating 
circumstances as described under this sub-element. Higher cost-per-
job estimates will receive correspondingly fewer points.

    It is suggested that applicants use no more than 1 page for this 
sub-element.

Evaluation Criteria 4: Approach II

Element IV: Project Evaluation

(Weight of 0-15 points in the proposal review)

    Sound evaluations are essential to the JOLI Program. OCS requires 
each application to include a well thought through outline of an 
Evaluation Plan for the project. The outline should explain how the 
applicant proposes to answer the key questions about how effectively 
the project is being/was implemented; whether the project activities, 
or interventions, achieved the expected immediate outcomes, and why or 
why not (the process evaluation); and whether and to what extent the 
project achieved its stated goals, and why or why not (the outcome 
evaluation). Together, the process and outcome evaluations should 
answer the question: ``What did this program accomplish and why did it 
work/not work?''
    Applicants are not being asked to submit a complete and final 
Evaluation Plan as part of their proposal, but they must include:
    1. A well thought through Evaluation Plan outline that identifies 
the principal cause-and-effect relationships to be tested, and that 
demonstrates the applicant's understanding of the role and purpose of 
both process and outcome evaluations (see previous paragraph);
    2. The identity and qualifications of the proposed independent 
third party evaluator, i.e., a person or organization with recognized 
evaluation skills organizationally distinct from and not under the 
control of, the applicant. Third party evaluator's qualifications must 
include successful experience in evaluating social service delivery 
programs, and the planning and/or evaluation of programs designed to 
foster self-sufficiency in low-income populations; and
    3. A commitment to the selection of a third party evaluator 
approved by OCS and completion of a final evaluation design and plan, 
in collaboration with the approved evaluator and the OCS evaluation 
technical assistance contractor during the six-month startup period of 
the project, if funded.
    Applicants should ensure, above all, that the evaluation outline 
presented is consistent with their project design. A clear project 
framework of the type recommended earlier identifies the key project 
assumptions about the target populations and their needs, as well as 
the hypotheses, or expected cause-effect relationships to be tested in 
the project; and the proposed project activities, or interventions, 
that will address those needs in ways that will lead to the

[[Page 8084]]

achievement of the project goals of self-sufficiency. It also 
identifies in advance the most important process and outcome measures 
that will be used to identify performance success and expected changes 
in individual participants, the grantee organization, and the 
community.
    Finally, as noted above, the outline should provide for prompt 
reporting, concurrently with the semi-annual program progress reports, 
of lessons learned during the course of the project, so that they may 
be shared without waiting for the final evaluation report.
    For all these reasons, it is important that each successful 
applicant have a third party evaluator selected and performing at the 
very latest by the time the work program of the project is begun, and 
if possible before that time so that he or she can participate in the 
final design of the program and assure that data necessary for the 
evaluation will be collected and available. Plans for selecting an 
evaluator should be included in the application narrative. A third 
party evaluator must have knowledge of and experience in conducting 
process and outcome evaluations in the job creation field, and have a 
thorough understanding of the range and complexity of the problems 
faced by the target population.
    The competitive procurement regulations (45 CFR Part 74, Sections 
74.40-74.48, esp. 74.43) apply to service contracts such as those for 
evaluators.
    It is suggested that applicants use no more than 3 pages for this 
element, plus the resume or position description for the evaluator, 
which should be in an appendix.

Evaluation Criteria 5: Non-Federal Resources

Element V: Public/Private Partnerships and Resources

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

    The proposal should briefly describe any public/private 
partnerships, which will contribute to the implementation of the 
project. Where partners' contributions to the project are a vital part 
of the project design and work program, the narrative should describe 
undertakings of the partners. A partnership agreement specifying the 
roles of the partners and making a clear commitment to the fulfilling 
of the partnership role must be included in an appendix to the 
proposal. The firm commitment of mobilized resources must be documented 
and submitted with the application in order to be given credit under 
this element. The application should meet the following criteria:
     Where other resources are mobilized, the application must 
provide documentation that public and/or private sources of cash and/or 
third party-in-kind contributions will be available in the form of 
letters of commitment from the organization(s)/individual(s) from which 
resources will be received. Applications that can document dollar for 
dollar contributions equal to the OCS funds, and demonstrate that the 
partnership agreement clearly relates to the objectives of the proposed 
project will receive the maximum number of points for this criterion. 
Lesser contributions will be given consideration based upon the value 
documented.

    Note: Even though there is no matching requirement for the JOLI 
Program, grantees will be held accountable for any match, cash or 
in-kind contribution proposed or pledged as part of an approved 
application. (See Part II, D--Mobilization of Resources.)

     Partners involved in the proposed project should be 
responsible for substantive project activities and services. Applicants 
should note that partnership relationships are not created via service 
delivery contracts.
    It is suggested that applicants use no more than 4 pages for this 
element.

Evaluation Criteria 6: Budget and Budget Justification

Element VI: Budget Appropriateness and Reasonableness

(Weight of 0-5 points in proposal review)

    Applicants are required to submit Federal budget forms with their 
proposals to provide basic applicant and project information (SF-424) 
and information about how Federal and other project funds will be used 
(424A). (See Part V.) Immediately following the completed Federal 
budget forms, (Attachments B and C), applicants must submit a budget 
narrative, or explanatory budget information which includes a detailed 
budget breakdown for each of the budget categories in the SF-424A. This 
budget narrative is not considered a part of the project narrative, and 
does not count as part of the 30 page limitation but rather should be 
included in the application following the budget forms.
    The duration of the proposed project and the funds requested in the 
budget must be commensurate with the level of effort necessary to 
accomplish the goals and objectives of the project. The budget 
narrative should briefly explain how grant funds will be expended and 
show the appropriateness of the Federal funds and any mobilized 
resources to accomplish project purposes within the proposed time 
frame. The estimated cost to the government of the project should be 
reasonable in relation to the project's duration and to the anticipated 
results, and include reasonable administrative costs if an indirect 
cost rate has not been negotiated with a cognizant Federal agency.
    Applicants are encouraged to use job titles and not specific names 
in developing the budget. However, the specific salary rates or amounts 
for staff positions identified must be included in the application 
budget.
    Resources in addition to OCS grant funds are encouraged both to 
augment project resources and strengthen the basis for continuing 
partnerships to benefit the target community. The amounts of such 
resources, their appropriateness to the project design, and the 
likelihood that they will continue beyond the project time frame will 
be taken into account in judging the application. As noted in Element 
V, above, even though there is no matching requirement for the JOLI 
Program, grantees will be held accountable for any match, cash or in-
kind contribution proposed or pledged as part of an approved 
application.
    Applicants should include funds in the project budget for travel by 
project directors and chief evaluators to attend two national 
evaluation workshops in Washington, DC (See Part VII, B, Attendance at 
Evaluation Workshops.)
    The score for this element will be based on the budget form (SF-
424A) and the associated detailed budget narrative.

Part IV--Application Procedures

A. Availability of Forms

    Attachments B-F, H, J, and M contain all of the standard forms 
necessary for the application for awards under this OCS program. These 
Attachments and Parts III and V of this announcement contain all the 
instructions required for submittal of applications.
    Additional copies may be obtained by writing or telephoning the 
office listed under the section entitled FOR FURTHER INFORMATION 
CONTACT: at the beginning of this announcement. In addition, this 
announcement is accessible on the Internet through the OCS web site for 
reading or downloading at the following address: www.acf.dhhs.gov/programs/ocs/kits1.htm
    The applicant must be aware that in signing and submitting the 
application for this award, it certifies compliance with the Federal 
requirements covering the drug-free workplace, debarment

[[Page 8085]]

regulations and the Certification Regarding Environmental Tobacco 
Smoke, set forth in Attachments E, F and J.
    Part III contains instructions for the substance and development of 
the project narrative. Part VI, Section A, describes the contents and 
format of the application as a whole.

B. Application Submission

    Mailing Address: Job Opportunities for Low-income Individuals 
Program applications must be mailed to the OCS Operations Center: 1815 
North Fort Meyer Drive, Suite 300, Arlington, Virginia 22209; 
Attention: Application for JOLI Program.
    Number of Copies Required: One signed original application and two 
copies should be submitted at the time of initial submission. (OMB-
0970-0139, expiration date 12/31/2003)
    Submission Instructions: Mailed applications shall be considered as 
meeting an announced deadline if they are either received on or before 
the deadline date or sent on or before the deadline date and received 
by the OCS Operations Center in time for the independent review.
    Applications that are 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 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 that are hand carried 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 8:00 a.m. and 4:30 p.m., 
EST, at the OCS Operations Center,1815 North Fort Meyer Drive, Suite 
300, Arlington, VA 22209, between Monday and Friday (excluding Federal 
holidays). (Applicants are cautioned that express/overnight mail 
services do not always deliver as agreed.) The address must appear on 
the envelope/package containing the application with the note: 
``Attention: Application for JOLI Program''.
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    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 (flood, 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.

C. Intergovernmental Review

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

    Note: State/Territory Participation in the Intergovernmental 
Review Process does not signify applicant eligibility for financial 
assistance under a program. A potential applicant must meet the 
eligibility requirements of the program for which it is applying 
prior to submitting an application to its Single Point of Contact 
(SPOC), if applicable, or to ACF.

    The following jurisdictions have elected not to participate in the 
Executive Order process:
    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 from these 24 jurisdictions need take no action 
regarding E.O. 12372. Applicants for projects to be administered by 
Federally recognized Indian tribes are also exempt from the 
requirements of E.O. 12372. Otherwise, applicants should contact their 
SPOC as soon as possible to alert them of the prospective applications 
and receive any necessary instructions. Applicants must submit any 
required material to the SPOC as soon as possible so that the program 
office can obtain and review SPOC comments as part of the award 
process. It is imperative that the applicant submit all required 
materials, if any, to the SPOC and indicate the date of this submittal 
(or the date of contact if no submittal is required) on the Standard 
Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has sixty (60) 
days from the application deadline to comment on proposed new or 
competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to differentiate clearly between mere advisory comments and 
those official State process recommendations which may trigger the 
``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Office of Grants Management/OCSE, 4th Floor 
West, Aerospace Center, 370 L'Enfant Promenade, SW., Washington, DC 
20447.
    A list of the Single Point of Contact for each State and Territory 
is included as Attachment G to this announcement.

D. Application Consideration

    Applications that meet the screening requirements below will be 
reviewed competitively. Such applications will be reviewed by panel and 
given a numerical score and explanatory comments based solely on 
responsiveness to the guidelines and evaluation criteria published in 
this announcement.
    Applications will be reviewed by three persons outside of the OCS 
unit. The results of these reviews will assist the Director and OCS 
program staff in considering competing applications. Reviewers' scores 
will weigh heavily in funding decisions, but will not be the only 
factors considered.
    Applications generally will be considered in order of the average 
scores assigned by reviewers. However, highly ranked applications are 
not guaranteed funding since other factors are taken into 
consideration, including, but not limited to, the timely and proper 
completion of projects funded with OCS funds granted in the last five 
(5) years; comments of reviewers and government officials; staff 
evaluation and input; the amount and duration of the grant requested 
and the proposed project's consistency and harmony with OCS goals and 
policy; geographic distribution of applications; previous program 
performance of applicants; the limitations on project continuation or 
refunding (See Part II, Section H); the

[[Page 8086]]

number of previous JOLI grants made to applicants; compliance with 
grant terms under previous HHS grants, including the actual dedication 
to program of mobilized resources as set forth in project applications; 
audit reports; investigative reports; and applicant's progress in 
resolving any final audit disallowances on previous OCS or other 
Federal agency grants.
    OCS reserves the right to discuss applications with other Federal 
or non-Federal funding sources to verify the applicant's performance 
record and the documents submitted.

E. Criteria for Screening Applications

    All applications that meet the published deadline requirements as 
provided in this Program Announcement will be screened for completeness 
and conformity with the requirements. Only complete applications that 
meet the requirements listed below will be reviewed and evaluated 
competitively. Other applications will be returned to the applicant 
with a notation that they were unacceptable and will not be reviewed.
    The following requirements must be met by all applicants:
    1. The application must contain a Standard Form 424 ``Application 
for Federal Assistance'' (SF-424), a budget (SF-424A), and signed 
``Assurances'' (SF-424B) completed according to instructions published 
in Part V and Attachments C and D of this Program Announcement.
    2. All JOLI applications must include a signed cooperative 
partnership agreement with the designated State agency responsible for 
administering the TANF Program, or a letter of commitment to such an 
agreement within six months of a grant award, contingent only on 
receipt of OCS funds. This cooperative partnership agreement must fully 
describe the role and/or responsibilities of each partner for specific 
activities and/or services to be provided which must clearly relate to 
the objectives of the proposed project.
    3. A project narrative must also accompany the standard forms. OCS 
requires that the narrative portion of the application be limited to 30 
pages, typewritten on one side of the paper only with one-inch margins 
and type face no smaller than 12 characters per inch (c.p.i.) or 
equivalent. The table of contents, budget narrative charts, appendices, 
exhibits, resumes, position descriptions, letters of support, 
cooperative agreements, letters of collaboration or substantive 
commitments to the project by organizations other than designated TANF 
agency, and business plans (where required) are not counted against 
this page limit. It is strongly recommended that applicants follow the 
format and content for the narrative set out in Part III.
    4. The SF-424 and the SF-424B must be signed by an official of the 
organization applying for the grant who has authority to obligate the 
organization legally. Applicants must also be aware that the 
applicant's legal name as required on the SF-424 (item 5) must match 
that listed as corresponding to the Employer Identification Number 
(item 6).
    5. Application must contain documentation of the applicant's tax 
exempt status as required under Part II, section A.
    6. The application must contain 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 II, 
section W, if the applicant proposes to make an equity investment or a 
loan.

Part V--Instructions for Completing the SF-424

(Approved by the OMB under control Number 0970-0139, expiration date 
12/31/2003.)

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

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

    Where the applicant is a previous Department of Health and Human 
Services grantee, enter the Central Registry System Employee 
Identification Number (CRS/EIN) and the Payment Identifying Number, if 
one has been assigned, in the Block entitled Federal Identifier located 
at the top right hand corner of the form.
    Item 1. For the purposes of this announcement, all projects are 
considered Applications; there are no Preapplications.
    Item 7. Enter N in the box and specify nonprofit corporation on the 
line marked Other.
    Item 9. Name of Federal Agency--Enter HHS-ACF/OCS.
    Item 10. The Catalog of Federal Domestic Assistance number for OCS 
programs covered under this announcement is 93.593. The title is ``Job 
Opportunities for Low-Income Individuals Program''.
    Item 13. ``Proposed Project''--The ending date should be based on 
the requested project period, not to exceed three years (36 months).
    Item 15a. This amount should be no greater than $700,000.
    Item 15b-e. These items should reflect both cash and third party 
in-kind contributions for the three year budget period requested.

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

    In completing these sections, the Federal funds budget entries will 
relate to the requested OCS funds only, and Non-Federal will include 
mobilized funds from all other sources--applicant, state, local, and 
other. Federal funds other than requested OCS funding should be 
included as ``Non-Federal'' entries.
    Section A, B, and C of SF-424A should reflect budget estimates for 
each year of the budget period for which funding is being requested.
Section A--Budget Summary
    You need only fill in lines 1 and 5 (with the same amounts).
    Column (a): Enter Job Opportunities for Low-Income Individuals 
Program.
    Column (b): Catalog of Federal Domestic Assistance number is 
93.593.
    Columns (c) and (d): Not relevant to this program.
    Column (e)-(g): Enter the appropriate amounts. (Column (e) should 
not be more than $700,000.)
Section B--Budget Categories

    Note: That the following information supersedes the instructions 
provided with the Form SF-424A in Attachment C.


    For each of the relevant Object Class Categories:
    Column 1: Enter the OCS grant funds for the first year;
    Column 2: Enter the OCS grant funds for the second year (where 
appropriate);

[[Page 8087]]

    Column 3: Enter the OCS grant funds for the third year (where 
appropriate);
    Column 4: Leave blank.
    Column 5: Enter the total Federal OCS grant funds for the total 
budget period by Object Class Categories, showing a total budget of not 
more than $700,000.

    Note: With regard to Object Class Categories: Only out-of-town 
travel should be entered under category c. Travel. Local travel 
costs should be entered under category h. Other. Equipment costing 
less than $5,000 should be included in category e. Supplies.

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

    Note: Even though there is no matching requirement for the JOLI 
Program, grantees will be held accountable for any match, cash or 
in-kind contribution proposed or pledged as part of an approved 
application. (See Part III, Element V.).

    This section should be completed in accordance with the 
instructions provided.
Sections D, E, and F May Be Left Blank
    A supporting budget narrative must be submitted providing details 
of expenditures under each budget category, and justification of dollar 
amounts which relate the proposed expenditures to the work program and 
goals of the project. (See Part III, Element VI.)

C. SF-424B Assurances-Non-Construction (Attachment D)

    All applicants must fill out, sign, date and return the 
``Assurances'' with the application.

Part VI--Contents of Application and Receipt Process

A. Contents of Application

    Each JOLI application must include all of the following, in the 
order listed below:
    1. Table of Contents.
    2. An Abstract of the Proposed Project--very brief, not to exceed 
250 words, that would be suitable for use in an announcement that the 
application has been selected for a grant award and which identifies 
the type of project(s), the target population, and the major elements 
of the work plan.
    3. Completed Standard Form 424 that has been signed by an Official 
of the organization applying for the grant who has authority to 
obligate the organization legally.

    Note: The original SF-424 must bear the original signature of 
the authorizing representative of the applicant organization.

    4. Budget Information-Non-Construction Programs--(SF-424A).
    5. A narrative budget justification for each object class category 
required under Section B, SF-424A.
    6. Certifications and Assurances Required: Applicants requesting 
financial assistance for a non-construction project must sign and 
return Standard Form 424B, ``Assurances: Non-Construction Programs'' 
with their applications. (See Attachment D.)
    Applicants must provide a Certification Regarding Lobbying. Prior 
to receiving an award in excess of $100,000, applicants shall furnish 
an executed copy of the lobbying certification. Applicants must sign 
and return the certification with their application. (See Attachment 
H.)
    Applicants must make the appropriate certification of their 
compliance with the Drug-Free Workplace Act of 1988. By signing and 
submitting the applications, applicants are providing the certification 
and need not mail back the certification with the applications. (See 
Attachment E.)
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for award. By 
signing and submitting the applications, applicants are providing the 
certification and need not mail back the certification with the 
applications. (See Attachment F.)
    Applicants must make the appropriate certification of their 
compliance with all Federal statutes relating to nondiscrimination. By 
signing and submitting the applications, applicants are providing the 
certification and need not mail back a certification form.
    Applicants must make the appropriate certification of their 
compliance with the requirements of the Pro-Children Act of 1994 as 
outlined in Certification Regarding Environmental Tobacco Smoke. (See 
Attachment J.)
    7. A Project Narrative of no more than 30 pages consisting of the 
Elements described in Part IV of this announcement set forth in the 
order therein presented and preceded by a consecutively numbered table 
of contents.
    The total number of pages for the narrative portion of the 
application package must not exceed 30 pages. (See Part IV.E.3. for 
pages that do not count against the 30-page limit.)
    8. Appendices--proof of nonprofit tax-exempt status as outlined in 
Part II, Section A; proof that the organization is a community 
development corporation, commitments from officials of businesses that 
will be expanded or franchised, where applicable; partnership agreement 
with the designated State TANF agency and CSE agency; Single Point of 
Contact comments, if applicable; resumes and position descriptions; a 
business plan, where required; and, the Maintenance of Effort 
Certification (See Part II-J and Attachment M).
    Pages should be numbered sequentially throughout, including 
appendices, beginning with the Abstract as page 1.

B. Application Format

    Applications must be uniform in composition since OCS may find it 
necessary to duplicate them for review purposes. Therefore, 
applications must be submitted on white 8\1/2\  x  11 inch paper only. 
Applications must not include colored, oversized or folded materials. 
Applications should not include organizational brochures or other 
promotional materials, slides, films, clips, etc. Such material will be 
discarded if included.
    Applications must be bound or enclosed in loose-leaf binder 
notebooks. Preferably, applications should be two-holed punched at the 
top center and fastened separately with a compressor slide paper 
fastener, or a binder clip.

C. Acknowledgement of Receipt

    Applicants who meet the initial screening criteria outlined in Part 
IV, Section E, will receive an acknowledgement with an assigned 
identification number within ten days after the deadline date for 
submission of applications. This number must be referred to in all 
subsequent communications with OCS concerning the application. To 
facilitate receipt of

[[Page 8088]]

this acknowledgment from ACF, applicant is asked to include a cover 
letter with the application containing an E-mail address and facsimile 
(FAX) number if these items are available to applicant.
    Applicants are requested to supply a self-addressed mailing label 
with their application which can be attached to this acknowledgement 
notice. This mailing label should reflect the mailing address of the 
authorizing official who is applying on behalf of the organization. If 
an acknowledgement is not received within three weeks after the closing 
date, please notify ACF by telephone at (202) 401-5103.

Part VII--Post Award Information and Reporting Requirements

A. Notification of Grant Award

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

B. Attendance at Evaluation Workshops

    The Project Directors and third party evaluators will be required 
to attend two national evaluation workshops in Washington, DC. A three-
day program development and evaluation workshop will be scheduled 
shortly after the effective date of the grant. They also will be 
required to attend, as presenters, the final evaluation workshop on 
utilization and dissemination to be held at the end of the project 
period. Project budgets must include funds for travel to and attendance 
at these workshops. (See Part III, Element VI, Budget Appropriateness 
and Reasonableness.)

C. Reporting Requirements

    Grantees will be required to submit semi-annual program progress 
and financial reports SF-269) as well as final program progress and 
financial reports within 90 days of the expiration of the grant. An 
annual evaluation report will be due 30 days after each 12 months. A 
final evaluation report will be due 90 days after the expiration of the 
grant.

D. Audit Requirements

    Grantees are subject to the audit requirements in 45 CFR Part 74 
(nonprofit organization) and OMB Circular A-133.

E. Prohibitions and Requirements With Regard to Lobbying

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

F. Applicable Federal Regulations

    Attachment K indicates the regulations that apply to all 
applicants/grantees under the Job Opportunities for Low-income 
Individuals Program.

    Dated: February 7, 2002.
Clarence H. Carter,
Director, Office of Community Services.

Job Opportunities for Low-Income Individuals; List of Attachments

    A. 2001 Poverty Income Guidelines
    B. Standard Form 424
    C. Standard Form 424A
    D. Standard Form 424B
    E. Certification Regarding Drug-Free Workplace
    F. Certification of Debarment
    G. E.O. 12372 State Single Point of Contact List
    H. Certification Regarding Lobbying Activities and Disclosure of 
Lobbying Activities, SF-LLL
    I. State Human Service Administrators Responsible for TANF
    J. Certification Regarding Environmental Tobacco Smoke
    K. DHHS Regulations Applying to All Applicants/Grantees Under 
the Job Opportunities for Low-Income Individuals (JOLI) Program
    L. Business Plan
    M. Certification Regarding Maintenance of Effort
    N. State Child Support Enforcement Agencies
    O. Applicant's Checklist
BILLING CODE 4184-01-P

[[Page 8089]]

[GRAPHIC] [TIFF OMITTED] TN21FE02.000


[[Page 8090]]


[GRAPHIC] [TIFF OMITTED] TN21FE02.001


[[Page 8091]]



Attachment B

Instructions for the SF-424

    Public reporting burden for this collection of 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 the 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:  Entry:
    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) and applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
spaces(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities).
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P

[[Page 8092]]

[GRAPHIC] [TIFF OMITTED] TN21FE02.002


[[Page 8093]]


[GRAPHIC] [TIFF OMITTED] TN21FE02.003

BILLING CODE 4184-01-C

[[Page 8094]]

Instructions for the SF-424A

Attachment C

    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 (0348-0044), 
Washington, DC 20503.
    PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF 
MANAGEMENT AND BUDGET SEND IT TO THE ADDRESS PROVIDED BY THE 
SPONSORING AGENCY.

General Instructions

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

Section A. Budget Summary Lines 1-4 Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the Catalog program title and the Catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple 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 Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).

Line 5

    Show the totals for all columns used.

Section B Budget Categories

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

Line 6a-i

    Show the totals of Lines 6a to 6h in each column.

Line 6j

    Show the amount of indirect cost.

Line 6k

    Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.

Line 7

    Enter the estimated amount of income, if any, expected to be 
generated from this project. Do not add or subtract this amount from 
the total project amount.
    Show under the program narrative statement the nature and source 
of income. The estimated amount of program income may be considered 
by the Federal grantor agency in determining the total amount of the 
grant.

Section C. Non-Federal Resources

Lines 8-11

    Enter amounts of non-Federal resources that will be used on the 
grant. If in-kind contributions are included, provide a brief 
explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).

Line 12

    Enter the total for each of Columns (b)-(e). The amount in 
Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

Line 13

    Enter the amount of cash needed by quarter from the grantor 
agency during the first year.

Line 14

    Enter the amount of cash from all other sources needed by 
quarter during the first year.

Line 15

    Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of 
the Project

Lines 16-19

    Enter in Column (a) the same grant program titles shown in 
column (a), Section A. A breakdown by function or activity is not 
necessary. For new applications and continuation grant applications, 
enter in the proper columns amounts of Federal funds which will be 
needed to complete the program or project over the succeeding 
funding periods (usually in years). This section need not be 
completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.

Line 20

    Enter the total for each of the Columns (b)-(e). When additional 
schedules are prepared for this Section, annotate accordingly and 
show the overall totals on this line.

[[Page 8095]]

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 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 basic 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.
    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 Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetland pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 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. Sec. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation or residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with the 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

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

[[Page 8096]]

agency may designate a central receipt point for STATE-WIDE AND 
STATE AGENCY-WIDE certifications, and for notification of criminal 
drug convictions. For the Department of Health and Human Services, 
the central point is: Division of Grants Management and Oversight, 
Office of Management and Acquisition, Department of Health and Human 
Services, Room 517-D, 200 Independence Avenue, SW., Washington, DC 
20201.

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

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards the 
grant. If it is later determined that the grantee knowingly rendered 
a false certification, or otherwise violates the requirements of the 
Drug-Free Workplace Act, the agency, in addition to any other 
remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State highway department 
while in operation, State employees in each local unemployment 
office, performs 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 
contedere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the 
Federal or State criminal drug statues;
    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 imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:

Place of Performance

(Street address, city, county, state, zip code)

    Check if there are workplaces on file that are not identified 
here.

Alternate II. (Grantees Who Are Individuals)

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

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

[[Page 8097]]

transaction. If it is later determined that the prospective primary 
participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government, the 
department or agency may terminate this transaction for cause or 
default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower 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 Transaction.

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

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

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact the person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [[Page 33043]] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from covered transactions, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    8. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause.
    The knowledge and information of a participant is not required 
to exceed that which is normally possessed by a prudent person in 
the ordinary course of business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participation in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.

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

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that

[[Page 8098]]

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

ATTACHMENT G, PAGE 1

Intergovernmental Review (SPOC List)

    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.
    Contact information for Federal agencies that award grants can 
be found in Appendix IV of the Catalog of Federal Domestic 
Assistance.

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

Luisa Montero-Diaz, Office of Partnerships and Grants Development, 
Executive Office of the Mayor, District of Columbia Government, 441 
4th Street, NW, Suite 530 South, Washington, DC 20001, Telephone: 
(202) 727-8900, Fax: (202) 727-1652, [email protected]

FLORIDA

Jasmin Raffington, Florida State Clearinghouse, Department of 
Community Affairs, 2555 Shumard Oak Blvd., Tallahassee, Florida 
32399-2100, Telephone: (850) 922-5438, 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]

IOWA

Steven R. McCann, Division of Community and Rural Development, Iowa 
Department of Economic Development, 200 East Grand Avenue, Des 
Moines, Iowa 50309, Telephone: (515) 242-4719, Fax: (515) 242-4809, 
[email protected]

KENTUCKY

Ron Cook, Department of Local Government, 1024 Capital Center Drive, 
Suite 340, Frankfort, Kentucky 40601, Telephone: (502) 573-2382, 
Fax: (502) 573-2512, [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, 535 
Griswold, Suite 300, Detroit, Michigan 48226, Telephone: (313) 961-
4266, Fax: (313) 961-4869, [email protected]

MISSISSIPPI

Cathy Mallette, Clearinghouse Officer, Department of Finance and 
Administration, 1301 Woolfolk Building, Suite E, 501 North West 
Street, Jackson, Mississippi 39201, Telephone: (601) 359-6762, Fax: 
(601) 359-6758

MISSOURI

Angela Boessen, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Truman Building, Room 840, Jefferson 
City, Missouri 65102, Telephone: (573) 751-4834, Fax: (573) 522-
4395, [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

Denise S. Francis, Director, State Grants Team, Governor's Office of 
Budget and Planning, P.O. Box 12428, Austin, Texas 78711, Telephone: 
(512) 305-9415, 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

[[Page 8099]]

Administration, 101 East Wilson Street--6th Floor, P.O. Box 7868, 
Madison, Wisconsin 53707, Telephone: (608) 266-0267, Fax: (608) 267-
6931, [email protected]

AMERICAN SAMOA

Pat M. Galea'i, Federal Grants/Programs Coordinator, Office of 
Federal Programs, Office of the Governor/Department of Commerce, 
American Samoa Government, Pago Pago, American Samoa 96799, 
Telephone: (684) 633-5155, Fax: (684) 633-4195, 
[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

Jose Caballero/Mayra Silva, Puerto Rico Planning Board, Federal 
Proposals Review Office, Minillas Government Center, P.O. Box 41119, 
San Juan, Puerto Rico 00940-1119, Telephone: (787) 723-6190, Fax: 
(787) 722-6783

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, 
[email protected]

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.

    Please note: Inquiries about obtaining a Federal grant should 
not be sent to the OMB e-mail or postal address shown above. The 
best source for this information is the CFDA.

Attachment H

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

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

Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions. Submission of this statement is a prerequisite for 
making or entering into this transaction imposed by section 1352, 
title 31, U.S. Code. Any person who fails to file the required 
statement shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
BILLING CODE 4184-01-M

[[Page 8100]]

[GRAPHIC] [TIFF OMITTED] TN21FE02.004

BILLING CODE 4184-01-C

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

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, at the initiation or 
receipt of a covered Federal action, or a material change to a 
previous filing, pursuant to 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. Use 
the SF-LLL-A Continuation Sheet for additional information if the 
space on the form is inadequate. 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 the covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If 
this is a follow-up 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.

[[Page 8101]]

    6. Enter the name of the Federal agency making the award or loan 
commitment. Include at least one organizational level below agency 
name, if known. For example, Department of Transportation, United 
States Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative 
agreements, loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number 
available for the Federal action identified in item 1 [e.g., Request 
for Proposal (RFP) number; Invitation for Bid (IFB) number; grant 
announcement number; the contract, grant, or loan award number; the 
application/proposal control number assigned by the Federal agency]. 
Include prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been an award or 
loan commitment by the Federal agency, enter the Federal amount of 
the award/loan commitment for the prime entity identified in item 4 
or 5.
    10. (a) Enter the full name, address, city, state and zip code 
of the lobbying entity engaged by the reporting entity identified in 
item 40 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. Enter the amount of compensation paid or reasonably expected 
to be paid by the reporting entity (item 4) to the lobbying entity 
(item 10). Indicate whether the payment has been made (actual) or 
will be made (planned). Check all boxes that apply. If this is a 
material change report, enter the cumulative amount of payment made 
or planned to be made.
    According to the Paperwork Reduction Act, as amended, no persons 
are required to respond to a collection of information unless it 
displays a valid OMB Control Number. The valid OMB control number 
for this information collection is OMB No. 0348-0046. Public 
reporting burden for this collection of information is estimated to 
average 10 minutes per response, including time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0046), 
Washington, DC 20503.

Disclosure of Lobbying Activities Continuation Sheet

Reporting Entity:------------------------------------------------------
Page-------------------------------------------------------------------
of---------------------------------------------------------------------

Attachment I

State Human Services Administrators

Last Updated: 10/31/2001
Indexed by State Name

A

Mr. Bill Fuller, Commissioner, Alabama State Department of Human 
Resource, 50 Ripley Street, Montgomery, AL 36130-4000, Phone: (334) 
242-1160, FAX: (334) 242-0198

Mr. Jay Lively, Commissioner, Alaska Department of Health & Social 
Services, PO Box 110601, Juneau, AK 99811-0601, Phone: (907) 465-
3030, FAX: (907) 465-3068

Dr. Uiagalelie Leaofi, Director, American Samoa Department of Human 
& Social Service, PO Box 997534, Pago Pago, AS 96799, Phone: 011 
(684) 633-2969, FAX: 011 (684) 633-7449

Mr. John L. Clayton, Director, Arizona Department of Economic 
Security, PO Box 6123, Site Code 010A, Phoenix, AZ 85005, Phone: 
(602) 542-5678, FAX: (602) 542-5339

Mr. Kurt Knickrehm, Director, Arkansas Department of Human Services, 
329 Donaghey Plaza South, Seventh & Main Streets, PO Box 1437, 
Little Rock, AR 72203-1437, Phone: (501) 682-8650, FAX: (501) 682-
6836

Mr. Grantland Johnson, Secretary, California Health and Human 
Services Agency, 1600 Ninth Street, Room 460, Sacramento, CA 95814, 
Phone: (916) 654-3345, FAX: (916) 654-3343

Ms. Rita Saenz, Director, California Department of Social Services, 
744 P Street, Mail Stop 17-11, Sacramento, CA 95814, (916) 657-2598, 
FAX: (916) 653-1695

Mrs. Marva Livingston Hammons, Executive Director, Colorado 
Department of Human Services, 1575 Sherman Street, 8th floor, 
Denver, CO 80203-1714, Phone: (303) 866-5096, FAX: (303) 866-4740

Ms. Patricia A. Wilson-Coker, Commissioner, Connecticut Department 
of Social Services, 25 Sigourney Street, Hartford, CT 06106-2055, 
Phone: (860) 424-5008, FAX: (860) 424-5129

D

Mr. Vincent P. Meconi, Secretary, Delaware Health & Social Services, 
Herman M. Holloway Sr., Campus, Main Administration Building, 1st 
floor, 1901 N. DuPont Highway, New Castle, DE 19720, Phone: (302) 
577-4502, FAX: (302) 577-4510

Ms. Carolyn W. Colvin, Director, District of Columbia Department of 
Human Services, 801 East Building, 2700 Martin Luther King Jr. Ave., 
SE, Washington, DC 20032-0247, Phone: (202) 279-6016, FAX: (202) 
279-6014

F

Judge Kathleen Kearney, Secretary, Florida Department of Children & 
Families, Building 1, Room 202, 1317 Winewood Boulevard, 
Tallahassee, FL 32399-0700, Phone: (850) 487-1111, FAX: (850) 922-
2993

Mr. Ruben J. King-Shaw, Director, Florida Agency for Health Care 
Administration, Fort Knox Building 3, 2727 Mahan Drive, Suite 3116, 
Tallahassee, FL 32308, Phone: (850) 922-3809, FAX: (850) 488-0043

G

Mr. Jim Martin, Commissioner, Georgia Department of Human Resources, 
2 Peach Tree Street, NW, Suite 29-250, Atlanta, GA 30303, Phone: 
(404) 656-5680, FAX: (404) 651-8669

Ms. Juanita Blout-Clark, Director, Georgia Department of Human 
Resources, Division of Family & Children Services, 2 Peachtree 
Street, Atlanta, GA 30303, Phone: (404) 657-7660, FAX: (404) 657-
5105

Mr. Dennis G. Rodriguez, Director, Guam Department of Public Health 
& Social Services, PO Box 2816, Agana, GU 96932, Phone: 011 (671) 
734-7102, FAX: 011 (671) 734-5910

H

Ms. Susan Chandler, Director, Hawaii Department of Human Services, 
PO Box 339, 1390 Miller Street, RM 209, Honolulu, HI 96813, Phone: 
(808) 586-4997, FAX: (808) 586-4890

I

Mr. Karl B. Kurtz, Director, Idaho Department of Health & Welfare, 
P.O. Box 83720, 450 West State Street, 10th Floor, Boise, ID 83720-
0036, Phone: (208) 334-5500, FAX: (208) 334-6558

Ms. Linda Renee Baker, Secretary, Illinois Department of Human 
Services, Harris Building, 3rd floor, 210 South Grand Avenue, East, 
Springfield, IL 62762, Phone: (217) 557-1601, FAX: (217) 557-1647

Mr. John Hamilton, Secretary, Indiana Family & Social Services 
Administration, 402 West Washington Street, Room W-461, 
Indianapolis, IN 46204, Phone: (317) 233-4690, FAX: (317) 233-4693

Mr. James M. Hmurovich, Director, Division of Family & Children, 
Indiana Family & Social Services Administration, W392 Government 
Center South, 402 West Washington Street, P.O. Box 7083, 
Indianapolis, IN 46207-7083 Phone: (317) 232-4705, FAX: (317) 232-
4490

Ms. Jessie Rasmussen, Director, Iowa Department of Human Services, 
East 13th Street and Walnut, Hoover State Office Building, Des 
Moines, IA 50319-0114, Phone: (515) 281-5452, FAX: (515) 281-4597

K

Ms. Janet Schalansky, Secretary, Kansas Department of Social and 
Rehabilitation Services, Docking State Office Building, 6th Floor, 
915 SW Harrison, Topeka, KS 66612-1570, Phone: (913) 296-3271, FAX: 
(913) 296-4685

Ms. Viola P. Miller, Secretary, Kentucky Cabinet for Families & 
Children, 275 East Main Street, 4th floor West, Frankfort, KY 40621, 
Phone: (502) 564-7130, FAX: (502) 564-3866

L

Ms. J. Renea Austin-Duffin, Secretary, Louisiana Department of 
Social Services, P.O. Box 3776, 755 N. 3rd Street, RM 201, Baton 
Rouge, LA 70821, Phone: (225) 342-0286, FAX: (225) 342-8636

[[Page 8102]]

M

Mr. Kevin W. Concannon, Commissioner, Maine Department of Human 
Services, 11 State House Station, 211 State Street, Augusta, ME 
04333, Phone: (207) 287-2736, FAX: (207) 287-3005

Ms. Emelda P. Johnson, Secretary, Maryland Department of Human 
Resources, Saratoga State Center, 311 West Saratoga Street, 10th 
Floor, Baltimore, MD 21201, Phone: (410) 767-7109, FAX: (410) 333-
0099

Mrs. Claire McIntire, Commissioner, Massachusetts Department of 
Transitional Assistance, 600 Washington Street, Boston, MA 02111, 
Phone: (617) 348-8410, FAX: (617) 348-8475

Mr. Douglas Howard, Director, Michigan Family Independence Agency, 
235 South Grand Avenue, Lansing, MI 48909, Phone: (517) 373-2000, 
FAX: (517) 335-6101

Mr. James K. Haveman, Director, Michigan Department of Community 
Health, Lewis Cass Building, 320 South Walnut Street, Lansing, MI 
48913, Phone: (517) 335-0267, FAX: (517) 373-4288

Mr. Michael O'Keefe, Commissioner, Minnesota Department of Human 
Services, 444 Lafayette Road, St. Paul, MN 55155-3815, Phone: (615) 
296-2701, FAX: (651) 296-5868

Ms. Janice Broome Brooks, Executive Director, Mississippi Department 
of Human Services, 750 North State Street, Jackson, MS 39202, Phone: 
(601) 359-4480, FAX: (601) 359-4477

Mr. Steve Renne, Director, Missouri Department of Social Services, 
Broadway State Office Building, 221 W. High Street, Jefferson City, 
MO 65102, Phone: (573) 751-4815, FAX: (573) 751-3203

Ms. Gail Gray, Director, Montana Department of Public Health & Human 
Services, 111 North Sanders, P.O. Box 4210, Helena, MT 59604-4210, 
Phone: (406) 444-5622, FAX: (406) 444-1970

Mr. Hank G. Hudson, Administrator, Human & Community Services 
Division, Montana Department of Public Health, & Human Services, 
P.O. Box 202952, Helena, MT 59620-2952, Phone: (406) 444-5901, FAX: 
(406) 444-2547

N

Mr. Ron Ross, Director, Nebraska Department of Health & Human 
Services, P.O. Box 59604, Lincoln, NE 68509-5044, Phone: (402) 471-
9106, FAX: (402) 471-0820

Mr. Steve Curtiss, Director, Nebraska Department of Health & Human 
Services, Finance & Support, 301 Centennial Mall South, P.O. Box 
95026, Lincoln, NE 68509-5026, Phone: (402) 471-8553, FAX: (402) 
471-9449

Mr. Michael J. Willden, Director, Nevada Department of Human 
Resources, 505 East King Street, Suite 600, Carson City, NV 89710, 
Phone: (775) 687-4730, FAX: (775) 687-4733

Mr. Donald J. Shumway, Commissioner, New Hampshire Department of 
Health & Human Services, State Office Park South, 129 Pleasant St., 
Brown Bldg., Concord, NH 03301-3857, Phone: (603) 271-4331, FAX: 
(603) 271-4232

Mr. Richard A. Chevrefils, Assistant Commissioner, Office of Family 
Services, New Hampshire Department Department of Health & Human 
Services, 129 Pleasant Street, Concord, NH 033011-6505, Phone: (603) 
271-4321, FAX: (603) 271-4727

Mr. James W. Smith, Jr., Acting Commissioner, New Jersey Department 
of Human Services, P.O. Box 700, Trenton, NJ 08625-0700, Phone: 
(609) 292-3717, FAX: (609) 292-3824

Ms. Robin Dozier Otten, Deputy Secretary, New Mexico Human Services 
Department P.O. Box 2348, 2009 South Pacheco, Santa Fe, NM 87504-
2348, Phone: (505) 827-7750, FAX: (505) 827-6286

Mr. Brian Wing, Commissioner, New York State Department of Family 
Assistance, Office of Temporary & Disability Assistance, 40 North 
Pearl Street, Albany, NY 12243, Phone: (518) 474-9475/4152, FAX: 
(518) 486-6255

Mr. John A. Johnson, Commissioner, New York State Office of Children 
and Family Services, 52 Washington Street, Rensselaer, NY 12144, 
Phone: (518) 473-8437, FAX: (518) 473-9131

Ms. Carmen Hooker Buell, Secretary, North Carolina Department of 
Health & Human Services, 101 Blair Drive, Raleigh, NC 27603, Phone: 
(919) 733-4534, FAX: (919) 715-4645

Ms. Carol K. Olson, Executive Director, North Dakota Department of 
Human Services, State Capitol--Judicial Wing, 600 East Boulevard, 
Bismarck, ND 58505, Phone: (701) 328-2310, FAX: (701) 328-1545

O

Mr. Thom Hayes, Director, Ohio Department of Jobs & Family Services, 
30 East Broad Street, 32nd Floor, Columbus; OH 43266-0423, Phone: 
(614) 466-6282, FAX: (614) 466-2815

Ms. Sandy Blunt, Assistant Director, Ohio Department of Jobs & 
Family Service, 30 East Broad Street, 32nd Floor, Columbus, OH 
43266-0423, Phone: (614) 466-6282, FAX: (614) 466-2815

Mr. Howard A. Hendrick, Director, Oklahoma Department of Human 
Services, P.O. Box 25352 Oklahoma City, OK 73125-0352, Phone: (405) 
521-3646, FAX: (405) 521-6458

Mr. Mike Fogarty, Chief Executive Officer, Oklahoma Health Care 
Authority, 4545 North Lincoln Boulevard, Suite 124, Oklahoma City, 
OK 73105, Phone: (405) 522-7300, FAX: (405) 522-7471

Mr. Bobby Mink, Director, Oregon Department of Human Services, 500 
Summer Street, N.E., Salem, OR 97310-1012, Phone: (503) 945-5944, 
FAX: (503) 378-2897

P

Ms. Feather O. Houstoun, Secretary, Pennsylvania Department of 
Public Welfare, P.O. Box 2675, Harrisburg, PA 17105-2675, Phone: 
(717) 787-2600, FAX: (717) 772-2062

Ms. Angie Varela-Llavona, Secretary, Puerto Rico Department of The 
Family, P.O. Box 11398, San Juan, PR 00910-1398, Phone: (787) 725-
4511, FAX: (787) 723-1223

R

Ms. Christine Ferguson, Director, Rhode Island Department of Human 
Services, 600 New London Avenue, Cranston, RI 02920, Phone: (401) 
462-2121, FAX: (401) 462-3677

S

Ms Elizabeth G. Patterson, Director, South Carolina Department of 
Social Services, 1535 Confederate Avenue, P.O. Box 1520, Columbia, 
SC 29202-1520, Phone: (803) 898-7360, FAX: (803) 898-7276

Mr. James Ellenbecker, Secretary, South Dakota Department of Human 
Services, 700 Governors Drive, Pierre, SD 57501-2291, Phone: (605) 
773-3165, FAX: (605) 773-4855

T

Ms. Natasha Metcalf, Commissioner, Tennessee Department of Human 
Services, Citizens Plaza Building, 15th Floor, 400 Deaderick Street, 
Nashville, TN 37248-0200, Phone: (615) 313-4700, FAX: (615) 741-4165

Mr. Jim Hine, Commissioner, Texas Department of Human Services, 701 
West 51st Street, P.O. Box 149030, Mail Code W-619, Austin, TX 
78714-9030, Phone: (512) 438-3030, FAX: (512) 438-4220

Ms. Diane D. Rath, Chair & Commissioner Representing the Public, 
Texas Work Force Commission, 101 East 15th Street, Austin, TX 78778, 
Phone: (512) 463-2800, FAX: (512) 463-1289

U

Mrs. Robin Arnold-Williams, Executive Director, Utah Department of 
Human Services, 120 North 200 West, Room 319, Salt Lake City, UT 
84145-0500, Phone: (801) 538-3998/4001, FAX: (801) 538-4016

Mr. Robert C. Gross, Executive Director, Utah Department of 
Workforce Services, 140 E. 300 South, Salt Lake City, UT 84103, 
Phone: (801) 526-9210, FAX: (801) 526-9211

Mr. Rod Betit, Executive Director, Department of Health, P.O. Box 
141000, 2288 North 1460 West, Salt Lake City, UT 84114-1000, Phone: 
(801) 538-6111, FAX: (801) 538-3606

V

Ms. Eileen Elliot, Commissioner, Vermont Department of Social 
Welfare, 103 South Main Street, Waterbury, VT 05671-1201, Phone: 
(802) 241-2853, FAX: (802) 241-2830

Ms. Sedonia Halbert, Acting Commissioner, Virgin Islands Department 
of Human Services, Knud Hansen Complex Building A, 1303 Hospital 
Grounds, St. Thomas, VI 00802, Phone: (304) 774-0930, FAX: (304) 
774-3466

Mr. Louis Rossiter, Secretary, Virginia Health & Human Resources, 
202 North 9th Street, Suite 622, Richmond, VA 23219, Phone: (804) 
786-7765, FAX: (804) 371-6984


[[Page 8103]]


Ms. Sonia Rivero, Commissioner, Virginia Department of Social 
Services, Theatre Row Building, 730 East Broad Street, 9th floor, 
Richmond, VA 23219-1849, Phone: (804) 692-1900, FAX: (804) 692-1949

W

Mr. Dennis Braddock, Secretary, Washington Department of Social & 
Health Services, 115 Washington Street, SE, P.O. Box 45010, Olympia, 
WA 98504-5010, Phone: (360) 902-7800, FAX: (360) 902-7848

Mr. Paul L. Nusbaum, Secretary, West Virginia Department of Health 
and Human Resources, State Capitol Complex Bldg. 3, Room 206, 
Charleston, WV 25305-0500, Phone: (304) 558-0684, FAX: (304) 558-
1130
Mr. Frederick Boothe, Commissioner, Bureau of Children & Families, 
West Virginia Department of Health & Human Resources, 350 Capitol 
Street, Room 730, Charleston, WV 25301-3711, Phone: (304) 558-0999, 
FAX: (304) 558-4194

Ms. Phyllis J. Dube, Secretary, Wisconsin Department of Health & 
Family Services, P.O. Box 7850, Madison, WI 53707-7850, Phone: (608) 
266-9622, FAX: (608) 266-7882

Ms. Jennifer Reinert, Secretary, Wisconsin Department of Workforce 
Development, P.O. Box 7946, Madison, MI 53707-7946, Phone: (608) 
266-7552

Ms. Susan Lehman, Director, Wyoming Department of Family Services, 
Hathaway Building, 2300 Capitol Avenue, Cheyenne, WY 82002-0490, 
Phone: (307) 777-7564, FAX: (307) 777-7747

Mr. Garry L. McKee, Director, Wyoming Department of Health, 117 
Hathaway Building, 2300 Capitol Avenue, Cheyenne, WY 82002-0490, 
Phone: (307) 777-7656, FAX: (307) 777-7439

Certification Regarding Environmental Tobacco Smoke

    Public Law 103227, Part C Environmental Tobacco Smoke, also 
known as the Pro Children Act of 1994, requires that smoking not be 
permitted in any portion of any indoor routinely owned or leased or 
contracted for by an entity and used routinely or regularly for 
provision of health, day care, education, or library services to 
children under the age of 18, if the services are funded by Federal 
programs either directly or through State or local governments, by 
Federal grant, contract, loan, or loan guarantee. The law does not 
apply to children's services provided in private residences, 
facilities funded solely by Medicare or Medicaid funds, and portions 
of facilities used for inpatient drug or alcohol treatment. Failure 
to comply with the provisions of the law may result in the 
imposition of a civil monetary penalty of up to $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.

DHHS Regulations Applying to All Applicants/Grantees Under the Job 
Opportunities for Low-Income Individuals (JOLI) Program

Title 45 of the Code of Federal Regulations:

Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants and subgrants to entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial 
Assistance

SUBPART F--DRUG FREE WORKPLACE REQUIREMENTS

Part 80--Non-Discrimination Under Programs Receiving Federal 
Assistance through the Department of Health and Human Services 
Effectuation of Title VI of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this 
Title
Part 83--Regulation for the Administration and Enforcement of 
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and 
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap 
in Programs or Activities Conducted by the Department of Health and 
Human Services
Part 86--Nondiscrimination on the Basis of Sex in Education Programs 
and Activities Receiving or Benefiting from Federal Financial 
Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human 
Services Programs or Activities Receiving Federal Financial 
Assistance
Part 92--Uniform Administrative Requirements for Grants and 
Cooperative Agreements to States and Local Governments (Federal 
Register, March 11, 19880
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human 
Services Programs and Activities

Attachment L

Business Plan

    The business plan is one of the major components that will be 
evaluated by OCS to determine the feasibility of a jobs creation 
project. A business plan must be included if, the applicant is 
proposing to establish a new identified business, or if the 
applicant will be providing assistance to a private third party 
employer for the development or expansion of a pre-identified 
business.
    The following guidelines were written to cover a variety of 
possibilities regarding the requirements of a business plan. Rigid 
adherence to them is not possible nor even desirable for all 
projects. For example, a business plan for a service business would 
not require discussion of manufacturing nor product designs. 
Therefore, the business plans should be prepared in accordance with 
the following guidelines:
    1. The business and its industry. This section should describe 
the nature and history of the business and include background on its 
industry.
    a. The Business: as a legal entity; the general business 
category;
    b. Description and Discussion of Industry: Current status and 
prospects for the industry.
    2. Products and Services: This section deals with the following:
    a. Description: Describe in detail the products or services to 
be sold;
    b. Proprietary Position: Describe proprietary features, if any, 
of the product, e.g. patents, trade secrets; and,
    c. Potential: Features of the product or service that may give 
it an advantage over the competition.
    3. Market Research and Evaluation: This section should present 
sufficient information to show that the product or service has a 
substantial market and can achieve sales in the face of competition;
    a. Customers: Describe the actual and potential purchasers for 
the product or service by market segment;
    b. Market Size and Trends: State the size of the current total 
market for the product or service offered;
    c. Competition: An assessment of the strengths and weaknesses of 
competitive products and services; and,
    d. Estimated Market Share and Sales: Describe the 
characteristics of the product or service that will make it 
competitive in the current market.
    4. Marketing Plan: The marketing plan must describe what is to 
be done, how it will be done and who will do it. 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 plan should address the following 
topics--Overall Marketing Strategy, Packaging, Service and Warranty, 
Pricing, Distribution and Promotion.
    5. Design and Development Plans: This section of the plan should 
cover items such as Development Status, Tasks, Difficulties and 
Risks, Product Improvement, New Products and Costs. 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.
    6. Manufacturing and Operations Plan: A manufacturing and 
operations plan should describe the kind of facilities, plant 
location, space, capital equipment and labor force (part and/or full 
time and wage structure) that are required to provide the company's 
product or service.
    7. Management Team: 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. The management team is 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 operating the proposed business.
    8. Overall Schedule: This section must include a month-by-month 
schedule that shows the timing of such major events,

[[Page 8104]]

activities and accomplishments involving product development, market 
planning, sales programs, and production and operations. Sufficient 
detail should be included to show the correlation between the timing 
of the primary tasks required to accomplish each activity.
    9. Critical Risks and Assumptions: This section should include a 
description of the risks and critical assumptions/problems relating 
to the industry, the venture, its personnel, the product's market 
appeal, and the timing and financing of the venture. Identify and 
discuss the critical assumptions/problems to overcome in the 
Business Plan. Major problems must clearly identify problems to be 
solved to develop the venture.
    10. Community Benefits: The applicant should describe how the 
proposed project will contribute to the local economy, community and 
human economic development within the project's target area.
    11. The Financial Plan: The Financial Plan is basic to the 
development of a Business Plan. Its purpose is to indicate the 
project's potential and the timetable for financial self-sufficiency 
of the business. In developing the Financial Plan, the following 
exhibits must be prepared for the first three years of business' 
operation:
    a. Profit and Loss Forecasts-quarterly for each year;
    b. Cash Flow Projections-quarterly for each year;
    c. Pro forma balance sheets-quarterly for each year;
    d. Initial sources of project funds;
    e. Initial uses of project funds; and
    f. Any future capital requirements and sources.
    12. Facilities: If rearrangement or alteration of existing 
facilities is required to implement the project, the applicant must 
describe and justify such changes and related costs.

Attachment M

Certification Regarding Maintenance of Effort

    In accordance with the applicable program statute(s) and 
regulation(s), the undersigned certifies that financial assistance 
provided by the Administration for Children and Families, for the 
specified activities to be performed under the __________Program by 
__________(Applicant Organization, will be in addition to, and not 
in substitution for, comparable activities previously carried on 
without Federal assistance.

----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Date

Attachment N

State Child Support Enforcement Offices

Updated February 14th, 2001

A

Alabama

Department of Human Resources, Division of Child Support, 50 Ripley 
Street, Montgomery, AL 36130-1801, (334) 242-9300, FAX: (334) 242-
0606, 1-800-284-4347 [1]

Alaska

Child Support Enforcement Division, 550 West 7th Avenue, Suite 310, 
Anchorage, AK 99501-6699, (907) 269-6900, FAX: (907) 269-6813, 1-
800-478-3300 [1]

Arizona

Division of Child Support Enforcement, P.O. Box 40458, Phoenix, AZ 
85067, (602) 252-4045 (non toll-free number)

Arkansas

Office of Child Support Enforcement, P.O. Box 8133, Little Rock, AR 
72203, Street Address: 712 West Third, Little Rock, AR 72201, (501) 
682-8398, FAX: (501) 682-6002, 1-800-264-2445 [2] (Payments), 1-800-
247-4549 [2] (Program)

C

California

California Department of Child Support Services, Customer and 
Community Services Branch, P.O. Box 419064, MS-30, Rancho Cordova, 
CA 95741-9064, FAX: (916) 464-5065, 1-866-249-0773

Colorado

Division of Child Support Enforcement, Division of Human Services, 
303 E. 17th Avenue, Suite 200, Denver, CO 80203-1241, (720) 947-
5000, FAX: (720) 947-5006, (no toll-free number)

Connecticut

Department of Social Services, Bureau of Child Support Enforcement, 
25 Sigourney Street, Hartford, CT 06105-5033, (860) 424-5251, FAX: 
(860) 951-2966 1-800-228-5437 [2] (problems), 1-800-647-8872 [2] 
(information), 1-800-698-0572 [2] (payments)

D

Delaware

Division of Child Support Enforcement, Delaware Health and Social 
Services, 1901 North Dupont Hwy., P.O. Box 904, New Castle, DE 
19720, (302) 577-4863, 577-4800, FAX: (302) 577-4873, (800) 464-4357

District of Columbia

Office of Paternity and Child Support Enforcement, Department of 
Human Services, 800 9th Street, SW., 2nd Floor, Washington, DC 
20024-2480, (202) 724-1444, (no toll-free number)

F

Florida

Child Support Enforcement Program, Department of Revenue, P.O. Box 
8030, Tallahassee, FL 32314-8030, (850) 922-9590, FAX: (850) 488-
4401, (no toll-free number)

G

Georgia

Child Support Enforcement, P.O. Box 38450, Atlanta, GA 30334-0450, 
(404) 657-3851, FAX: (404) 657-3851, 1-800-227-7993 [1] (for 706 & 
912 area codes), (from area codes 404 & 770, dial code + 657-2780)

Guam

Department of Law, Child Support Enforcement Office, 238 Archbishop 
F.C. Flores, 7th Floor, Agana, GU 96910, 011 (671) 475-3360, (no 
toll-free number)

H

Hawaii

Child Support Enforcement Agency, Department of Attorney General, 
Kakuhihewa State Office Building, 601 Kamokila Boulevard, Suite 251, 
Kapolei, HI 96707, (808) 587-3695, (808) 692-7134, (no Toll Free 
Number)

I

Idaho

Bureau of Child Support Services, Department of Health and Welfare, 
P.O. Box 83720, Boise, ID 83720-0036, (208) 334-6535, FAX: (208) 
334-0666, 1-800-356-9868 [2]

Illinois

Illinois Department of Public Aid, Division of Child Support 
Enforcement, Marriott Building, 509 South Sixth Street, Springfield, 
IL 62701-1825, (217) 524-4602, FAX: (217) 524-4608, 1-800-447-4278 
[1]

Indiana

Child Support Bureau, 402 West Washington Street, RM W360, 
Indianapolis, IN 46204, (317) 233-5437, FAX: (317) 233-4932 [2], 
1(800) 840-8757

Iowa

Bureau of Collections, Department of Human Services, Hoover 
Building--5th Floor, Des Moines, IA 50319, (515) 242-5530, FAX: 
(515) 281-8854, (888) 229-9223)

K

Kansas

Child Support Enforcement Program, Department of Social & 
Rehabilitation Services, P.O. Box 497, Topeka, KS 66601, Street 
Address: 300 S.W. Oakley Street, Biddle Building, Topeka, KS 66606, 
(785) 296-3237, FAX: (913) 296-5206, 1-800-432-0152 
[2](Withholding), 1-800-570-6743 [2](Collections), 1-800-432-3913 
[2](Fraud Hotline)

Kentucky

Division of Child Support Enforcement, Cabinet for Human Resources, 
P.O. Box 2150, Frankfort, KY 40602, (502) 564-2285, FAX: (502) 564-
5988, (800) 248-1163 [2]

L

Louisiana

Support Enforcement Services, Office of Family Support, P.O. Box 
94065, Baton Rouge, LA 70804-4065, (225) 342-4780, FAX: (504) 342-
7397, 1-800-256-4650 [1](Payments)

[[Page 8105]]

M

Maine

Division of Support Enforcement and Recovery, Bureau of Income 
Maintenance, Department of Human Services, State House Station, 11 
Whitten Road, Augusta, ME 04333, (207) 287-2886, FAX: (207) 287-
5096, 1-800-371-3101 [1]

Maryland

Child Support Enforcement Administration, Department of Human 
Resources, 311 West Saratoga Street, Baltimore, MD 21201, (410) 767-
7619, FAX: (410) 333-8992, 1-800-234-1528 [2]

Massachusetts

Child Support Enforcement Division, Department of Revenue, 141 
Portland Street, Cambridge, MA 02139-1937, (617) 557-7200, FAX: 
(617) 621-4991, 1-800-332-2733 [2]

Michigan

Office of Child Support, Family Independence Agency, P.O. Box 30478, 
Lansing, MI 48909-7978, (517) 373-7570, FAX: (517) 373-4980, (no 
toll-free number)

Minnesota

Office of Child Support Enforcement, Department of Human Services, 
444 Lafayette Road, 4th floor, St. Paul, MN 55155-3846, (651) 296-
2542, FAX: (651) 297-4450, (no toll-free number)

Mississippi

Division of Child Support Enforcement, Department of Human Services, 
P.O. Box 352, Jackson, MS 39205, (601) 359-4861, FAX: (601) 359-
4415, 1-800-434-5437 (Jackson)[2], 1-800-354-6039 (Hines, Rankin & 
Madison Cnties.)

Missouri

Department of Social Services, Division of Child Support 
Enforcement, P.O. Box 2320, Jefferson City, MO 65102-2320, (573) 
751-4301, FAX: (573) 751-8450, 1-800-859-7999 [2]

Montana

Child Support Enforcement Division, Department of Public Health, and 
Human Services, P.O. Box 202943, Helena, MT 59620, (406) 442-7278, 
FAX: (406) 444-1370, 1-800-346-5437[1]

N

Nebraska

Nebraska Dept. of Health and Human Services, Child Support 
Enforcement Office, P.O. Box 94728, Lincoln, NE 68509-4728, (402) 
479-5555, FAX: (402) 471-9455, 1-800-831-4573[1]

Nevada

Child Support Enforcement Program, Nevada State Welfare Division, 
2527 North Carson Street, Carson City, NV 89710, (775) 687-4744, 
FAX: (702) 684-8026, 1-800-992-0900 x4744[1]

New Hampshire

Office of Child Support, Division of Human Services, Health and 
Human Services Building, 6 Hazen Drive, Concord, NH 03301-6531, 
(603) 271-4427, FAX: (603) 271-4787, 1-800-852-3345 ext. 4427[1]

New Jersey

Division of Family Development, Department of Human Services, Bureau 
of Child Support and Paternity Programs CN 716, Trenton, NJ 08625-
0716, (609) 588-2915, FAX: (609) 588-2354, 1-800-621-5437[2]

New Mexico

Child Support Enforcement Bureau, Department of Human Services, P.O. 
Box 25109, Santa Fe, NM 87504, Street Address: 2025 S. Pacheco, 
Sante Fe, NM 87504, (505) 476-7040, FAX: (505) 827-7285, 1-800-288-
7207[1], 1-800-585-7631

New York

Office of Child Support Enforcement, Department of Social Services, 
P.O. Box 14, Albany, NY 12260, Street Address: One Commerce Plaza, 
Albany, NY 12260, (518) 474-9081, FAX: (518) 486-3127, 1-800-342-
3009

North Carolina

Child Support Enforcement Section, Division of Social Services, 
Department of Human Resources, 100 East Six Forks Road, Raleigh, NC 
27609-7750, (919) 571-4114, FAX: (919) 571-4126, 1-800-992-9457[1]

North Dakota

Department of Human Services, Child Support Enforcement Agency, P.O. 
Box 7190, Bismarck, ND 58507-7190, (701) 328-3582, FAX: (701) 328-
5497, 1-800-755-8530[1]

O

Ohio

Office of Child Support Enforcement, Department of Human Services, 
30 East Broad Street--31st Floor, Columbus, OH 43266-0423, (614) 
752-6561, FAX: (614) 752-9760, 1-800-686-1556[1]

Oklahoma

Department of Human Services, P.O. Box 53552, Oklahoma City, OK 
73125, Street Address: 2409 N. Kelley Avenue, Annex Building, 
Oklahoma City, OK 73111, (405) 522-5871, FAX: (405) 522-2753, 1-800-
522-2922[2]

Oregon

Department of Justice, Division of Child Support, 1495 Edgewater 
N.W., Suite 290, Salem, OR 97304, (503) 986-5950, FAX: (503) 391-
5526, 1-800-850-0228[1], 1-800-850-0294[1] Rotary

P

Pennsylvania

Bureau of Child Support Enforcement, Department of Public Welfare, 
P.O. Box 8018, Harrisburg, PA 17105, (717) 783-5184, FAX: (717) 787-
9706, 1-800-932-0211[2]

Puerto Rico

Child Support Enforcement, Department of Social Services, P.O. Box 
3349, San Juan, PR 00902-9938, Street Address: Majagua Street, Bldg. 
2, Wing 4, 2nd Floor, Miramar, PR 00902-9938, (787) 767-1500, FAX: 
(787) 723-6187, (no toll-free number)

R

Rhode Island

Rhode Island Child Support Services, Department of Human Services, 
77 Dorrance Street, Providence, RI 02903, (401) 222-2847, FAX: (401) 
277-6674, 1-800-638-5437[1]

S

South Carolina

Department of Social Services, Child Support Enforcement Division, 
P.O. Box 1469, Columbia, SC 29202-1469, (803) 898-9341, FAX: (803) 
737-6032, 1-800-768-5858[2], 1-800-768-6779[1] (Payments)

South Dakota

Office of Child Support Enforcement, Department of Social Services, 
700 Governor's Drive, Pierre, SD 57501, (605) 773-3641, FAX: (605) 
773-5246, (no toll-free number)

T

Tennessee

Child Support Services, Department of Human Services, Citizens Plaza 
Building--12th Floor, 400 Deadrick Street, Nashville, TN 37248-7400, 
(615) 313-4880, FAX: (615) 532-2791, 1-800-838-6911 [2]

Texas

Office of the Attorney General, State Office, Child Support 
Division, P.O. Box 12017, Austin, TX 78711-2017, (512) 460-6000, 
FAX: (512) 834-9712, 1-800-252-8014 [2]

U

Utah

Bureau of Chief Support Services, Department of Human Services, P.O. 
Box 45011, Salt Lake City, UT 84145-0011, (801) 536-8500, FAX: (801) 
536-8509, 1-800-257-9156 [2]

V

Vermont

Office of Child Support, 103 South Main Street, Waterbury, VT 05671-
1901, (802) 241-2313, FAX: (802) 244-1483, 1-800-678-3214 [2]

Virgin Islands

Paternity and Child Support Division, Department of Justice, GERS 
Building, 2nd Floor, 48B-50C Krondprans Gade, St. Thomas, VI 00802, 
(340) 775-3070, FAX: (809) 774-9710 (no toll-free number)

Virginia

Division of Support Enforcement, Department of Social Services, 730 
East Broad Street, Richmond, VA 23219, (804) 692-1428, FAX: (804) 
692-1405, 1-800-468-8894 [1]

[[Page 8106]]

W

Washington

Division of Child Support, Department of Social and Health Services, 
P.O. Box 9162, Olympia, WA 98507-9162, Street address: 712 Pear 
Street, S.E., Olympia, WA 98507, (360) 664-5000, FAX: (206) 586-
3274, 1-800-922-4306 [2]

West Virginia

Child Support Enforcement Division, Department of Health & Human 
Resources, 1900 Kanawha Boulevard East, Capitol Complex, Building 6, 
Room 817, Charles, WV 25305, (304) 558-3780, 1-800-249-3778 [2]

Wisconsin

Division of Economic Support, P.O. Box 7935, Madison, WI 53707-7935, 
Street Address: 1 West Wilson Street, Room 382, Madison, WI 53707, 
(608) 266-9909, FAX: (608) 267-2824 (no toll-free number)

Wyoming

Child Support Enforcement, Department of Family Services, Hathaway 
Building, 2300 Capital Avenue, 3rd Floor, Cheyenne, WY 82002-0490, 
(307) 777-6948, FAX: (307) 777-3693, 1-800-457-3659 [2]

BILLING CODE 4184-01-M

[[Page 8107]]

[GRAPHIC] [TIFF OMITTED] TN21FE02.005

[FR Doc. 02-3564 Filed 2-20-02, 8:45am]
BILLING CODE 4184-01-C