[Federal Register Volume 67, Number 153 (Thursday, August 8, 2002)]
[Notices]
[Pages 51670-51696]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-19770]



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Part III





Department of Health and Human Services





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Administration for Children and Families



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Request for Applications for the Office of Community Services' Fiscal 
Year 2002 Community Economic Development Program-Special Initiatives; 
Notice

  Federal Register / Vol. 67, No. 153 / Thursday, August 8, 2002 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS-2002-16]


Request for Applications for the Office of Community Services' 
Fiscal Year 2002 Community Economic Development Program-Special 
Initiatives

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

ACTION: Announcement of availability of funds and request for 
competitive applications under the Office of Community Services' 
Community Services Block Grant--Discretionary Awards--Special 
Initiatives for the Community Economic Development Program (CEDP).

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SUMMARY: The Administration for Children and Families (ACF), Office of 
Community Services (OCS), announces that competing applications will be 
accepted for the award of cooperative agreements pursuant to the 
Secretary's Community Economic Development authority under section 680 
(a)(1) and (2) of the Community Services Block Grant Act of 1981, as 
amended, (Pub. L. 105-285). This Program Announcement contains forms 
and instructions for submitting an application. The awarding of 
cooperative agreements under this Program Announcement are subject to 
the availability of funds for support of these activities.
    The Office of Community Services (OCS) proposes to provide funds in 
Fiscal Year 2002 to provide administration and management expertise 
(Priority Area 1) through a Community Development Corporation (CDC) 
with nationwide experience to share its experience in dealing with day-
to-day project related issues and challenges in promoting community 
economic development. The organization must have documented experience 
on a nationwide basis.
    OCS also proposes to provide funds to a private, non-profit 
organization with nationwide experience for the purpose of providing 
training and technical assistance (Priority Area 2) to strengthen the 
network of CDCs.

DATES: The closing time and date for submission of applications for 
Fiscal Year 2002 is at 4:30 PM (Eastern Time Zone) September 9, 2002. 
Applications received after this date will be classified as late and 
will not be accepted for consideration. See Part IV of this 
announcement for more information on submitting applications.

FOR FURTHER INFORMATION CONTACT: Mr. Ros Relaford, Technical Assistance 
Manager, OCS Operations Center at 1-800-281-9519 for referral to the 
appropriate contact person in OCS for programmatic questions or send an 
e-mail to: [email protected] or contact Calvin Brockington at (202) 401-
5273.
    For a copy of this announcement, contact: OCS Operations Center, 
1815 North Fort Myer Drive, Suite 300, Arlington, Virginia 22209, 
1(800) 281-9519.
    In addition, the announcement is accessible on the OCS web site for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm.
    The Catalog of Federal Domestic Assistance number for this program 
is 93.570. The title is Community Services Block Grant--Discretionary 
Awards--Special Initiatives.

SUPPLEMENTARY INFORMATION: This Program Announcement consists of seven 
parts plus attachments:

Part I: Background Information
    A. Legislative Authority
    B. Departmental Goals
    C. Form of Award
    D. Definition of Terms
    E. Eligible Applicants
Part II: Program Objectives and Requirements
    A. Duties and Responsibilities of Applicant and Grantor Agency
    B. Program Priority Areas
    C. Project Requirements
    D. Project and Budget Periods
    E. Mobilization of Resources
    F. Program Beneficiaries
    G. Number of Projects in Application
    H. Multiple Submittal
    I. Sub-awarding or Delegating Projects
    J. Funding Considerations
    K. Prohibited Activities
    L. Community Empowerment and Collaboration
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. Evaluation Criteria
Part IV: Application Procedures
    A. Application Development/Availability of Forms
    B. Application Submission
    C. Intergovernmental Review
    D. Initial OCS Screening
    E. Consideration of Applications
Part V: Instructions for Completing Forms SF-424
    A. SF-424--Application for Federal Assistance (Attachment B)
    B. SF-424A--Budget Information--Non-Construction Programs 
(Attachment C)
    C. SF-424B--Assurances--Non-Construction Programs (Attachment D)
Part VI: Contents of Application and Receipt Process
    A. Contents of Application
    B. Application Format
    C. Acknowledgment of Receipt
Part VII: Post Award Information and Reporting Requirements
    A. Notification of Grant Award or Cooperative Agreement
    B. Reporting Requirements
    C. Audit Requirements
    D. Prohibitions and Requirements with Regard to Lobbying
    E. Applicable Federal Regulations

Paperwork Reduction Act of 1995 (Public Law 104-13)

    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 collected information.
    The project description is approved under 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 an information request from an agency unless a currently 
valid OMB control number is displayed.

Part I. Background Information

A. Legislative Authority

    The Community Services Block Grant (CSBG) Act of 1981, as amended, 
(Section 680(a) (1), (2), and (4) of the Community Opportunities, 
Accountability, and Training and Educational Services Act of 1998), 
authorizes the Secretary to make grants or provide cooperative 
agreements to provide technical and financial assistance for economic 
development activities designed to address the economic needs of low-
income individuals and families by creating employment and business 
ownership opportunities.

B. Departmental Goals

    This announcement is particularly relevant to the departmental goal 
of strengthening the American family and promoting self-sufficiency. 
The Community Economic Development Program has objectives of increasing 
the access of low-income people to employment and business development 
opportunities, and improving the integration, coordination, and 
continuity of the various HHS (and other Federal Departments) funded 
services potentially available to families living in poverty. Faith-
based organizations are eligible to apply for grants and cooperative 
agreements

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under this program if they are private, non-profit organizations.

C. Form of Award

    The Office of Community Services plans to support all Priority 
Areas of the Community Services Block Grant--Discretionary Awards--
Special Initiatives through Cooperative Agreements. A Cooperative 
Agreement is an award instrument of financial assistance when 
substantial involvement is anticipated between the awarding federal 
office and the recipient during the performance of the contemplated 
project.
    The Office of Community Services (OCS) and the successful applicant 
will function as partners sharing responsibility for the design, 
coordination, and implementation of the project. OCS Staff will be the 
Administration of Children and Families' (ACF) representatives 
primarily responsible for efforts under this cooperative agreement. In 
addition, ACF regional office staff may work closely with OCS and the 
applicant in planning and implementing the proposed work plan of the 
project. The purpose of the cooperative agreement is to ensure 
cooperation and coordination between OCS and the organization receiving 
funds.
    The Office of Community Services will outline a plan of interaction 
with the funded organization for implementation under the cooperative 
agreement. The respective responsibilities of the Office of Community 
Services and the successful applicant will be identified and 
incorporated into the Cooperative Agreement during pre-award 
negotiations. The OCS responsibilities will not change the project 
requirements found in this Announcement.
    The plan under the cooperative agreement will describe the general 
and specific responsibilities of the funded organization and the 
grantor. A schedule of tasks will be developed and agreed upon in 
addition to any special conditions relating to implementation of the 
project.

D. Definition of Terms

    For purposes of this Program Announcement, the following 
definitions apply:
    Beneficiaries: Low-income people (as defined in the most recent 
annual revision of the Poverty Income Guidelines published by DHHS) and 
low-income communities receive direct benefits.
    Budget period: The interval of time into which a grant period of 
assistance is divided for budgetary and funding purposes.
    Building deconstruction: The systematic disassembly of residential 
and commercial buildings.
    Cash contributions: The recipient's cash outlay, including the 
outlay of money contributed to the recipient by the third parties.
    Community Development Corporation (CDC): A private, non-profit 
corporation, governed by a board of directors consisting of residents 
of the community and business and civic leaders, that has as a 
principal purpose planning, developing, or managing low-income housing 
or community development projects.
    Community Economic Development (CED): A process by which a 
community uses resources to attract capital and increase physical, 
commercial, and business development and job opportunities for its 
residents.
    Cooperative Agreement: An award instrument of financial assistance 
when substantial involvement is anticipated between the awarding office 
and the recipient during performance of the contemplated project.
    Distressed community: A geographic urban neighborhood or rural 
community of high unemployment and pervasive poverty.
    Eligible applicant: A private, non-profit organization. (Also, see 
``Eligible Applicants'' under Part B--Application Pre-Requisites and 
also Program Priority Areas under Part C.)
    Empowerment Zones and Enterprise Communities (EZ/EC): Those 
communities designated as such by the Secretary of Agriculture or 
Secretary of Housing and Urban Development.
    Faith-Based Non-Profit Organization: A non-profit organization that 
has a religious character.
    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.
    Job creation: New jobs, i.e. jobs not in existence prior to the 
start of the project, that result from new business startups, business 
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
    Job placement: Placing a person in an existing vacant job of a 
business, service, or commercial activity not related to new 
development or expansion activity.
    Letter of commitment: A signed letter or agreement from a third 
party to the applicant that pledges financial or other support for the 
grant activities only subject to receiving an award of OCS grant funds.
    Poverty Income Guidelines: The official poverty line defined by the 
Office of Management and Budget, as revised and published annually by 
the U.S. Department of Health and Human Services that establish the 
level of poverty defined as low-income for individuals and their 
families.
    Program income: Gross income earned by the grant recipient that is 
directly generated by an activity supported with grant funds or earned 
as a result of the award.
    Project period: The total time for which a project is approved for 
OCS support, including any approved extensions.
    Self-employment: The state of an individual or individuals who 
engage in self-directed economic activities.
    Self-sufficiency: The economic state for an individual or family 
where public assistance is not required to maintain a comfortable 
living standard.
    Sub-award: An award of financial assistance in the form of money, 
or property in lieu of money, made under an award by a recipient to an 
eligible sub-recipient or by a sub-recipient to a lower tier sub-
recipient. The term includes financial assistance when provided by any 
legal agreement, even if the agreement is called a contract, but does 
not include procurement of goods and services nor does it include any 
form of assistance which is excluded from the definition of ``award'' 
in 45 CFR 74.2.

    (Note: Sub-awards do not include equity investments or loan 
transactions since they are promulgated under third party agreements.)

    Technical assistance: A problem-solving event generally utilizing 
the services of a specialist. Such services may be provided on-site, by 
telephone, or by other communications. These services address specific 
problems and are intended to assist with the immediate resolution of a 
given problem or set of problems.
    Temporary Assistance to Needy Families (TANF): Title I of the 
Personal Responsibility and Work Opportunity Reconciliation Act of 1996 
(Pub. L. 104-193) created the TANF program which replaced the 
entitlement program that guaranteed public assistance to individuals in 
economic distress. The TANF program requires work in exchange for time-
limited assistance. The law specifically repeals the Aid to Families 
with Dependent Children (AFDC) program, Emergency

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Assistance(EA) and Job Opportunities and Basic Skills Training (JOBS) 
programs, and replaces them with a block grant entitlement to States 
under Title IV-A of the Social Security Act.
    Third party: Any individual, organization, or business entity that 
is not the direct recipient of grant funds.
    Third party 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.

E. Eligible Applicants

    An eligible applicant must be a private, non-profit organization. 
The organization must have significant and relevant experience working 
with community development corporations, foundations, financial 
institutions and other community-based organizations. The applicant 
must provide proof of its non-profit status. The non-profit agency can 
accomplish this by providing a copy of either the applicant's listing 
in the Internal Revenue Service's (IRS) most recent list of tax-exempt 
organizations, a copy of the currently valid IRS tax exemption 
certificate, or a copy of the articles of incorporation bearing the 
seal of the State in which the corporation or association is domiciled. 
Faith-based organizations meeting the requirements of section 680(a)(2) 
or (4) are eligible to apply.
    All eligible applicants must have private, non-profit status at the 
time of submission of their application. In addition to non-profit 
status, each priority area of this program announcement has additional 
eligibility requirements. These requirements are identified in the 
narrative descriptions of each priority area found in Part C. Applicant 
must submit proof of non-profit status in its application at the time 
of submission. Applications that do not include proof of this status 
with their application will be disqualified.

Part II--Program Objectives and Requirements

    The Office of Community Services (OCS) invites eligible applicants 
to submit competing grant applications for the award of two Cooperative 
Agreements for the Community Services Block Grant--Discretionary 
Awards--Special Initiatives. The Community Services Block Grant--
Discretionary Awards--Special Initiatives provide funds to cover the 
following areas: Administrative Management and Training and Technical 
Assistance for Community Economic Development Program grantees.

A. Duties and Responsibilities of Applicant and Grantor Agency

    The duties and responsibilities of the applicant and ACF/OCS in 
fulfilling the Cooperative Agreement during each phase will include the 
following:
The Applicant--Role and Responsibilities
    The successful applicant shall be responsible for the following:
    1. In collaboration with OCS, design, coordinate, and implement the 
project according to requirements accompanying each priority area.
    2. Attend a 2-3 day meeting in Washington, D.C. to discuss and 
finalize the major goals and objectives of the overall project, the 
fiscal year work plans, and exchange and share information on 
strategies for achieving the goals and objectives of the project.
    3. Establish subordinate objectives to guide the focus of their 
research based upon the needs assessed in the major objectives.
    4. Participate in the annual orientation meeting for newly funded 
grantees of the Community Economic Development Program (CEDP).
ACF/OCS--Role and Responsibilities
    The grantor agency, ACF/OCS, shall be responsible for the 
following:
    1. Throughout the term of the Agreement, provide the time and 
expertise of OCS to help the applicant implement the goals and 
objectives of the project. Specifically, OCS will organize periodic 
consultations and teleconferences to review planned activities, to 
share information, and to promote nationwide coordination.
    2. Provide to the applicant a complete listing of current CEDP 
grantees.
    3. Organize a 2-3 day meeting in Washington, D.C. to discuss and 
finalize the major goals and objectives of the overall project, the 
fiscal year work plans, and to exchange program information, and to 
share information on strategies for achieving the goals and objectives 
of the project.
    4. Throughout the term of this Agreement, review and comment on 
required progress reports and other relevant materials prior to their 
finalization.
    5. Throughout the term of this Agreement, make available to the 
applicant program information and/or products from OCS activities that 
are available and relevant to the project.
    6. Throughout the term of this Agreement, promote the involvement 
of the applicant in meetings, conferences, and other initiatives to 
strengthen their knowledge and resource base for providing effective 
assistance to OCS and CEDP grantees.
    7. Host the annual orientation and training meeting for newly 
funded CEDP grantees.

B. Program Priority Areas

    The Community Services Block Grant--Discretionary Awards--Special 
Initiatives has two priority areas.
Priority Area 1--Administration and Management (AM)
    Is intended to provide administrative and management expertise to 
current Office of Community Services' CDC grantees that are 
experiencing problems in the implementation of urban and rural 
community economic development projects.
Priority Area 2--Training and Technical Assistance (UT)
    Makes funds available to provide training and technical assistance 
to groups of community development corporations in developing or 
implementing projects funded under this section; its aim is to 
generally enhance the viability and competence of community development 
corporations.
    This priority area also seeks to attract additional private capital 
into distressed communities, including empowerment zones and enterprise 
communities, and to build and/or expand the ability of local 
institutions to better serve the economic needs of local residents.
    The estimated level of funding available under each area is:
    1. (AM)--$ 500,000.00
    2. (UT)--$ 270,000.00

C. Project Requirements

    The project requirements for each priority areas are as follows:
Priority Area 1--Administration and Management
    OCS believes that one of the most effective means of ensuring the 
successful operation of a project under the CED Program area is through 
the sharing among CDCs of their experiences in dealing with the day-to-
day issues and challenges presented in promoting community economic 
development. Accordingly, OCS strongly encourages more experienced 
private, non-profit CDCs to share their administrative and management 
expertise with less experienced CDCs or with those who have encountered 
difficulties in implementing their work programs. In order to 
facilitate this, OCS will provide funds to one community development 
corporation to assist with

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its efforts to enhance the management and operational capacities of the 
less experienced CDCs or those having difficulties.
    An applicant in this priority area must document its experience and 
capability to operate on a national basis in several of the following 
areas:
     Business/development;
     Micro-entrepreneurship development;
     Commercial development;
     Organizational and staff development;
     Board training;
     Business management, including strategic planning and 
fiscal management;
     Finance, including business packaging and financial/
accounting services;
     Regulatory compliance including zoning and permit 
compliance;
     Incubator development;
     Tax credits and bond financing; and Marketing.
    Eligible applicants are private, non-profit, organizations that are 
community development corporations. Applicants must be able to operate 
on a national basis and have significant and relevant experience in 
working with community development corporations.
    The applicant must document staff competence or the accessibility 
of third party resources with proven competence. If the work program in 
the proposal requires the significant use of third party (consultant/
contractor) resources, those resources should be identified and resumes 
of the individuals or key organizational staff provided.
    Resumes of the applicant's staff, who are to be directly involved 
in programmatic and administrative expertise sharing, should also be 
included. The applicant must document successful experience in the 
mobilization of resources (both cash and in-kind) from private and 
public sources. The applicant also must clearly state how the 
information learned from this project may be disseminated to other 
interested grantees.
    OCS will share with the grantee information on other grantees 
seeking to benefit from such assistance. Such formal requests could 
also be initiated by a grantee with the concurrence of OCS. These 
contacts may occur on-site, by telephone, or by other methods of 
communication. Costs incurred in connection with participation in such 
activities will be borne by the recipient(s) of the OCS grant under 
this sub-priority area.
    A grantee under this priority area will be expected to disseminate 
results of the project via a handbook, a progress paper, evaluation 
reports, general manual, or seminars/workshops.
    Approximately one cooperative agreement is anticipated to be made 
at $500,000 under this Priority Area. The award will provide a project 
and budget period not to exceed 17 months.
Priority Area 2--Training and Technical Assistance
    Funds will be awarded for the purpose of providing training and 
technical assistance to strengthen the network of CDCs.
    Eligible applicants are private, non-profit organizations.
    Applicant must have the ability to collect and analyze data 
nationally that may benefit CDCs and be able to disseminate information 
to all OCS-funded grantees; publish a national directory of funding 
sources for CDCs (public, corporate, foundation, religious); publish 
research papers on specific aspects of job creation by CDCs; and design 
and provide information on successful projects and economic niches that 
CDCs can target. The applicant also will be responsible for the 
development of instructional programs, national conferences, seminars, 
and other activities to assist community development corporations. An 
applicant in this priority area must document its experience and 
capability in implementing projects national in scope and have 
significant and relevant experiences in working with community 
development corporations.
    Approximately one cooperative agreement is anticipated to be made 
for $270,000 under this Priority Area with a grant period not to exceed 
17 months.

D. Project and Budget Periods

    Cooperative Agreements funded under this program announcement for 
all Priority Areas shall have both project and budget periods of 17 
months.

E. Mobilization of Resources

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

F. Program Beneficiaries

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

G. Number of Projects in Application

    All Priority Area applications shall contain only one proposed 
project. Applicants that are not in compliance with this requirement 
will be disqualified.

H. Multiple Submittals

    There is no limit to the number of applications that an applicant 
can submit under this announcement as long as each application contains 
a different project.

I. Sub-awarding or Delegating Projects

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

J. Funding Considerations

    In cases where an applicant ranks high and is competitive, the 
following may apply:
    (a) Previous performance of applicants will be considered an 
important determining factor in the grant decisions.
    (b) Any applicant that has two or more active OCS grants may only 
be funded under exceptional circumstances.
    (c) Pre-award site visits may be performed for the purpose of

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undertaking assessments of many of these applications prior to OCS 
making final determinations on grant awards.

K. Prohibited Activities

    OCS will not consider applications that propose the establishment 
of Small Business Investment Corporations or Minority Enterprise Small 
Business Investment Corporations.
    Projects that would result in the relocation of a business from one 
geographic area to another with the possible displacement of employees 
are discouraged.

L. Community Empowerment and Collaboration

    Eligible organizations including faith-based organizations are 
urged to submit applications.

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. In preparing your project 
description, all information requested through each specific evaluation 
criteria should be provided. Awarding offices use this and other 
information in making their funding recommendations. It is important, 
therefore, that this information be included in the application.

B. Project Summary/Abstract

    Provide a summary of the project description (one 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. Supporting 
documentation, such as letters of support and testimonials from 
concerned interests other than the applicant, may be included. Any 
relevant data based on planning studies should be included or referred 
to in the endnotes/footnotes. Incorporate demographic data and 
participant/beneficiary information, as needed. In developing the 
project description, the applicant may volunteer or be requested to 
provide information on the total range of projects currently being 
conducted and supported (or to be initiated), some of which may be 
outside the scope of the program announcement.

D. Results or Benefits Expected

    Identify the results anticipated and the benefits to be derived. 
For example, describe the population to be served by the Community 
Services Block Grant--Discretionary Awards--Special Initiatives. 
Explain the ways in which the project will be used to reach your client 
base and how it will benefit low-income participants, including whether 
it may aid some participants in moving towards self-sufficiency.

E. Approach

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

F. Organizational Profiles

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

G. Budget and Budget Justification

    Provide a line item detail and detailed calculations for each 
budget object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification that describes how 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    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 narrative justification. For purposes 
of preparing the budget and budget justification, ``Federal resources'' 
refers only to the ACF grant for which you are applying. 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.
    Justification: Identify the project director or principal 
investigator, if known. For each staff person, provide the title, time 
commitment to the project

[[Page 51675]]

(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). 
Travel costs for key staff to attend ACF-sponsored workshops should be 
detailed in the budget.
    Justification: For each trip, show the total number of traveler(s), 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances.
Equipment
    Description: ``Equipment'' means an article of non-expendable, 
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. Ancillary charges, such as taxes, 
duty, protective in-transit insurance, freight, and installation shall 
be included in, or excluded from, acquisition cost in accordance with 
the organization's regular written accounting practices.)

    Justification: For each type of equipment requested, provide a 
description of the equipment, the cost per unit, the number of units, 
the total cost, and a plan for use on the project, as well as use or 
disposal of the equipment after the project ends. An applicant 
organization that uses its own definition of 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 sub-recipients, 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 U.S.C. 
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.
Non-Federal Resources
    Description: Amounts of non-Federal resources that will be used to 
support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process. A detailed budget must be prepared for 
each funding source.

H. Evaluation Criteria

Proposal Elements and Review Criteria for Applications
    Each application which passes the initial screening described in 
Part IV, Section D of this Program Announcement will be assessed and 
scored by three independent reviewers.
    Each reviewer will give a numerical score for each application. 
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 (2) incorporate each 
of the Elements and Sub-Elements below into their proposals, so as to 
describe convincingly a project that will meet the requirements set 
forth above.
    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) exceeding 35 letter-sized pages 
of 12 c.p.i. type or equivalent on a single side will not be reviewed. 
Applicants should prepare and assemble their project descriptions 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 consecutively and a table of contents 
should be included for easy reference. Applicants are reminded that the 
overall Project Narrative must not exceed 35 pages.
    When writing their Project Narratives, applicants should respond to 
the review criteria using the same sequential order. Each Priority area 
shall be reviewed by separate review criteria.

[[Page 51676]]

Criteria for Review and Evaluation of Applications Submitted Under This 
Program Announcement
    (Note: The review criteria both reiterate and explain in greater 
detail the information requirements contained in Part II of this 
Announcement.)
Criteria for Review and Evaluation of Applications Submitted Under 
Priority Area 1
    a. Criterion I: Organizational Experience in Program Area and Staff 
Responsibilities (Maximum: 30 points)
    (1) Organizational experience in program area (sub-rating: 0-20 
points) Applicant has documented experience in working with CDCs on a 
national basis.
    Applicant has documented the capability to provide leadership in 
solving long-term and immediate problems locally and/or nationally in 
such areas as business development, commercial development, 
organizational and staff development, board training, and micro-
entrepreneurship development. (0-8 points)
    Applicant documents a capability (including access to a network of 
skilled individuals and/or organizations) in two or more of the 
following areas:
    Business management, including strategic planning and fiscal 
management; finance, including development of financial packages and 
provision of financial/accounting services; and regulatory compliance, 
including assistance with zoning and permit compliance. (0-4 points)
    The applicant has the demonstrated ability to mobilize dollars from 
sources such as the private sector (corporations, banks, foundations, 
etc.) and the public sector, including state and local governments. (0-
2 points)
    Applicant also demonstrates that it has a sound organizational 
structure and proven organizational capability as well as an ability to 
develop and maintain a stable program in terms of business, physical or 
community development activities that have provided permanent jobs, 
services, business development opportunities, and other benefits to 
poverty community residents. (0-4 points)
    Applicant indicates why it feels that its successful experiences 
would be of assistance to existing CDC grantees that are experiencing 
difficulties in implementing their projects. (0-2 points)
    (2) Staff skills, resources and responsibilities (sub-rating 0-10 
points)
    The application describes in brief resume form the experience and 
skills of the project director who is not only well qualified, but who 
has professional capabilities relevant to the successful implementation 
of the project. If the key staff person has not yet been identified, 
the application contains a comprehensive position description that 
indicates that the responsibilities to be assigned to the project 
director are relevant to the successful implementation of the project. 
(0-5 points)
    The applicant has adequate facilities and resources (i.e. space and 
equipment) to successfully carry out the work plan. (0-3 points)
    The assigned responsibilities of the staff are appropriate to the 
tasks identified for the project and sufficient time of senior staff 
will be budgeted to assure timely implementation and cost effective 
management of the project. (0-2 points)
    b. Criterion II: Work Program (Maximum: 20 points)
    The applicant demonstrates in some specificity a thorough 
understanding of the problems a grantee may encounter in implementing a 
successful project. (0-10 points)
    The application includes a strategy for assessing the specific 
nature of the problems, outlining a course of action and identifying 
the resources required to resolve the problems. (0-10 points)
    c. Criterion III: Significant and Beneficial Impact (Maximum: 30 
points)
    Project funds under this sub-priority area are to be used for the 
purposes of transferring expertise directly, or by a contract with a 
third party, to other OCS funded CDC grantees. Applicant describes how 
the success or failure of collaboration with these grantees will be 
documented. (0-15 points)
    Applicant demonstrates an ability to disseminate results on the 
kinds of programmatic and administrative expertise transfer efforts in 
which it participated and successful strategies that it may have 
developed to share expertise with grantees during the grant period. (0-
10 points)
    Applicant states whether the results of the project will be 
included in a handbook, a progress paper, an evaluation report, a 
general manual, or seminars/workshops, and why the particular 
methodology chosen would be most effective. (0-5 points)
    d. Criterion IV: Public-Private Partnerships (Maximum: 15 points)
    Applicant demonstrates how it will design a comprehensive strategy 
that makes use of other available resources to resolve typical and 
recurrent CDC grantee problems.
    e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 
5 points)
    Applicant documents that the funds requested are commensurate with 
the level of effort necessary to accomplish the goals and objectives of 
the project. The application includes a detailed budget breakdown for 
each of the appropriate budget categories in the SF-424A. (0-3 points)
    The estimated cost to the government of the project also is 
reasonable in relation to the anticipated results. (0-2 points)
Criteria for Review and Evaluation of Applications Submitted Under 
Priority Area 2
    a. Criterion I: Need for Assistance (Maximum: 10 points)
    The application documents that the project addresses a vital, 
nationwide need related to the purposes of CDCs and provides data and 
information in support of its contention.
    b. Criterion II: Organizational Experience in Program Area and 
Staff Responsibilities (Maximum: 30 points)
    (1) Organizational experience
    Applicant has documented experience in working with CDCs.
    Applicant has documented the capability to provide leadership in 
solving long-term and immediate problems locally and/or nationally in 
such areas as business development, commercial development, 
organizational and staff development, board training, and micro-
entrepreneurship development. Applicant documents a capability 
(including access to a network of skilled individuals and/or 
organizations) in two or more of the following areas: Business 
management, including strategic planning and fiscal management; 
finance, including development of financial packages and provision of 
financial/accounting services; and regulatory compliance, including 
assistance with zoning and permit compliance. (0-15 points)
    (2) Staff skills
    The applicant's proposed project director and primary staff are 
well qualified and their professional experiences are relevant to the 
successful implementation of the proposed project. (0-15 points)
    c. Criterion III: Work Plan (Maximum: 25 points)
    The applicant has submitted a detailed and specific work plan that 
is both sound and feasible. Specifically, the work plan:
    (1) Demonstrates that all activities are comprehensive and 
nationwide in scope, adequately described, and

[[Page 51677]]

appropriately related to the goals of the program. (0-5 points)
    (2) Demonstrates in some specificity a thorough understanding of 
the kinds of training and technical assistance that can be provided to 
the network of community development corporations. (0-5 points)
    (3) Delineates the tasks and sub-tasks involved in the areas 
necessary to carry out the responsibilities, i.e. training, technical 
assistance, research, outreach, seminars, etc. (0-5 points)
    (4) States the intermediate and end products to be developed by 
task and sub-task. (0-5 points)
    (5) Provides realistic time frames and a chronology of key 
activities for the goals and objectives. (0-5 points)
    d. Criterion IV: Significant and Beneficial Impact (Maximum: 25 
points)
    Project funds will be used for the purpose of providing training 
and technical assistance on a national basis to the network of 
community development corporations.
    The applicant describes how:
    (1) The project will assure long-term program and management 
improvements for community development corporations. (0-10 points)
    (2) The project will impact on a significant number of community 
development corporations. (0-10 points)
    (3) The project will leverage or mobilize significant other non-
federal resources for the direct benefit of the project. (0-5 points)
    e. Criterion V: Budget Reasonableness (Maximum: 10 points)
    (1) The resources requested are reasonable and adequate to 
accomplish the project. (0-5 points)
    (2) Total costs are reasonable and consistent with anticipated 
results. (0-5 points)

Part IV. Application Procedures

A. Application Development/Availability of Forms

    To be considered for a grant under this program announcement, an 
application must conform to the Program Requirements set out in Part II 
and be prepared in accordance with the guidelines set out in Part III. 
It must be submitted on the forms supplied in the attachments to this 
Announcement and in the manner prescribed below. Attachments A through 
K contain all standard forms necessary to apply for awards under this 
OCS program. These attachments and Parts V and VI of this Announcement 
contain all the general instructions required for submitting 
applications.
    Additional copies may be obtained by writing or telephoning the 
office listed under the section entitled FOR FURTHER INFORMATION 
CONTACT at the beginning of this announcement. In addition, this 
Announcement is accessible on the Internet through the OCS Website for 
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm under ``Funding Opportunities.''
    The applicant must be aware that in signing and submitting the 
application for this award, it is certifying that it will comply with 
the Federal requirements concerning the drug-free workplace, the 
Certification Regarding environmental tobacco smoke, and debarment 
regulations set forth in Attachments E, J, and F.
    PART III contains instructions for the substance and development of 
the project narrative. PART V contains instructions for completing 
application forms. PART VI, Section A, describes the contents and 
format of the application as a whole.

B. Application Submission

    1. Number of Copies Required. One signed original application and 
two copies must be submitted at the time of initial submission. (OMB 
0970-0139). Two additional optional copies would be appreciated to 
facilitate the processing of applications.
    The first page of the SF-424 must contain in the lower right-hand 
corner, a designation indicating under which priority area funds are 
being requested (for example AM for 1 and UT for 2. (See Part II for a 
description of each of the priority areas.)
    2. Closing Date. The closing date for receiving applications is 
cited under the heading DATES at the beginning of this announcement. 
Applications received after the closing date will be classified as 
late.
    Deadline: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the OCS Operations Center: 1815 North Fort Myer Drive, 
Suite 300, Arlington Virginia 22209; Attention: Application for 
Community Development Program--Special Initiatives.
    Applicants are responsible for mailing applications well in 
advance, when using all mail services, to ensure that the application 
is received on or before the deadline time and date. Applications hand 
carried by applicants, applicant couriers, other representatives of the 
applicant, or by overnight/express mail couriers shall be considered as 
meeting an announced deadline if they are received on or before the 
deadline date, between the hours of 8 a.m. to 4:30 p.m. EST at the U.S. 
Department of Health and Human Services, Administration for Children 
and Families, Office of Community Services Operations Center: 1815 
North Fort Myer Drive, Suite 300, Arlington, VA 22209 between Monday 
and Friday (excluding Federal holidays). This address must appear on 
the envelope/package containing the application with the note 
``Attention: Application for ``Community Services Block Grant--
Discretionary Awards--Special Initiatives''. Applicants are cautioned 
that express/overnight mail services do not always deliver as agreed.
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    3. Late Applications. Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    4. Extension of Deadlines. ACF may extend application deadlines 
when circumstances such as acts of God (floods, hurricanes, etc) occur, 
or when there are widespread disruptions of the mail service, or in 
other rare cases. A determination to extend or waive deadline 
requirements rest with the 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.
    All States and Territories except Alabama, Alaska, Arizona, 
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York, 
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, Wyoming, and Palau have elected to participate in 
the Executive Order process and have established Single Points of 
Contact (SPOCs). Applicants from these 27 jurisdictions do not need to 
take action regarding E.O. 12372. Applicants for projects to be 
administered by Federally-recognized Indian Tribes are also exempt from 
the requirements of E.O. 12372. Otherwise, applicants should contact 
their SPOCs

[[Page 51678]]

as soon as possible to alert them of the prospective applications and 
receive any necessary instructions. Applicants must submit any required 
material to the SPOCs as soon as possible so that the program office 
can obtain and review SPOC comments as part of the award process. It is 
imperative that the applicant submit all required materials, if any, to 
the SPOC and indicate the date of this submittal (or indicate ``not 
applicable'' if no submittal is required) on the standard form 424, 
item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which 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, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 4th floor West, 
Washington, DC 20447.
    A list of the Single Points of Contact for each State and Territory 
is included as Attachment G to this Announcement. You may also find 
this list at the following web address: http://www/whitehouse.gov/omb/grants/spoc.html.

D. Initial OCS Screening

    Each application submitted under this program announcement will 
undergo a pre-review to determine that the application was received by 
the closing date and submitted in accordance with the instructions in 
this Announcement.
    All applications that meet the published deadline requirements as 
provided in this Program Announcement will be screened for completeness 
and conformity with the following requirements. Only complete 
applications that meet the requirements listed below will be reviewed 
and evaluated competitively. Other applications will be returned to the 
applicants with a notation that they were unacceptable and will not be 
reviewed.
    The following requirements must be met by all applicants except as 
noted:
    (1) The application must contain a signed Standard Form 424 
Application for Federal Assistance'' (SF-424), Attachment B, a budget 
(SF-424A), Attachment C, and signed ``Assurances'' (SF-424B), 
Attachment D, completed according to instructions published in Part V 
and Attachments A, B, and C of this Program Announcement. 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. Applicant must also be aware that the applicant's legal name 
as required on the SF-424 (Item 5) must match that listed as 
corresponding to the Employer Identification Number (Item 6).
    (2) A project narrative must also accompany the standard forms. OCS 
requires that the narrative portion of the application be no more than 
35 letter-size pages, numbered consecutively , and typewritten on one 
side of the paper only with one-inch margins and type face no smaller 
than 12 characters per inch (c.p.i.) or equivalent. Applications with 
project narratives (excluding Project Summaries and appendices) of more 
than 35 letter-size pages of 12 c.p.i. type or equivalent on a single 
side will not be reviewed for funding.
    The budget narrative, charts, exhibits, resumes, position 
descriptions, letters of support or commitment are not counted against 
this page limit and should be in the Appendix. It is strongly 
recommended that applicants adopt for their Program project narratives 
the sequence and content Described in Part III.
    (3) Application must contain documentation of the applicant's tax 
exempt status as required under Part I, Section E.

E. Consideration of Applications

    Applications which pass the initial OCS screening will be reviewed 
and rated by an independent review panel on the basis of requirements 
set forth in Parts II and III. These review criteria were designed to 
assess the quality of a proposed project and determine the likelihood 
of its success. The review criteria are closely related and are 
considered as a whole in judging the overall quality of an application. 
Points are awarded only to applications which are responsive to the 
program elements and review criteria within the context of this Program 
Announcement.
    Reviewers' scores 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 because other factors are taken into 
consideration. These include, but are not limited to: the timely and 
proper completion by applicant of projects funded with OCS funds 
granted in the last five (5) years; comments of reviewers and 
government officials; staff evaluation and input; amount and duration 
of the grant requested and the proposed project's consistency and 
harmony with OCS goals and policy; geographic distribution of 
applications; previous program performance of applicants; compliance 
with grant terms under previous HHS grants, including the actual 
dedication to program of mobilized resources as set forth in project 
applications; audit reports; investigative reports; and applicant's 
progress in resolving any final audit disallowance on previous OCS or 
other Federal agency grants.
    Applicants may omit from the application the specific salary rates 
or amounts for individuals identified in the application budget. 
Rather, only summary information is required. OCS reserves the right to 
discuss applications with other Federal or non-Federal funding sources 
to verify the applicant's performance record and the documents 
submitted.

Part V. Instructions for Completing Forms SF-424

    All application forms are now available on the ACF Website for 
downloading: http://www.acf.dhhs.gov/programs/ofs/forms.htm.
    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, C and D) as modified by the instructions set 
forth in PART III, and the OCS specific instructions set forth below:
    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification which describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.

    (Note: The Budget detail and Narrative Budget Justification should

[[Page 51679]]

follow the SF 424 and 424A, and are not counted as part of the Project 
Narrative.)

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

    Where the applicant is a previous DHHS grantee, enter the Central 
Registry System Employee Identification Number (CRS/EIN) and the 
Payment Identifying Number, if one has been assigned, in the Block 
entitled Federal Identifier located at the top right hand corner of the 
form (third line from the top).
    Item 1. For the purposes of this announcement, all projects are 
considered Applications; there are no Pre-Applications.
    Item 7. If applicant Is an Indian Tribe enter ``K'' in the box. If 
applicant is a non-profit organization enter ``N'' in the box.
    Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.
    Item 10. The Catalog of Federal Domestic Assistance number for OCS 
programs covered under this announcement is 93.570. The title is 
``Community Services Block Grant Discretionary Awards--Special 
Initiatives.''
    Item 11. In addition to a brief descriptive title of the project, 
indicate the priority area for which funds are being requested. Use the 
following letter designations: Use AM for Priority Area 1 and UT for 
Priority Area 2.
    Item 13. Proposed Project Dates--Show 17-month project period (See 
Part II). In addition, the project start date must begin on or before 
September 30, 2002; the ending date should be calculated on the basis 
of a 17-month project period.
    Item 14. Congressional District of Applicant/Project--Enter the 
number(s) of the Congressional District where the applicant's principal 
office is located and the number(s) of the Congressional District(s) 
where the project will be located.
    Item 15. Estimated Funding--Item 15a. Show the total amount 
requested for the entire project period; Item 15b-e. For each line 
item, show both cash and third party in-kind contributions for the 
total project period; Item 15f. Show the estimated amount of program 
income for the total project period; Item 15g. Enter the sum of all the 
line items.

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

    In completing these sections, the Federal Funds budget entries will 
relate to the requested Community Services Block Grant--Discretionary 
Awards--Special Initiatives funds only, and Non-Federal will include 
funds mobilized from all other sources--applicant, state, local, and 
other. Federal funds other than those requested from the Community 
Services Block Grant--Discretionary Awards--Special Initiatives should 
be included in Non-Federal entries.
    Sections A and D of SF-424A must contain entries for both Federal 
(OCS) and non-Federal mobilized funds.
Section A--Budget Summary
    Lines 1-4,
    Column (a) Line 1--Enter CSBG Community Economic Development,
    Column (b) Line 1--Enter 93.570,
    Columns (c) and (d)--Not Applicable,
    Columns (e), (f) and (g)--Line 1--Enter appropriate amounts needed 
to support the project for the entire project period.
    Line 5,
    Enter the figures from Line 1 for all columns completed, (e), (f), 
and (g).
Section B--Budget Categories
    This section should contain entries for OCS funds only. For all 
projects, the budget period of 17 months will be entered in Column (1).
    Allocability of costs is governed by applicable cost principles set 
forth in the Code of Federal Regulations (CFR), Title 45, Parts 74 and 
92.
    Budget estimates for administrative costs must be supported by 
adequate detail for the grants officer to perform a cost analysis and 
review. Adequately detailed calculations for each budget object class 
are those which reflect estimation methods, quantities, unit costs 
salaries, and other similar quantitative detail sufficient for the 
calculation to be duplicated. For any additional object class 
categories included under the object class other, identify the 
additional object class(es) and provide supporting calculations.
    Supporting narratives and justifications are required for each 
budget category, with emphasis on unique/special initiatives; large 
dollar amounts; local, regional, or other travel; new positions; major 
equipment purchases; and training programs.
    A detailed itemized budget with a separate budget justification for 
each major item should be included as indicated below:
    Line 6a
    Personnel--Enter the total costs of salaries and wages.
    Justification--Identify the project director and staff. Specify by 
title or name the percentage of time allocated to the project, the 
individual annual salaries and the cost to the project (both Federal 
and non-Federal) of the organization's staff who will be working on the 
project.
    Line 6b
    Fringe Benefits--Enter the total costs of fringe benefits unless 
treated as part of an approved indirect cost rate which is entered on 
Line 6j.
    Justification--Enter the total costs of fringe benefits, unless 
treated as part of an approved indirect cost rate. Provide a breakdown 
of amounts and percentages that comprise fringe benefit costs.
    Line 6c
    Travel--Enter total cost of all travel by employees of the project. 
Do not enter costs for consultant's travel.
    Justification--Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, mileage rate, transportation costs 
and subsistence allowances. Traveler must be a person listed under the 
personnel line or employee being paid under non-Federal share.

    (Note: Local transportation and consultant travel costs are entered 
on Line 6h.)

    Line 6d
    Equipment--Enter the total costs of all equipment to be acquired by 
the project. Equipment means an article of non-expendable, tangible 
personal property having a useful life of more than one year and an 
acquisition cost which equals or exceeds the lesser of (a) the 
capitalization level established by the organization for financial 
statement purposes, or (b) $5,000.

    (Note: If an applicant's current rate agreement was based on 
another definition for equipment, such as ``tangible personal property 
$500 or more,'' the applicant shall use the definition used by the 
cognizant agency in determining the rate(s). However, consistent with 
the applicant's equipment policy, lower limits may be set.)

    Justification--Equipment to be purchased with Federal funds must be 
required to conduct the project, and the applicant organization or its 
sub-grantees must not already have the equipment or a reasonable 
facsimile available to the project.
    Line 6e
    Supplies--Enter the total costs of all tangible personal property 
other than that included on line 6d.
    Justification--Provide a general description of what is being 
purchased such as type of supplies (office, classroom, medical, etc.). 
Include equipment costing less than $5,000 per item.
    Line 6f

[[Page 51680]]

    Contractual--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 sub-recipients, 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 U.S.C. 
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.

    Line 6g
    Construction--Not applicable.
    Line 6h
    Other--Enter the total of all other costs. Such costs, where 
applicable, may include, but are not limited to, insurance, food, 
medical and dental costs (non-contractual); fees and travel paid 
directly to individual consultants; local transportation (all travel 
which does not require per diem is considered local travel); space and 
equipment rentals; printing and publication; computer use training 
costs including tuition and stipends; training service costs including 
wage payments to individuals and supportive service payments; and staff 
development costs.
    Line 6j
    Indirect Charges--Enter the total amount of indirect costs. This 
line should be used only when the applicant currently has an indirect 
cost rate approved by DHHS or other Federal agencies.
    If the applicant organization is in the process of initially 
developing or renegotiating a rate, it should, immediately upon 
notification that an award will be made, develop a tentative indirect 
cost rate proposal based on its most recently completed fiscal year in 
accordance with the principles set forth in the pertinent DHHS Guide 
for Establishing Indirect Cost Rates and submit it to the appropriate 
DHHS Regional Office. It should be noted that when an indirect cost 
rate is requested, those costs included in the indirect cost pool 
cannot also be budgeted or charged as direct costs to the grant. 
Indirect costs consistent with approved indirect cost rate agreements 
are allowable. Also, if the applicant is requesting a rate which is 
less than what is allowed under the program, the authorized 
representative of the applicant organization must submit a signed 
acknowledgment that the applicant is accepting a lower rate than 
allowed.
    Line 6k
    Totals--Enter the total amount of Lines 6i and 6j.
    Line 7
    Program Income--Enter the estimated amount of income, if any, 
expected to be generated from this project. Separately show expected 
program income generated from OCS support and income generated from 
other mobilized funds. Do not add or subtract this amount from the 
budget total. Show the nature and source of income in the program 
narrative statement.
    Justification--Describe the nature, source and anticipated use of 
program income in the Program Narrative Statement.
Section C--Non-Federal Resources
    This section is to record the amounts of non-Federal resources that 
will be used to support the project. Non-Federal resources mean other 
than OCS funds for which the applicant has received a commitment. 
Provide a brief explanation, on a separate sheet, showing the type of 
contribution, broken out by Object Class Category, (see SF-424A, 
Section B.6) and whether it is cash or third party in-kind. The firm 
commitment of these required funds must be documented and submitted 
with the application in order to be given credit in the criterion.
    This documentation must be in the form of letters of commitment or 
letters of intent from the organization(s)/individuals from which funds 
will be received.
    Line 8
    Column (a)--Enter the project title.
    Column (b)--Enter the amount of cash or donations to be made by the 
applicant.
    Column (c)--Enter the State contribution.
    Column (d)--Enter the amount of cash and third party in-kind 
contributions to be made from all other sources.
    Column (e)--Enter the total of columns (b), (c), and (d).
    Lines 9, 10 and 11
    Leave Blank
    Line 12
    Carry the total of each column of Line 8, (b) through (e). The 
amount in Column (e) should be equal to the amount on Section A, Line 
5, Column (f).
    Justification--Describe third party in-kind contributions, if 
included.
Section D--Forecasted Cash Needs
    Line 13
    Federal--Enter the amount of Federal (OCS) cash needed for this 
grant, by quarter, during the 12-month budget period.
    Line 14
    Non-Federal--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15
    Totals--Enter the total of Lines 13 and 14.
Section F--Other Budget Information
    Line 21
    Direct Charges--Include narrative justification required under 
Section B for each object class category for the total project period.
    Line 22
    Indirect Charges--Enter the type of DHHS or other Federal agency 
approved indirect cost rate (provisional, predetermined, final or 
fixed) that will be in effect during the funding period, the estimated 
amount of the base to which the rate is applied and the total indirect 
expense. Also, enter the date the rate was approved, where applicable. 
Attach a copy of the approved rate agreement.
    Line 23
    Provide any other explanations and continuation sheets required or 
deemed necessary to justify or explain the budget information.

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

    All applicants must sign and return the ``Assurances'' with the 
application.

Part VI. Contents of Application and Receipt Process

A. Contents of Application

    Each Community Services Block Grant--Discretionary Awards--Special 
Initiatives 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, the

[[Page 51681]]

target population, and the major elements of the work plan.
    3. A 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. (Attachment B)
    4. Budget Information--Non-Construction Programs (SF-424A) 
(Attachment C);
    5. A narrative budget justification for each object class category 
required under Section B, SF-424A.
    6. Certification and Assurances Required:
    Applicants requesting financial assistance for a non-construction 
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard 
Form 424B with their applications (See Attachment D).
    Applicants must provide a certification regarding lobbying when 
applying for an award in excess of $100,000. Applicants must sign and 
return the certification with their application (See Attachment H).
    Applicants must disclose lobbying activities on the Standard Form 
LLL when applying for an award in excess of $100,000. Applicants who 
have used non-federal funds for lobbying activities in connection with 
receiving assistance under this announcement shall complete a 
disclosure form to report lobbying. Applicants must sign and return the 
disclosure form, if applicable, with their applications (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).
    Applicant must make the appropriate certification that they are not 
presently debarred, suspended or otherwise ineligible for an 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 statues 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 35 pages consisting of the 
Elements described in Part III 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 35 pages (See Part IV.D.2 for pages 
that do not count against the 35-page limit).
    8. Appendices--proof of nonprofit tax-exempt status as outlined in 
Part II, Section C; Single Point of Contact comments, if applicable, 
and resumes and position descriptions.
    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. 
Applicants must not include colored, oversized or folded materials. 
Applicants 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. Acknowledgment of Receipt

    All applicants will receive an acknowledgment with an assigned 
identification number. Applicants are requested to supply a self-
addressed mailing label with their Application, or a FAX number or e-
mail address which can be used for acknowledgment. The assigned 
identification number, along with any other identifying codes, must be 
referenced in all subsequent communications concerning the Application. 
If an acknowledgment is not received within three weeks after the 
deadline date, please notify the OCS Operations Center at 1-800-281-
9519.

Part VII. Post Award Information and Reporting Requirements

A. Notification of Grant Award

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

B. Reporting Requirements

    Grantees will be required to submit semi-annual program progress 
and financial reports (SF 269) as well as a final progress and 
financial report.

C. Audit Requirements

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

D. 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 sub-tier 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 sub-grantees (1) to certify that 
they have neither used nor will use any appropriated funds for payment 
to lobbyists, (2) to submit a declaration setting forth whether 
payments to lobbyists have been or will be made out of non-appropriated 
funds and, if so, the name, address, payment details, and purpose of 
any agreements with such lobbyists whom recipients or their subtier 
contractors or sub-grantees will pay with the non-appropriated funds 
and (3) to file quarterly up-dates about the use of lobbyists if an 
event occurs that materially affects the accuracy of the information 
submitted by way of declaration and certification.
    The law establishes civil penalties for noncompliance and is 
effective with respect to contracts, grants, cooperative agreements and 
loans entered into or made on or after December 23, 1989. See 
Attachment H, for certification and disclosure forms to be submitted 
with the applications for this program.

E. Applicable Federal Regulations

    Attachment K indicates the regulations which apply to all

[[Page 51682]]

applicants/grantees under the Community Services Block Grant--
Discretionary Awards--Special Initiatives.

    Dated: July 29, 2002.
Clarence H. Carter,
Director, Office of Community Services.
BILLING CODE 4184-01-P

List of Attachments

A. 2002 Poverty Income Guidelines For updates see: http://aspe.os.dhhs.gov/poverty/02poverty.htm
B. Standard Form 424, Application for Federal Assistance
C. Standard Form 424A, Budget Information--Non-Construction Programs
D. Standard Form 424B, Assurances--Non-Construction Programs
E. Certification Regarding Drug-Free Workplace Requirements
F. Certification Regarding Debarment, Suspension And Other 
Responsibility Matters
G. Intergovernmental Review State Single Point Of Contact (SPOC) 
List
H. Certification Regarding Lobbying and Disclosure Of Lobbying 
Activities, Standard Form LLL
I. Applicant's Checklist
J. Certification Regarding Environmental Tobacco Smoke
K. DHHS Regulations Applying To All Applicants/Grantees Under The 
Community Services Block Grant--Discretionary Awards--Special 
Initiatives

Attachment A

2002 Poverty Guidelines for the 48 Contiguous States and the District of
                                Columbia
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guideline
------------------------------------------------------------------------
1..........................................................       $8,860
2..........................................................       11,940
3..........................................................       15,020
4..........................................................       18,100
5..........................................................       21,180
6..........................................................       24,260
7..........................................................       27,340
8..........................................................       30,420
------------------------------------------------------------------------

    For family units with more than 8 members, add $3,080 for each 
additional member.
    (The same increment applies to smaller family sizes also, as can 
be seen in the figures above).

                   2001 Poverty Guidelines for Alaska
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guideline
------------------------------------------------------------------------
1..........................................................      $11,080
2..........................................................       14,930
3..........................................................       18,780
4..........................................................       22,630
5..........................................................       26,480
6..........................................................       30,330
7..........................................................       34,180
8..........................................................       38,030
------------------------------------------------------------------------

    For family units with more than 8 members, add $3,850 for each 
additional member.
    (The same increment applies to smaller family sizes also, as can 
be seen in the figures above).

                   2001 Poverty Guidelines for Hawaii
------------------------------------------------------------------------
                                                               Poverty
                    Size of family unit                       guidelines
------------------------------------------------------------------------
1..........................................................      $10,200
2..........................................................       13,740
3..........................................................       17,280
4..........................................................       20,820
5..........................................................       24,360
6..........................................................       27,900
7..........................................................       31,440
8..........................................................       34,180
------------------------------------------------------------------------

    For family units with more than 8 members, add $3,540 for each 
additional member.
    (The same increment applies to smaller family sizes also, as can 
be seen in the figures above).

BILLING CODE 4184-01-M

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[GRAPHIC] [TIFF OMITTED] TN08AU02.000

BILLING CODE 4184-01-C

[[Page 51684]]

Attachment B--Instructions for the SF-424

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

Item and Entry

    1. Self-explantatory.
    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 organization unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:
    --``New'' means a new assistance award.
    --``Continuation'' means an extension for an additional funding/
budget period for a 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-M

[[Page 51685]]

[GRAPHIC] [TIFF OMITTED] TN08AU02.001


[[Page 51686]]


[GRAPHIC] [TIFF OMITTED] TN08AU02.002

BILLING CODE 4184-01-C

[[Page 51687]]

Attachment C--Instructions for the SF-424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0044), 
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.
    Line 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 amounts(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.

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

[[Page 51688]]

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 (Pub. L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (Pub. 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 
(Pub. 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 (Pub. L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with provisions of the Hatch Act 
(5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political 
activities of employees whose principal employment activities are 
funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally-assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (Pub. 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 (Pub. L. 91-190) and Executive 
Order (EO) 11514; (b) notification of violating facilities pursuant 
to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clean Air) Implementation Plans under Section 
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as amended 
(Pub. L. 93-523); and, (h) protection of endangered species under 
the Endangered Species Act of 1973, as amended (Pub. 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 will Pub. 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 
(Pub. L. 89-544, as amended, 7 U.S.C. Secs. 2131 et seq.) pertaining 
to the care, handling, and treatment of warm blooded animals held 
for research, teaching, or other activities supported by this award 
of assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead-
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act Amendments 
of 1996 and OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations.''
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
this program.

Signature of Authorized Certifying Official
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Title
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Applicant Organization
-----------------------------------------------------------------------
Date Submitted
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Attachment E--Certification Regarding Drug-Free Workplace Requirements

    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart F, 
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that 
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central point is: Division of Grants Management and 
Oversight, Office of Management and Acquisition, Department of 
Health and Human Services, Room 517-D, 200 Independence Avenue, SW., 
Washington, DC 20201.
    Certification Regarding Drug-Free Workplace Requirements 
(Instructions for Certification)
    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards

[[Page 51689]]

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

Attachment F--Certification Regarding Debarment, Suspension and Other 
Responsibility Matters

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

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    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

[[Page 51690]]

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

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

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

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

Instructions for Certification

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

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

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

Attachment G--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

[[Page 51691]]

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 for 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 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 95910, Telephone: 011-671-472-
2285, Fax: 011-472-2825, [email protected]

[[Page 51692]]

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.

BILLING CODE 4184-01-C

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 of employee of Congress, or 
an employee of a Member of Congress in connection with 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 contract 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.

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Signature
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Title
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Organization

BILLING CODE 4184-01-M

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BILLING CODE 4184-01-C

Attachment H--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. 
Complete all items that apply for both the initial filing and 
material change report. Refer to the implementing guidance published 
by the Office of Management and Budget for additional information.
    1. Identify the type of covered Federal action for which 
lobbying activity is and/or has been secured to influence the 
outcome of a covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If 
this is a followup report caused by a material change to the 
information previously reported, enter the year and quarter in which 
the change occurred. Enter the date of the last previously submitted 
report by this reporting entity for this covered Federal action.
    4. Enter the full name, address, city, State and zip code of the 
reporting entity. Include Congressional District, if known. Check 
the appropriate classification of the reporting entity that 
designates if it is, or expects to be, a prime or subaward 
recipient. Identify the tier of a subawardee, e.g., the first 
subawardee of the prime is the 1st tier. Subawards include but are 
not limited to subcontracts, subgrants and contract awards under 
grants.
    5. If the organization filing the report in item 4 checks 
``Subawardee,'' then enter the full name, address, city, State and 
zip code of the prime Federal recipient. Include Congressional 
District, if known.
    6. Enter the name of the Federal agency making the award or loan 
commitment.

[[Page 51694]]

Include at least one organizational level below agency name, if 
known. For example, Department of Transportation, United States 
Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative 
agreements, loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number 
available for the Federal action identified in item 1 (e.g., Request 
for Proposal (RFP) number; Invitation for Bid (IFB) number; grant 
announcement number; the contract, grant, or loan award number; the 
application/proposal control number assigned by the Federal agency). 
Include prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been an award or 
loan commitment by the Federal agency, enter the Federal amount of 
the award/loan commitment for the prime entity identified in item 4 
or 5.
    10. (a) Enter the full name, address, city, State and zip code 
of the lobbying registrant under the Lobbying Disclosure Act of 1995 
engaged by the reporting entity identified in item 4 to influence 
the covered Federal action.
    (b) Enter the full names of the individual(s) performing 
services, and include full address if different from 10(a). Enter 
Last Name, First Name, and Middle Initial (MI).
    11. The certifying official shall sign and date the form, print 
his/her name, title, and telephone number.
    According to the Paperwork Reduction Act, as amended, no persons 
are required to respond to a collection of information unless it 
displays a valid OMB Control Number. The valid OMB control number 
for this information collection is OMB No. 0348-0046. Public 
reporting burden for this collection of information is estimated to 
average 10 minutes per response, including time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0046), 
Washington, DC 20503.
BILLING CODE 4184-01-M

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BILLING CODE 4184-01-C

Attachment J--Certification Regarding Environmental Tobacco Smoke

    Public Law 103227, Part C Environmental Tobacco Smoke, also 
known as the Pro Children Act of 1994, requires that smoking not be 
permitted in any portion of any indoor routinely owned or leased or 
contracted for by an entity and used routinely or regularly for 
provision of health, day care, education,

[[Page 51696]]

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

 Attachment K--DHHS Regulations Applying to All Applicants/Grantees 
Under the Community Economic Development Program--Special Initiatives

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, 1988)
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human 
Services Programs and Activities

[FR Doc. 02-19770 Filed 8-7-02; 8:45 am]
BILLING CODE 4184-01-M