[Federal Register Volume 69, Number 97 (Wednesday, May 19, 2004)]
[Notices]
[Pages 28896-28907]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-11236]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Grants and Cooperative Agreements; Availability, etc: Amercian 
Indian and Native Alaskan Incremental Development Projects; Community 
Services Block Grant Program

    Program Office Name: Office of Community Services.
    Funding Opportunity Title: The Community Services Block Grant 
Program Community Economic Development Discretionary Grant Program--
Priority Area: Incremental Development Projects--American Indian and 
Native Alaskan.
    Announcement Type: Initial.
    Funding Opportunity Number: HHS-2004-ACF-OCS-ID-0023.
    CFDA Number: 93.570.
    Due Dates for Applications: The due date for receipt of 
applications is July 19, 2004.

I. Funding Opportunity Description

    The Community Services Block Grant (CSBG) Act of 1981, as amended, 
(Section 680 of the Community Opportunities, Accountability, and 
Training and Educational Services Act of 1998), authorizes the 
Secretary of the U.S. Department of Health and Human Services to make 
grants to provide technical and financial assistance for economic 
development activities designed to address the economic needs of low-
income individuals and families by creating employment and business 
development opportunities. Low-income beneficiaries include those who 
are determined to be living in poverty as determined by the HHS 
Guidelines on Poverty (See Appendix A), are unemployed, on public 
assistance, including Temporary Assistance for Needy Families (TANF), 
are at risk teenagers, custodial and non-custodial parents, public 
housing residents, persons with disabilities and persons who are 
homeless. Under this priority area, the Office of Community Services 
(OCS) is particularly interested in receiving applications from urban 
and tribal American Indian and Alaskan Village community development 
corporations and other community development corporations (CDC) 
including faith-based ones.

Definitions of Terms

    The following definitions apply:
    Beneficiaries--Low-income individuals (as defined in the most 
recent annual revision of the Poverty Income Guidelines published by 
the U.S. Department of Health and Human Services) who receive direct 
benefits and low-income communities that receive direct benefits.
    Budget Period--The time interval into which a grant period is 
divided for budgetary and funding purposes.
    Business Start-up Period--Time interval when the grantee completes 
preliminary project tasks. These tasks include but are not limited to 
assembling key staff, executing contracts, administering lease out or 
build-out of space for occupancy, purchasing plant and equipment and 
other similar activities. The Business Start-Up Period typically 
entails three to six months from when OCS awards the grant or 
cooperative agreement.
    Cash contributions--The recipient's cash outlay, including the 
outlay of money contributed to the recipient by the third parties.

[[Page 28897]]

    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, which 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, as well as job opportunities for 
its residents.
    Construction projects--Projects that support the initial building 
or large scale modernization or permanent improvement of a facility.
    Cooperative Agreement--An award instrument of financial assistance 
when substantial involvement is anticipated between the awarding 
office, (the Federal government) and the recipient during performance 
of the contemplated project.
    Developmental/Research Phase--The time interval during the Project 
Period that precedes the Operational Phase. Grantees accomplish 
preliminary activities during this phase including establishing third 
party agreements, mobilizing monetary funds and other resources, 
assembling, rezoning, and leasing of properties, conducting 
architectural and engineering studies, constructing facilities, etc.
    Displaced worker--An individual in the labor market who has been 
unemployed for six months or longer.
    Distressed community--A geographic urban neighborhood or rural 
community of high unemployment and pervasive poverty.
    Employment education and training program--A program that provides 
education and/or training to welfare recipients, at-risk youth, public 
housing tenants, displaced workers, homeless and low-income individuals 
and that has demonstrated organizational experience in education and 
training for these populations.
    Empowerment Zone and Enterprise Community Project Areas (EZ/EC)--
Urban neighborhoods and rural areas designated as such by the Secretary 
of Agricultural or Housing and Urban Development.
    Equity investment--The provision of capital to a business entity 
for some specified purpose in return for a portion of ownership using a 
third party agreement as the contractual instrument.
    Faith-Based Community Development Corporation--A community 
development corporation that has a religious character.
    Hypothesis--An assumption made in order to test a theory. It should 
assert a cause-and-effect relationship between a program intervention 
and its expected result. Both the intervention and its result must be 
measured in order to confirm the hypothesis. The following is a 
hypothesis: ``Eighty hours of classroom training will be sufficient for 
participants to prepare a successful loan application.'' In this 
example, data would be obtained on the number of hours of training 
actually received by participants (the intervention), and the quality 
of loan applications (the result), to determine the validity of the 
hypothesis (that eighty hours of training is sufficient to produce the 
result).
    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 is an intervention.
    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 contingent only on OCS accepting the applicant's 
project proposal.
    Loan--Money lent to a borrower under a binding pledge for a given 
purpose to be repaid, usually at a stated rate of interest and within a 
specified period.
    Non-profit Organization--An organization, including faith-based and 
community-based, that provides proof of non-profit status described in 
the ``Additional Information on Eligibility'' section of this 
announcement.
    Operational Phase--The time interval during the Project Period when 
businesses, commercial development or other activities are in 
operation, and employment, business development assistance, and so 
forth are provided.
    Outcome evaluation--An assessment of project results as measured by 
collected data that define the net effects of the interventions applied 
in the project. An outcome evaluation will produce and interpret 
findings related to whether the interventions produced desirable 
changes and their potential for being replicated. It should answer the 
question: Did this program work?
    Poverty Income Guidelines--Guidelines published annually by the 
U.S. Department of Health and Human Services that establish the level 
of poverty defined as low-income for individuals and their families. 
The guideline information is posted on the Internet at the following 
address: http://aspe.hhs.gov/poverty.shtml
    Process evaluation--The ongoing examination of the implementation 
of a program. It focuses on the effectiveness and efficiency of the 
program's activities and interventions (for example, methods of 
recruiting participants, quality of training activities, or usefulness 
of follow-up procedures). It should answer the questions such as: Who 
is receiving what services and are the services being delivered as 
planned? It is also known as formative evaluation, because it gathers 
information that can be used as a management tool to improve the way a 
program operates while the program is in progress. It should also 
identify problems that occurred, how the problems were resolved and 
what recommendations are needed for future implementation.
    Pre-Development Phase--The time interval during the Project Period 
when an applicant or grantee plans a project, conducts feasibility 
studies, prepares a business or work plan and mobilizes non-OCS 
funding.
    Program income--Gross income earned by the grant recipient that is 
directly generated by an activity supported with grant funds.
    Project Period--The total time for which a project is approved for 
OCS support, including any approved extensions.
    Revolving loan fund--A capital fund established to make loans 
whereby repayments are re-lent to other borrowers.
    Self-employment--The employment status of an individual who engages 
in self-directed economic activities.
    Self-sufficiency--The economic status of a person who does not 
require public assistance to provide for his/her needs and that of his/
her immediate family.
    Sub-award--An award of financial assistance in the form of money, 
or property, 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

[[Page 28898]]

``award'' in 45 CFR Part 74. Note: Equity investments and loan 
transactions are not sub-awards.
    Technical assistance--A problem-solving event generally using 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 immediate resolution of a 
given problem or set of problems.
    Temporary Assistance for Needy Families (TANF)--The Federal block 
grant program authorized in Title I of the Personal Responsibility and 
Work Opportunity Reconciliation Act of 1996 (Public Law 104-193). The 
TANF program transformed ``welfare'' into a system that requires work 
in exchange for time-limited assistance.
    Third party--Any individual, organization or business entity that 
is not the direct recipient of grant funds.
    Third party agreement--A written agreement entered into by the 
grantee and an organization, individual or business entity (including a 
wholly owned subsidiary), by which the grantee makes an equity 
investment or a loan in support of grant purposes.
    Third party in-kind contributions--Non-cash contributions provided 
by non-Federal third parties. These contributions may be in the form of 
real property, equipment, supplies and other expendable property, and 
the value of goods and services directly benefiting and especially 
identifiable to the project or program.
Project Goals
    CED projects further HHS goals of strengthening American families 
and promoting their self-sufficiency and OCS goals of promoting healthy 
families in healthy communities. CED is particularly directed toward 
public-private partnerships that develop employment and business 
opportunities for low-income people and revitalize distressed 
communities.
Project Scope
    Projects include business startups, business expansions, 
development of new products and services, and other newly-undertaken 
physical and commercial activities. Projects must result in creation of 
new jobs. Each applicant must describe the project scope which includes 
the low-income community to be served, business activities to be 
undertaken and the types of jobs to be created.

Priority Area

Community Economic Development Program

Priority Area: Incremental Development Projects (IDP)--American Indian 
and Native Alaskan
    OCS will fund nonprofit Tribal, Urban Indian Centers or Alaska 
Native CDCs or nonprofit non-Indian CDCs that assist Indian tribes or 
Alaskan Native Communities in carrying out business development 
activities for their members; business startups, business expansions, 
development of new services or industries, and other newly-undertaken 
physical and commercial activities. If the CDC is non-Indian or non-
Alaska Native, the application must reflect a significant partnership 
role for the tribe or community. The application must contain a 
written, signed agreement from an authorized tribal official confirming 
the tribe's significant involvement in the project. By entering into a 
partnership agreement with a tribe, the applicant will be considered to 
have fulfilled the goal of mobilizing non-discretionary program dollars 
and will be granted the maximum number of points in that category.
    An eligible community development corporation applicant must submit 
a business plan that shows the economic feasibility of the venture. An 
applicant for an Incremental Development Project does not have to have 
in place all signed written commitments from other funding sources 
contributing to the project, but it must describe probable funding 
sources and any conditions under which they may be made available. In 
addition, an applicant for Incremental Development funds does not have 
to have in place all third party agreements but must describe needed 
third parties, their contributions and qualifications, and the 
feasibility of bringing them into the project. Letters of support from 
community stakeholders are welcome. An applicant must also clearly 
explain whether it has site control, and if not, the time period 
required to obtain site control.
    OCS will support an Incremental Development Project under a 
cooperative agreement. A cooperative agreement is an award instrument 
of financial assistance used when substantial involvement is 
anticipated between OCS and the grantee during performance of the 
project. OCS will outline a plan of interaction with the grantee for 
implementation under the cooperative agreement. A schedule of tasks 
will be developed and agreed upon in addition to any special conditions 
relating to the implementation of the project.
    The duties and responsibilities of the applicant and ACF/OCS in 
fulfilling the Cooperative Agreement during each phase will include the 
following:
    Responsibilities of the grantee:
     To implement activities described in the approved project 
description;
     Develop and implement work plans that will ensure that the 
services and activities included in the approved application address 
the goals and objectives of the approved project in an efficient, 
effective and timely manner;
     Submit regular semi-annual Financial Status (Standard Form 
269) and progress reports that describe activities including, at a 
minimum, (a) information about the actions taken to implement the 
proposed project, and (b) the proposed plan for outcomes measurement 
and program evaluation of the activities supported with Federal funds.
     Work cooperatively and collaboratively with ACF officials, 
other Federal agency officials conducting related activities, and other 
entities or organizations contracted by ACF to assist in carrying out 
the purposes of the Community Economic Development Program; such 
cooperation and collaboration shall include, but not be limited to, 
providing requested financial and programmatic information, creating 
opportunities for interviews with agency officials and staff, and 
allowing on-site observation of activities supported under the 
cooperative agreement;
     Notify the Office of Community Services Project Officer if 
revisions are needed to the cooperative agreement;
     Consult with the Office of Community Services Project 
Officer in implementing the activities on an Ongoing and frequent basis 
during each phase of the project;
     Comply with Community Economic Development Program 
regulations (unless otherwise expressly waived in the approved 
application) and all other applicable Federal statutes and regulations 
in effect during the time that applicant is receiving grant funding;
     Notify the Office of Community Services Project Officer of 
any key personnel changes in writing;
     Ensure that the executive director and/or project 
director, and the evaluator are qualified to perform their 
responsibilities;
     Attend a two-day national workshop in Washington, DC. The 
workshop will be scheduled shortly after the effective date of the 
grant award. Additionally, the project director should plan annual 
meetings with their

[[Page 28899]]

program and grants management specialists each year, thereafter, during 
the life of the grant. The evaluator should also attend a final 
evaluation workshop to be held at the end of the project period. 
Project budgets must include funds from the OCS award for travel to and 
attendance at these meetings and workshops; and
    Responsibilities of ACF/OCS:
     To provide consultation to the grantee with regard to the 
development of the work plan, approaches to address problems that 
arise, and identification of areas needing technical assistance;
     To consult with and to provide the grantee the data 
collection requirements of OCS, and to keep the grantee informed of 
policy developments as they affect the implementation of the project;
     To provide timely review, comment and decisions on 
significant project documents;
     To work together to address issues or problems with regard 
to the grantee's ability to carry out the full range of activities 
included in the approved application in the most efficient and 
effective manner;
     To promptly review written requests for approval of 
deviations from the project description or approved budget. Any changes 
which affect the terms and conditions of the grant award or revisions/
amendments to the cooperative agreement or to the approved scope of 
activities will require prior approval by the ACF Grants Management 
Officer; and
    An applicant requesting funding for an IDP must request the total 
amount of CED funding needed for the project on the SF424, Application 
for Federal Assistance. The maximum CED award for an IDP can be no more 
than $700,000 per project.
    Applications that are exclusively for construction may have project 
periods of up to five years with continuation funding every twelve 
months. First year funding will be awarded for up to 20% of the 
requested total amount, not to exceed $140,000. The application must 
also include an incremental budget based on the design of the project 
for the four remaining years, not to exceed the balance of the total 
requested funding. A minimum of 2% of the award, or a minimum of 
$14,000, must be set aside for each continuation year.
    Non-construction projects may have project periods of up to three 
years with continuation funding every twelve months. First year funding 
will be awarded for up to 20% of the total requested amount, not to 
exceed $140,000. The applicant must also include an incremental budget 
based on the design of the project for the two remaining years, not to 
exceed the balance of the total requested funding. A minimum of 2% of 
the award, or a minimum of $14,000, must be set aside for each 
continuation year.
    Funding beyond the first 20% is dependent on a grantee's 
documenting (1) site control, (2) all of the non-CED funding required 
to complete the project and (3) referral sources. In addition, 
continuing funding will be subject to the availability of funds, 
satisfactory progress by the grantee on the project and a determination 
that continuation is in the best interests of the Federal Government. 
The decision to continue funding the project is at the sole discretion 
of OCS.
    Applicants awarded a FY 2003 Incremental Development Project (IDP) 
grant cannot receive a second IDP grant until the first grant is 
significantly complete and has met most of its proposed goals and 
objectives. Particular attention will be paid to satisfying all job 
creation commitments.

II. Award Information

    Funding Instrument Type: Cooperative Agreement.
    Anticipated Total Priority Area Funding: $140,000 in FY2004.
    Anticipated Number of Awards: 1-2.
    Ceiling on Amount of Individual Awards: $700,000 per project 
period.
    The first increment of an Incremental Development Project may not 
exceed $140,000. An application that exceeds the upper value of the 
dollar range specified will be considered ``non-responsive'' and be 
returned to the applicant without further review.
    Floor of Individual Award Amounts: None.
    Average Projected Award Amount: $70,000 per initial budget period.

III. Eligibility Information

1. Eligible Applicants
    Nonprofits having a 501(c) (3) status with the IRS, other than 
institutions of higher education. Nonprofits that do not have a 501(c) 
(3) status with the IRS, other than institutions of higher education. 
Faith-based community development corporations are eligible to apply.
    An applicant must be a private, non-profit community development 
corporation (CDC). For purposes of this grant program, the CDC must be 
governed by a Board of Directors consisting of residents of the 
community and business and civic leaders. The CDC must have as a 
principal purpose planning, developing, or managing low-income housing 
or community development activities.

Additional Information on Eligibility

    Applications that do not include proof of nonprofit status with 
their application will be disqualified.
    Any non-profit organization submitted 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) A reference to the applicant organization's listing in the 
Internal Revenue Service's (IRS) most recent list of tax-exempt 
organizations described in the IRS Code.
    (b) A copy of a currently valid IRS tax exemption certificate.
    (c) A statement from a State taxing body, State attorney general, 
or other appropriate State official certifying that the applicant 
organization has a non-profit status and that none of the net earnings 
accrue to any private shareholders or individuals.
    (d) A certified copy of the organization's certificate of 
incorporation or similar document that clearly establishes non-profit 
status.
    (e) Or any of the items referenced above for a State or national 
parent organization and a statement signed by the parent organization 
that the applicant organization is a local non-profit affiliate. For 
American Indian Tribes and Alaska Native Villages, proof of non-profit 
status can also be documented by submitting a Federal Register listing 
as a Federally-recognized tribe.
    Private, non-profit organizations are encouraged to submit with 
their applications the survey located under ``Grant Related Documents 
and Forms'' titled ``Survey for Private, Non-Profit Grant Applicants'' 
at www.acf.hhs.gov/programs/ofs/forms.htm.
    Applicants that do not include proof of CDC status in the 
application will be disqualified.
    An applicant must be a private, non-profit Community Development 
Corporation. For purposes of this grant program, the CDC must be 
governed by a Board of Directors consisting of residents of the 
community and business and civic leaders. The CDC must have as a 
principal purpose, planning, developing, or managing low-income housing 
or community development projects.
    Applicants must document their eligibility as a CDC for the 
purposes of this grant program. The application must include a list of 
governing board members along with their designation as a community 
resident, or business or civic leader. In addition, the application 
must include documentation that the

[[Page 28900]]

organization has as a primary purpose planning, developing or managing 
low income housing or community development activities. This 
documentation may include incorporation documents or other official 
documents that identify the organization.
2. Cost Sharing or Matching
    None.
    There is no cost sharing or matching requirement but most projects 
require significant funding in addition to the Federal CED funds so 
applicants are strongly encouraged to mobilize the resources needed for 
a successful project. The ability to mobilize resources is considered 
in evaluating the feasibility of a proposal.
3. Other
    On June 27, 2003, the Office of Management and Budget published in 
the Federal Register a new Federal policy applicable to all Federal 
grant applicants. The policy requires all Federal grant applicants to 
provide a Dun and Bradstreet Data Universal Numbering System (DUNS) 
number when applying for Federal grants or cooperative agreements on or 
after October 1, 2003. The DUNS number will be required whether an 
applicant is submitting a paper application or using the government-
wide electronic portal (www.Grants.gov). A DUNS number will be required 
for every application for a new award or renewal/continuation of an 
award, including applications or plans under formula, entitlement and 
block grant programs, submitted on or after October 1, 2003.
    Please ensure that your organization has a DUNS number. You may 
acquire a DUNS number at no cost by calling the dedicated toll-free 
DUNS number request line on 1-866-705-5711 or you may request a number 
on-line at http://www.dnb.com.

IV. Application and Submission Information

1. Address To Request Application Package
    Office of Community Services, Administration for Children and 
Families, 370 L'Enfant Promenade, SW., Suite 500 West, Washington, DC 
20447, Email: [email protected], Telephone: (800) 281-9519.
2. Content and Form of Application Submission

A. Application Content

    Each application must include the following components:
    1. Table of Contents.
    2. Abstract of the Proposed Project--one or two paragraphs, not to 
exceed 350 words, that describe the community in which the project will 
be implemented, beneficiaries to be served, type(s) of business(es) to 
be developed, type(s) of jobs to be created, projected cost-per-job, 
any land or building to be purchased or building constructed, resources 
leveraged and intended impact on the community.
    3. Completed Standard Form 424--that has been signed by an official 
of the organization applying for the grant who has legal authority to 
obligate the organization. Under Box 11., include ``Priority Area 1 
Operational Grant.''
    4. Standard Form 424A--Budget Information-Non-Construction 
Programs.
    5. Standard Form 424B--Budget Information--Construction Programs.
    6. Narrative Budget Justification--for each object class category 
required under Section B, Standard Form 424A and/or 424B, as 
applicable.
    6. Project Narrative--A narrative that addresses issues described 
in the ``Application Review Information'' and the ``Review and 
Selection Criteria'' sections of this announcement.

B. Application Format

    Submit application materials on white 8\1/2\ x 11 inch paper only. 
Do not use colored, oversized or folded materials.
    Do not include organizational brochures or other promotional 
materials, slides, films, clips, etc.
    The font size may be no smaller than 12 pitch and the margins must 
be at least one inch on all sides.
    Number all application pages sequentially throughout the package, 
beginning with the abstract of the proposed project as page number one.
    Present application materials either in loose-leaf notebooks or in 
folders with pages two-hole punched at the top center and fastened 
separately with a slide paper fastener.

C. Page Limitation

    The application package including sections for the Table of 
Contents, Project Abstract, Project and Budget Narratives, and business 
and work plans must not exceed 40 pages. The page limitation does not 
include Standard Forms and Assurances, Certifications, Disclosures, 
appendices and any supplemental documents as required in this 
announcement.

D. Required Standard Forms

    Applicants must submit Standard Form (SF) 424, Request for 
Financial Assistance.
    Applicants requesting financial assistance for a non-construction 
project must sign and return Standard Form 424A, Assurances: Non-
Construction Programs with their applications.
    Applicants requesting financial assistance for a construction 
project must sign and return Standard Form 424B, Assurances: 
Construction Programs with their applications.
    Applicants must provide a Certification Regarding Lobbying. Prior 
to receiving an award in excess of $100,000, applicants must furnish an 
executed copy of the lobbying certification. Applicants must sign and 
return the certification with their application.
    Applicants must make the appropriate certification of their 
compliance with all Federal statues relating to nondiscrimination. 
Applicants provide certification by signing the SF424 and need not mail 
back the certification with the application.
    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. 
Applicants provide certification by signing the SF424 and need not mail 
back the certification with the application.
3. Submission Date and Times
    The closing time and date for receipt of applications is 4:30 p.m. 
Eastern Standard Time (EST) on July 19, 2004. Mailed or hand carried 
applications received after 4:30 p.m. on 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 U.S. Department of Health and Human Services, 
Administration for Children and Families, Office of Community Services 
Operations Center, 1815 Fort Meyer Drive, Suite 300, Arlington, 
Virginia 22209 Attention: Daphne Weeden. Applicants are responsible for 
mailing applications well in advance, when using all mail services, to 
ensure that the applications are received on or before the deadline 
time and date.
    Applications hand carried by applicants, applicant couriers, 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. 
and 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 Fort Meyer Drive, Suite 300, 
Arlington, Virginia 22209

[[Page 28901]]

Attention: Operations Center between Monday and Friday (excluding 
Federal holidays). This address must appear on the envelope/package 
containing the application with the note: ``Attention: Operations 
Center''. Applicants are cautioned that express/overnight mail services 
do not always deliver as agreed.
    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.
    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 mails service. Determinations 
to extend or waive deadline requirements rest with the Chief Grants 
Management Officer.
    Required Forms:

----------------------------------------------------------------------------------------------------------------
                                                         Required form or
         What to submit             Required content          format                   When to submit
----------------------------------------------------------------------------------------------------------------
Table of Contents...............  As described above.  Consistent with      By application due date.
                                                        guidance in
                                                        ``Application
                                                        Format'' section
                                                        of this
                                                        announcement.
Abstract of Proposed Project....  Brief abstract that  Consistent with      By application due date.
                                   identifies the       guidance in
                                   type of project,     ``Application
                                   the target           Format'' section
                                   population and the   of this
                                   major elements of    announcement.
                                   the proposed
                                   project.
Completed Standard Form 424.....  As described above   May be found on      By application due date.
                                   and per required     http://
                                   form.                www.acf.hhs.gov/programs/ofs/forms.htm.
Narrative Budget Justification..  As described above.  Consistent with      By application due date.
                                                        guidance in
                                                        ``Application
                                                        Format'' section
                                                        of this
                                                        announcement.
Project Narrative...............  A narrative that     Consistent with      By application due date.
                                   addresses issues     guidance in
                                   described in the     ``Application
                                   ``Application        Format'' section
                                   Review               of this
                                   Information'' and    announcement.
                                   the ``Review and
                                   Selection
                                   Criteria''
                                   sections of this
                                   announcement.
Certification regarding lobbying  As described above   May be found on      By application due date.
                                   and per required     http://
                                   form.                www.acf.hhs.gov/programs/ofs/forms.htm.
----------------------------------------------------------------------------------------------------------------

    Additional Forms: Private-non-profit organizations are encouraged 
to submit with their applications the additional survey located under 
``Grant Related Documents and Forms'' titled ``Survey for Private, Non-
Profit Grant Applicants.''

----------------------------------------------------------------------------------------------------------------
                                                         Required form or
         What to submit             Required content          format                   When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit    Per required form..  May be found on      By application due date.
 Grant Applicants.                                      http://www.acf.hhs.gov/programs/ofs/grants/form.htm.
----------------------------------------------------------------------------------------------------------------

4. Intergovernmental Review
State Single Point of Contact (SPOC)
    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs. As of October 1, 2003, the following 
jurisdictions have elected not to participate in the Executive Order 
process. Applicants from these jurisdictions or for projects 
administered by federally-recognized Indian Tribes need take no action 
in regard to E.O. 12372:
    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 twenty-seven jurisdictions need 
take no action.
    Although the jurisdictions listed above no longer participate in 
the process, entities which have met the eligibility requirements of 
the program are still eligible to apply for a grant even if a State, 
Territory, Commonwealth, etc. does not have a SPOC. All remaining 
jurisdictions participate in the Executive Order process and have 
established SPOCs. Applicants from participating jurisdictions should 
contact their SPOCs as soon as possible to alert them of the 
prospective applications and receive instructions. Applicants must 
submit any required material to the SPOCs as soon as possible so that 
the program office can obtain and review SPOC comments as part of the 
award process. The applicant must submit all required materials, if 
any, to the SPOC and indicate the date of this submittal (or the date 
of contact 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

[[Page 28902]]

Human Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462, 
Washington, DC 20447.
    A list of the Single Points of Contact for each State and Territory 
is included with the application materials for this announcement.
5. Funding Restrictions
Cost Per Job
    OCS will not fund projects with a cost-per-job in CED funds that 
exceeds $10,000. An exception will be made if the project includes 
purchase of land or a building, or major renovation or construction of 
a building. In this instance, the applicant must explain the factors 
that raise the cost beyond $10,000. In no instance, will OCS allow for 
more than $15,000 cost-per-job in CED funds. Cost per job is calculated 
by dividing the number of jobs to be created by the amount of the CED 
grant request.
National Historic Preservation Act
    If an applicant is proposing a project which will affect a property 
listed in, or eligible for, inclusion in the National Register of 
Historic Places, it must identify this property in the narrative and 
explain how it has complied with the National Historic Preservation Act 
of 1996, as amended. If there is any question as to whether the 
property is listed in or eligible for inclusion in the National 
Register of Historic Places, the applicant must consult with the State 
Historic Preservation Officer and describe in the narrative the content 
of such consultation.
Sub-Contracting or Delegating Projects
    OCS will not fund any project where the role of the applicant is 
primarily to serve as a conduit for funds to organizations other than 
the applicant. The applicant must have a substantive role in the 
implementation of the project for which funding is requested. This 
prohibition does not bar the making of sub-grants or sub-contracting 
for specific services or activities needed to conduct the project.
Number of Projects in Application
    Except for the retail development initiative, each application may 
include only one proposed project.
Prohibited Activities
    OCS will not consider applications that propose to establish Small 
Business Investment Corporations or Minority Enterprise Small Business 
Investment Corporations.
    OCS will not fund projects that are primarily education and 
training projects. In projects where participants must be trained, any 
funds proposed for training must be limited to specific job-related 
training to those individuals who have been selected for employment in 
the grant-supported project. Projects involving training and placement 
for existing vacant positions will be disqualified from competition.
    OCS will not fund projects that would result in the relocation of a 
business from one geographic area to another resulting in job 
displacement.
    Pre-award costs will not be covered by an award.
6. Other Submission Requirements
Private Nonprofit Community Development Corporation
    Applicants must provide proof of nonprofit status and proof of 
status as a community development corporation as required by statute 
and as described under ``Additional Information on Eligibility.''
Sufficiency of Financial Management System
    Because CED funds are Federal, all grantees must be capable of 
meeting the requirements of 45 CFR Part 74 concerning their financial 
management system. To assure that the applicant has such capability, 
applications must include a signed statement from a Certified or 
Licensed Public Accountant as to the sufficiency of the CDCs financial 
management system in accordance with 45 CFR 74 and financial statements 
for the CDC for the prior three years. If such statements are not 
available because the CDC is a newly formed entity, the application 
must include a statement to this effect. The CDC grantee is responsible 
for ensuring that grant funds expended by it and a third party are 
expended in compliance with Federal Regulations of 45 CFR, Part 74 and 
OMB Circular A-122.
Business Plan
    Applications for Priority Area 3. Incremental Development 
Projects--Native Americans, must submit a business plan. For incubator 
or microenterprise development projects, the business plan covers the 
project, not the individual business plans of beneficiaries.
    The business plan is a major component that will be evaluated by an 
expert review panel, OCS and OGM to determine the feasibility of a 
business venture or other economic development project. It must address 
all the relevant elements as follows:
    (1) Executive Summary (limit to 2 pages)
    (2) Description of the business: The business as a legal entity and 
its general business category. Business activities must be described by 
Standard Industrial Codes (SIC) using the North American Industry 
Classification System (NAICS) and jobs by occupational classification. 
This information is published by the U.S. Department of Commerce in the 
Statistical Abstract of the United States, 1998, Tables No. 679 and 
680. These tables include information necessary to meet this 
requirement.
    (3) Description of the industry, current status and prospects.
    (4) Products and services, including detailed descriptions of:
    (a) Products or services to be sold;
    (b) Proprietary position of any of the product, e.g., patents, 
copyright, trade secrets;
    (c) Features of the product or service that may give it an 
advantage over the competition;
    (5) Market Research: This section describes the research conducted 
to assure that the business has a substantial market to develop and 
achieve sales in the face of competition. This includes researching:
    (a) Customer base: Describe the actual and potential purchasers for 
the product or service by market segment.
    (b) Market size and trends: Describe the site of the current total 
market for the product or service offered;
    (c) Competition: Provide an assessment of the strengths and 
weaknesses of the competition in the current market;
    (d) Estimated market share and sales: Describe the characteristics 
of the product or service that will make it competitive in the current 
market;
    (6) Marketing Plan: The marketing plan details the product, 
pricing, distribution, and promotion strategies that will be used to 
achieve the estimated market share and sales projections. The marketing 
plan must describe what is to be done, how it will be done and who will 
do it. The plan addresses overall marketing, strategy, packaging, 
service and warranty, pricing, distribution and promotion.
    (7) Design and Development Plans: If the product, process or 
service of the proposed venture requires any design and development 
before it is ready to be placed on the market, describe the nature, 
extent and cost of this work. The section covers items such as 
development status and tasks, difficulties and risks, product 
improvement and new products and costs.

[[Page 28903]]

    (8) Operations Plan: An operations plan describes the kind of 
facilities, site location, space, capital equipment and labor force 
(part and/or full time and wage structure) that are required to provide 
the company's product or service.
    (9) Management Team: This section describes the technical, 
managerial and business skills and experience to be brought to the 
project. This a description of key management personnel and their 
primary duties; compensation and/or ownership; the organizational 
structure and placement of this proposed project within the 
organization; the board of directors; management assistance and 
training needs; and supporting professional services.
    (10) Overall Schedule: This section is the implementation plan 
which shows the timing and interrelationships of the major events or 
benchmarks necessary to launch the venture and realize its objectives. 
This includes a month-by-month schedule of activities such as product 
development, market planning, sales programs, production and 
operations. If the proposed project is for construction, this section 
lays out timeframes for conduct of predevelopment, architectural, 
engineering and environmental and other studies, and acquisition of 
permits for building, use and occupancy that are required for the 
project.
    (11) Job Creation: This section describes the job creation 
activities and projections expected as a result of this project. This 
includes a description of the strategy that will be used to identify 
and hire individuals who are low-income, including those on TANF. This 
section includes the following:
    (a) The number of permanent jobs that will be created during the 
project period, with particular emphasis on jobs for low-income 
individuals.
    (b) For low-income individuals, the number of jobs that will be 
filled by low-income individuals (this must be at least 60% of all jobs 
created); the number of jobs that have career development opportunities 
and a description of those jobs; the number of jobs that will be filled 
by individuals receiving TANF; the annual salary expected for each 
person employed.
    (c) For low-income individuals who become self-employed, the number 
of self-employed and other ownership opportunities created; specific 
steps to be taken including on-going management support and technical 
assistance provided by the grantee or a third party to develop and 
sustain self-employment after the businesses are in place; and expected 
net profit after deductions of business expenses.

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

    (12) Financial Plan: The financial plan demonstrates the economic 
supports underpinning the project. It shows the project's potential and 
the timetable for financial self-sufficiency. The following exhibits 
must be submitted for the first three years of the business' operation:
    (a) Profit and Loss Forecasts--quarterly for each year;
    (b) Cash Flow Projections--quarterly for each year;
    (c) Pro forma balance sheets--quarterly for each year;
    (d) Sources and Use of Funds Statement for all funds available to 
the project and projected to be available;
    (e) Brief summary discussing any further capital requirements and 
methods or projected methods for obtaining needed resources.
    (13) Critical Risks and Assumptions: This section covers the risks 
faced by the project and assumptions surrounding them. This includes a 
description of the risks and critical assumptions relating to the 
industry, the venture, its personnel, the product or service market 
appeal, and the timing and financing of the venture.
    (14) Community Benefits: This section describes other economic and 
non-economic benefits to the community such as development of a 
community's physical assets; provision of needed, but currently 
unsupplied, services or products to the community; or improvement in 
the living environment.
Work Plan
    An applicant must include a detailed work plan covering the 
activities to be undertaken and benchmarks that demonstrate progress 
toward stated goals and measurable objectives.
Third Party Agreements
    Applicants submitting an application for funding under Priority 
Area 3, Incremental Development Projects--Native Americans, that 
proposes to use some or all of the requested CED funds to enter into a 
third party agreement are required to either submit the signed Third 
Party Agreement in the application, along with the business plan, for 
approval by OCS, or in the narrative, explain who the prospective third 
party (parties) would be and their contributions to the project. It 
should be noted that the portion of a grant that will be used to fund 
project activities related to a third party agreement will not be 
released (in any instances) until the agreement has been approved by 
OCS.
    All third party agreements must include written commitments as 
follows: From third party (as appropriate):
    (1) Low-income individuals will fill a minimum of 60% of the jobs 
to be created from project activities as a result of the injection of 
grant funds.
    (2) The grantee will have the right to screen applicants for jobs 
to be filled by low-income individuals and to verify their eligibility.
    (3) If the grantee's equity investment equals 25% or more of the 
business' assets, the grantee will have representation on the board of 
directors.
    (4) Reports will be made to the grantee regarding the use of grant 
funds on a quarterly basis or more frequently, if necessary.
    (5) Procedures will be developed to assure that there are no 
duplicate counts of jobs created.
    (6) That the third party will maintain documentation related to the 
grant objectives as specified in the agreement and will provide the 
grantee and HHS access to that documentation. From the grantee:
    (1) Detailed information on how the grantee will provide support 
and technical assistance to the third party in areas of recruitment and 
retention of low-income individuals.
    (2) How the grantee will provide oversight of the grant-supported 
activities of the third party for the life of the agreement. Detailed 
information must be provided on how the grant funds will be used by the 
third party by submitting a Sources and Uses of Funds Statement.
    From the grantee and third party:
    Signatures of the authorized officials of the grantee and third 
party organization.
    A third party agreement covering an equity investment must contain, 
at a minimum, the following:
    (1) Purpose(s) for which the equity investment is being made.
    (2) The type of equity transaction (e.g. stock purchase).
    (3) Cost per share and basis on which the cost per share is 
derived.
    (4) Number of shares being purchased.
    (5) Percentage of CDC ownership in the business.
    (6) Term of duration of the agreement.
    (7) Number of seats on the board, if applicable.
    (8) Signatures of the authorized officials of the grantee and third 
party organization.

[[Page 28904]]

    A third party agreement covering a loan transaction must contain, 
at a minimum, the following information:
    (1) Purpose(s) for which the loan is being made.
    (2) Interest rates and other fees.
    (3) Terms of the loan.
    (4) Repayment schedules.
    (5) Collateral security.
    (6) Default and collection procedures.
    (7) Signatures of the authorized officials of the lender and 
borrower.
    All third party agreements must be accompanied by a signed 
statement from a Certified or Licensed Public Accountant as to the 
sufficiency of the third party's financial management system in 
accordance with 45 CFR 74 and financial statements for the third party 
organization for the prior three years. If such statements are not 
available because the organization is a newly formed entity, the 
application must include a statement to this effect. The grantee is 
responsible for ensuring that grant funds expended by it and the third 
party are expended in compliance with Federal regulations of 45 CFR, 
Part 74 and OMB Circular A-122.
Evaluation
    Applications must include provision for an independent, 
methodologically sound evaluation of the effectiveness of the 
activities carried out with the grant and their efficacy in creating 
new jobs and business ownership opportunities. There must be a well-
defined process evaluation, and an outcome evaluation whose design will 
permit tracking of project participants throughout the proposed project 
period. The evaluation must be conducted by an independent evaluator, 
i.e., a person with recognized evaluation skills who is 
organizationally distinct from, and not under the control of, the 
applicant. It is important that each successful applicant have a third-
party evaluator selected, and implement their role at the very latest 
by the time the work program of the project is begun, and if possible 
before that time so that he or she can participate in the design of the 
program, in order to assure that data necessary for the evaluation will 
be collected and available.
    Competitive procurement regulations (45 CFR, Part 74, Section 
74.40-74.48, especially Section 74.43) apply to service contracts such 
as those for evaluators.

V. Application Review Information

1. Criteria

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

    Public reporting burden for this collection of information is 
estimated to average 25 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed, and 
reviewing the collection of information.
    The project description is approved under Office of Management and 
Budget (OMB) Control Number 0970-0139.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number.
Purpose
    The project description provides a 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.
Introduction
    Applicants required to submit a full project description shall 
prepare the project description statement in accordance with the 
following instructions and the specified evaluation criteria. The 
instructions give a broad overview of what your project description 
should include while the evaluation criteria expands and clarifies more 
program-specific information that is needed.
Project Summary/Abstract
    Provide a summary of the project description (a page or less) with 
reference to the funding request.
Objectives and Need for Assistance
    Clearly identify the physical, economic, social, financial, 
institutional, 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.
Results or Benefits Expected
    Identify the results and benefits to be derived. For example, 
describe the population to be served by the program and the number of 
new jobs that will be targeted to the target population. Explain how 
the project will reach the targeted population, how it will benefit 
participants including how it will support individuals to become more 
economically self-sufficient.
Approach
    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors which might 
accelerate or decelerate the work and state your reason for taking the 
proposed approach rather than others. Describe any unusual features of 
the project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of activities 
accomplished. Account for all functions or activities identified in the 
application. Cite factors that might accelerate or decelerate the work 
and state your reasons for taking the proposed approach rather than 
others. Describe any unusual features of the project such as design or 
technical 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, for 
example such terms as the ``number of people served.'' When 
accomplishments cannot be quantified by activity or function, list them 
in chronological order to show the schedule of accomplishments and 
their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearance may be required from the U.S. Office of Management and Budget

[[Page 28905]]

(OMB). This clearance pertains to any ``collection of information that 
is conducted or sponsored by ACF.''
    List organizations, cooperating entities, consultants, or other key 
individuals who will work on the project along with a short description 
of the nature of their effort or contribution.
Evaluation
    Provide a narrative addressing how the results of the project and 
the conduct of the project will be evaluated. In addressing the 
evaluation of results, state how you will determine the extent to which 
the project has achieved its stated objectives and the extent to which 
the accomplishment of objectives can be attributed to the project. 
Discuss the criteria to be used to evaluate results, and explain the 
methodology that will be used to determine if the needs identified and 
discussed are being met and if the project results and benefits are 
being achieved. With respect to the conduct of the project, define the 
procedures to be employed to determine whether the project is being 
conducted in a manner consistent with the work plan presented and 
discuss the impact of the project's various activities on the project's 
effectiveness.
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 
the applicant's listing in the Internal Revenue Service's (IRS) most 
recent list of tax-exempt organizations described in Section 501(c)(3) 
of the IRS code, or by providing a copy of the currently valid IRS tax 
exemption certificate, or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
Budget and Budget Justification
    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 that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.

1. Evaluation Criteria

Criteria for Review and Evaluation of Applications Submitted Under 
Priority Area 3. Incremental Development Projects--Native Americans

Evaluation Criterion I: Approach (Maximum: 38 points)
    The application describes the project, its scope and methods that 
will be used to ensure that the project results in employment and 
business development opportunities for low income individuals. (0-5 
points)
    The applicant has site control or the possibility of site control 
within 12 months. (0-5 points)
    The work plan is results-oriented and related to job creation and 
business development opportunities for low income individuals. The 
application addresses the following: specific outcomes to be achieved; 
performance targets that the project is committed to achieving, 
including a discussion of and how the project will verify the 
achievement of these targets; critical milestones which must be 
achieved if results are to be gained; organizational support, the level 
of support from the applicant organization; past performance in similar 
work; and specific resources contributed to the project that are 
critical to success. The project is able to be implemented soon after a 
grant award is made. (0-10 points)
    The business plan meets the requirements of ``Part 6. Other 
Submission Requirements Business Plan.'' (0-5 points) Required 
financial documents are contained in the application and demonstrate 
that the project is viable if funding is leveraged as expected. (0-5 
points) Where applicable, third party agreements meet the requirements 
of ``Part 6. Other Submission Requirements Third Party Agreements'' and 
can be expected to be executed within 12 months after receipt of a 
grant award. (0-8 points)
Evaluation Criterion II: Objectives and Need for Assistance (Maximum: 
16 points)
    The application documents that the project addresses a vital need 
in a distressed community. ``Distressed community'' is defined as a 
geographic urban neighborhood or rural community with high unemployment 
and pervasive poverty. The application documents that both the 
unemployment rate and poverty level for the targeted neighborhood or 
community must be equal to or greater than the state or national level. 
(0-3 points) The application cites the most recent available statistics 
from published sources, e.g. the recent U.S. Census or updates, the 
State, county, city, election district and other information provided 
in support of its contention. (0-3 points)
    The application documents that the applicant is an active partner 
in either a new or on-going comprehensive community revitalization 
project such as: a federally-designated Empowerment Zone, Enterprise 
Community or Renewal Community project that has clear goals of 
strengthening economic and human development in target neighborhoods; a 
State or local-government supported comprehensive neighborhood 
revitalization project; a foundation supported community revitalization 
initiative. (0-3 points)
    The application demonstrates a commitment to, or agreements with, 
local agencies to ensure that low-income individuals will be trained 
and placed in the newly created jobs. Low income individuals include 
welfare recipients, at-risk youth, displaced workers, public housing 
residents, persons who are homeless, persons with disabilities and 
custodial and non-custodial parents. The application provides written 
agreements from the local TANF, employment education and training 
office, and child support enforcement agency indicating what actions 
will be taken to integrate or coordinate services that relate directly 
to the project or a narrative that describes such agreements to be 
entered into. (0-3 points) The agreements include: (1) The goals and 
objectives that the applicant and the TANF, employment education and 
training office and/or child support enforcement agency expect to 
achieve through their collaboration. (2) The specific activities that 
will be undertaken to integrate or coordinate services on an on-going 
basis. (3) The target population that this collaboration will serve. 
(4) The mechanism(s) to be used in integrating or coordinating 
activities. (5) How those activities will be significant in relation to 
the goals

[[Page 28906]]

and objectives to be achieved through the collaboration. (6) How these 
activities will be significant in relation to their impact on the 
success of the OCS-funded project. (0-4 points)
Evaluation Criterion III: Results or Benefits Expected (Maximum: 16 
points)
    The application describes the business(es) that will be established 
or expanded as a result of the project. The applicant documents the 
number of jobs that will be created. (0-3 points)
    During the project period, the proposed project will create new, 
permanent jobs or maintain permanent jobs for low-income residents at a 
cost-per-job not to exceed $10,000 in CED funds. If the project 
involves construction or major renovation, the cost-per-job will not 
exceed $15,000 and the applicant demonstrates the need to exceed 
$10,000 per job. (0-3 points)
    The application documents that the jobs to be created for low-
income people have career development opportunities that will promote 
self-sufficiency. (0-2 points)
    A non-Indian applicant submits a signed letter of agreement to 
participate in the Incremental Development Project--Native American by 
officials of the affected tribe. (0-8 points)


    Note 1: Cash resources such as cash or loans contributed from 
all project sources (except for those contributed directly by the 
applicant) are documented by letters of commitment from third 
parties making the contribution.


    Note 2: The value of in-kind contributions for personal property 
is documented by an inventory valuation for equipment and a 
certified appraisal for real property. Also, a copy of a deed or 
other legal document is required for real property.


    Note 3: Anticipated or projected program income such as gross or 
net profits from the project or business operations will not be 
recognized as mobilized or contributed resources.

Evaluation Criterion IV: Organizational Profiles (Maximum: 15 points)
    a. Organizational profile (sub-rating: 0-8 points)

    The application demonstrates that the applicant has the management 
capacity, organizational structure and successful record of 
accomplishment relevant to business development, commercial 
development, physical development, and/or financial services and that 
it has the ability to mobilize other financial and in-kind resources.

b. Staff skills and resources (sub-rating: 0-7 points)

    The application describes in brief resume form the experience and 
skills of the project director who is not only well qualified, but 
whose professional capabilities are relevant to the successful 
implementation of the project. If the key staff person has not yet been 
identified, the application contains a comprehensive position 
description that indicates that the responsibilities to be assigned to 
the project director are relevant to the successful implementation of 
the project. (0-5 points)
    The applicant has adequate facilities and resources (i.e. space and 
equipment) to successfully carry out the work plan. (0-3 points)
Evaluation Criterion V: Project Evaluation (Maximum: 10 points)
    The application contains the outline of a project evaluation plan. 
The outline explains how the applicant proposes to answer key questions 
about how effectively the project is implemented; whether the project 
activities, or interventions, achieved the expected immediate outcomes, 
and why or why not (the process evaluation); and whether and to what 
extent the project achieved its stated goals, and why or why not (the 
outcome evaluation). Together, the process and outcome evaluations 
answer the question: ``What did this program accomplish and why did it 
work/not work?'' Applicants are not being asked to submit a complete 
and final evaluation plan as part of their application, but the plan 
must include:
    (1) An outline of an evaluation plan that identifies the principal 
cause-and-effect relationships to be tested and that demonstrates the 
applicant's understanding of the role and purpose of both process and 
outcome evaluations, and the effectiveness of the project in fostering 
self-sufficiency in low-income populations. (0-3 points)
    (2) A reporting format based on the grantee's demonstration of its 
activities (interventions) and their effectiveness, to be included in 
the grantee's semi-annual progress reports to OCS. These reports are 
expected to provide OCS with insights and lessons learned, as they 
become evident, concerning the various aspects of the work plan, such 
as recruitment, training, support, public-private partnerships, and 
coordination with other community resources, as they are relevant to 
the proposed project. (0-3 points)
    (3) The identity and qualifications of the proposed third-party 
evaluator, if not selected at the time of application, the 
qualifications which will be sought in choosing an evaluator. The 
evaluator must have knowledge about and experience in conducting 
process and outcome evaluations in the business development or job 
creation field and have a thorough understanding of the range and 
complexity of the problems faced by the target population. It is 
important that the applicant have a third-party evaluator selected and 
performing at the very latest by the time the work program of the 
project is begun, and, if possible, before that time in order for the 
evaluator to participate in the final design of the program and assure 
that data necessary for the evaluation will be collected and available. 
Plans for selecting an evaluator should be included in the application 
narrative. OCS must approve selection of a third party evaluator. (0-2 
points)
    (4) Process for completing a final evaluation design and plan, in 
collaboration with the approved evaluator and OCS, during the six-month 
start-up period of the project. Applicants should ensure that the 
evaluation design is consistent with the project design, identifying 
key project assumptions about the target populations and their needs; 
hypotheses, or expected cause-effect relationships, to be tested in the 
project; and the proposed project activities, or interventions, that 
will address needs in ways that will lead to self-sufficiency. The 
design also identifies in advance the most important process and 
outcome measures that will be used to identify performance success and 
expected changes in individual participants, the grantee organization, 
and the community. (0-2 points)
Evaluation Criterion VI: Budget and Budget Justification (Maximum: 5 
points)
    Funds requested are commensurate with the level of effort necessary 
to accomplish the goals and objectives of the project. (0-2 points)
    The application includes a detailed budget breakdown and a 
narrative justification for each of the budget categories in the SF-
424A. The applicant presents a reasonable administrative cost. (0-2 
points)
    The estimated cost to the government of the project also is 
reasonable in relation to the anticipated results. (0-1 point)
Review and Selection Process
Initial OCS Screening
    Each application submitted to OCS will be screened to determine 
whether it was received by the closing date and time. Applications 
received by the closing date and time will be screened

[[Page 28907]]

for completeness and conformity with the following requirements. Only 
complete applications that meet the requirements listed below will be 
reviewed and evaluated competitively. Incomplete applications, 
including applications that do not originate from a nonprofit Native 
American CDC or a non-Indian CDC with a signed partnership agreement 
with the affected Indian tribe, will be returned to the applicants with 
a notation that they were unacceptable and will not be reviewed.
    All applications must comply with the following requirements except 
as noted:
    (a) The application must contain a signed Standard Form 424 
Application for Federal Assistance, a Standard Form 424-A Budget 
Information for Non-Construction Projects, or signed Standard Form 424B 
Budget Information for Construction Projects. These forms must be 
completed according to instructions provided in this Program 
Announcement and must be signed by an official of the applicant 
organization who has legal authority to obligate the organization. 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);
    (b) The application must include a project narrative that meets 
requirements set forth in this announcement.
    (c) The application must contain documentation of the applicant's 
tax-exempt and community development corporation status as indicated in 
the ``Additional Information on Eligibility'' section of this 
announcement.
OCS Evaluation of Applications
    Applications that pass the initial OCS screening will be reviewed 
and rated by a panel based on the program elements and review criteria 
presented in relevant sections of this program announcement.
    The review criteria are designed to enable the review panel to 
assess the quality of a proposed project and determine the likelihood 
of its success. The criteria are closely related to each other and are 
considered as a whole in judging the overall quality of an application. 
The review panel awards points only to applications that are responsive 
to the program elements and relevant review criteria within the context 
of this program announcement.
    The OCS Director and program staff use the reviewer scores when 
considering competing applications. Reviewer 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 the review panel. Because other important factors 
are taken into consideration, highly ranked applications are not 
guaranteed funding. These other considerations include, for example: 
the timely and proper completion by the 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, including compliance with programmatic and financial 
reporting requirements; 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.

VI. Award Administration Information

1. Award Notices
    90 days after the due date of applications.
    The successful applicants will be notified through the issuance of 
a Financial Assistance Award document which sets forth the amount of 
funds awarded, the terms and conditions of the award, the effective 
date of the award, the budget period for which support is granted, and 
the total project period for which support is contemplated. The 
Financial Assistance Award will be signed and issued via postal mail by 
an authorized Grants Officer.
2. Administrative and National Policy Requirements
    45 CFR Part 74.
3. Reporting Requirements
    Programmatic Reports: Semi-annually with a final report due 90 days 
after the project end date.
    Financial Reports: Semi-annually with a final report due 90 days 
after the project end date.
    Special Reporting Requirements: None.

VII. Agency Contacts

Program Office Contact

    Debra Brown, Office of Community Services, 370 L'Enfant Promenade, 
SW., Suite 500 West, Aerospace Building, Washington, DC 20447-0002, 
Email: [email protected], Telephone: (800) 281-9519.

Grants Management Office Contact

    Barbara Ziegler-Johnson, Office of Grants Management, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., Aerospace Building, 
Washington, DC 20447-0002, Email: [email protected], Telephone: (800) 281-
9519.

VIII. Other Information

    Additional information about this program and its purpose can be 
located on the following Web site: http://www.acf.hhs.gov/programs/ocs.

    Dated: May 11, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-11236 Filed 5-18-04; 8:45 am]
BILLING CODE 4184-01-P