[Federal Register Volume 64, Number 239 (Tuesday, December 14, 1999)]
[Notices]
[Pages 69824-69854]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-31321]
[[Page 69823]]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Assets for Independence Demonstration Program, Fiscal Year 2000;
Request for Applications; Notice
Federal Register / Vol. 64, No. 239 / Tuesday, December 14, 1999 /
Notices
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-2000-04]
Request for Applications Under the Office of Community Services'
Fiscal Year 2000 Assets for Independence Demonstration Program (IDA
Program)
AGENCY: Office of Community Services (OCS), Administration for Children
and Families, Department of Health and Human Services.
ACTION: Announcement of availability of funds and request for
competitive applications under the Office of Community Services' Assets
for Independence Demonstration Program.
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SUMMARY: The Administration for Children and Families (ACF), Office of
Community Services (OCS), invites eligible entities to submit
competitive grant applications for new demonstration projects that will
establish, implement, and participate in the evaluation of Individual
Development Accounts for lower income individuals and families.
Applications will be screened and competitively reviewed as indicated
in this Program Announcement. Awards will be contingent on the outcome
of the competition and the availability of funds.
DATES: To be considered for funding applications must be postmarked on
or before May 15, 2000. Applications postmarked after that date will
not be accepted for consideration. See Part IV of this announcement for
more information on submitting applications.
FOR FURTHER INFORMATION CONTACT: Sheldon Shalit (202) 401-4807,
sshalit@acf.dhhs.gov, or Richard Saul (202) 401-9341,
rsaul@acf.dhhs.gov, Department of Health and Human Services,
Administration for Children and Families, Office of Community Services,
370 L'Enfant Promenade, SW, Washington, DC, 20447.
In addition, this Announcement is accessible on the OCS Website for
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/ under
``Funding Opportunities.''
The Catalog of Federal Domestic Assistance (CFDA) number for this
program is 93.602. The title is Assets for Independence Demonstration
Program (IDA Program).
SUPPLEMENTARY INFORMATION: This program announcement consists of seven
parts plus appendices:
Part I: Background Information: legislative authority, program
purpose, project goals, definition of terms, and program evaluation.
Part II: Program Objectives and Requirements: program priority
areas, eligible applicants, project and budget periods, funds
availability and grant amounts, project eligibility and
requirements, non-Federal matching funds requirements, preferences,
multiple applications, treatment of program income, and agreements
with partnering financial institutions.
Part III: The Project Description, Program Proposal Elements and
Review Criteria: purpose, project summary/abstract; objectives and
need for assistance, results or benefits expected, approach,
organizational profiles, budget and budget justification, non-
Federal resources, and evaluation criteria.
Part IV: Application Procedures: application development/
availability of forms, application submission, intergovernmental
review, initial OCS screening, consideration of applications, and
funding reconsideration.
Part V: Instructions for Completing Application Forms: SF424,
SF424A, SF424B.
Part VI: Contents of Application and Receipt Process: content
and order of program application, acknowledgment of receipt.
Part VII: Post Award Information and Reporting Requirements:
notification of grant award, attendance at evaluation workshops,
reporting requirements, audit requirements, prohibitions and
requirements with regard to lobbying, applicable Federal
regulations.
Appendices: Application forms and required attachments.
Paperwork Reduction Act of 1995
Public reporting burden for this collection of information is
estimated to average 10 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed and
reviewing the collection information.
The project description is approved under OMB control number 0970-
0139 which expires 10/31/2000.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
Part I. Background Information
A. Legislative Authority
The Assets for Independence Demonstration Program (IDA Program) was
established by the Assets for Independence Act (AFI Act), under Title
IV of the Community Opportunities, Accountability, and Training and
Educational Services Act of 1998 (Pub.L. 105-285, 42 U.S.C. 604 Note).
B. Program Purpose
The purpose of the program is, in the language of the AFI Act: To
provide for the establishment of demonstration projects designed to
determine:
(1) the social, civic, psychological, and economic effects of
providing to individuals and families with limited means an incentive
to accumulate assets by saving a portion of their earned income;
(2) the extent to which an asset-based policy that promotes saving
for postsecondary education, homeownership, and microenterprise
development may be used to enable individuals and families with limited
means to increase their economic self-sufficiency; and
(3) the extent to which an asset-based policy stabilizes and
improves families and the community in which the families live.
There are some 100 IDA programs of various designs operating today
in different communities across the country. Most are quite new and all
are in the process of learning what design features work best with a
variety of circumstances and target populations. Applicants are
encouraged to contact these programs to see what might be learned from
their experiences: what pitfalls to avoid, what successes might be
emulated or adapted. An excellent source of information and discussion
about existing IDA programs is the website operated by the Corporation
for Enterprise Development (CFED), and its ``IDA Learning Network'' and
related ListServe. These can be reached at ``www.idanetwork.org''.
C. Project Goals
The ultimate goals of the projects to be funded under the Assets
for Independence Demonstration Program are:
(1) to create, through project activities and interventions,
meaningful asset accumulation opportunities for recipients of Temporary
Assistance for Needy Families (TANF) and other eligible individuals and
working families.
(2) to evaluate the projects to demonstrate the effectiveness of
these activities and interventions and of the project designs through
which they were implemented, and the extent to which an asset-based
program can lead to economic self-sufficiency of members of the
communities served through one or more qualified expenses; and
(3) thus to make it possible to determine the social, civic,
psychological, and economic effects of providing to individuals and
families with limited means an incentive to accumulate assets by saving
a portion of their earned income, and the extent to which an asset-
based policy stabilizes and improves families and the community in
which the families live.
[[Page 69825]]
D. Definition of Terms
For the purposes of this Announcement:
(1) AFI Act means the Assets for Independence Act (Title IV of the
Community Opportunities, Accountability, and Training and Educational
Services Act of 1998) which authorizes this program.
(2) Custodial Account means an alternative structure to a Trust for
the establishment of an Individual Development Account, as described in
PART II, Section G(5).
(3) Eligible Individual means an individual who meets the income
and net worth requirements of the program as set forth in PART II,
Section G(3)(a) below.
(4) Emergency Withdrawal means a withdrawal of only those funds, or
a portion of those funds, deposited by the eligible individual (Project
Participant) in an Individual Development Account of such individual.
Such withdrawal must be approved by the Project Grantee, must be made
for an allowable purpose as defined in the AFI Act and under the
Project Eligibility Requirements set forth in PART II of this
Announcement, and must be repaid by the individual Project Participant
within 12 months of the withdrawal. [See PART II, Section G(7)(b)]
(5) Household means all individuals who share use of a dwelling
unit as primary quarters for living and eating separate from other
individuals.
(6) Individual Development Account means a trust or a custodial
account created or organized in the United States exclusively for the
purpose of paying the qualified expenses of an eligible individual, or
enabling the eligible individual to make an emergency withdrawal, but
only if the written governing instrument creating the trust or
custodial account meets the requirements of the AFI Act and of the
Project Eligibility and Requirements set forth in this Announcement.
[See PART II, Section G(4) and (5).]
(7) Net Worth of a Household means the aggregate market value of
all assets that are owned in whole or in part by any member of the
household, exclusive of the primary dwelling unit and one motor vehicle
owned by a member of the household, minus the obligations or debts of
any member of the household.
(8) Project Grantee means a Qualified Entity as defined in
paragraph (11) below, which receives a grant pursuant to this
Announcement.
(9) Project Participant means an Eligible Individual as defined in
paragraph (3) above who is selected to participate in a demonstration
project by a qualified entity.
(10) Project Year means, with respect to a funded demonstration
project, any of the 5 consecutive 12-month periods beginning on the
date the project is originally awarded a grant by ACF.
(11) Qualified Entity means an entity eligible to apply for and
operate an assets for independence demonstration project, under
Priority Area 1.0, as one or more not-for-profit 501(c)(3) tax exempt
organizations, or a State or local government agency or a tribal
government submitting an application jointly with such a not-for-profit
organization.
(12) Qualified Expenses means one or more of the expenses for which
payment may be made from an individual development account by a project
grantee on behalf of the eligible individual in whose name the account
is held, and is limited to expenses of (A) post-secondary education,
(B) first home purchase, and/or (C) business capitalization, as defined
below:
(A) Post-Secondary Educational Expenses means post-secondary
educational expenses paid from an individual development account
directly to an eligible educational institution, and includes:
(i) Tuition and Fees required for the enrollment or attendance of a
student at an eligible educational institution.
(ii) Fees, Books, Supplies, and Equipment required for courses of
instruction at an eligible educational institution, including a
computer and necessary software.
(iii) Eligible Educational Institution means the following:
(I) Institution of Higher Education.--An institution described in
Section 101 or 102 of the Higher Education Act of 1965.
(II) Post-Secondary Vocational Education School.--An area
vocational education school (as defined in subparagraph (C) or (D) of
section 521(4) of the Carl D. Perkins Vocational and Applied Technology
Education Act (20 U.S.C. 2471(4)) which is in any State (as defined in
section 521(33) of such Act) as such sections are in effect on the date
of enactment of the AFI Act.
(B) First-Home Purchase means qualified acquisition costs with
respect to a principal residence for a qualified first-time homebuyer,
if paid from an individual development account directly to the persons
to whom the amounts are due. Within this definition:
(i) Principal Residence means a main residence, the qualified
acquisition costs of which do not exceed 100 percent of the average
purchase price applicable to a comparable residence in the area.
(ii) Qualified Acquisition Costs means the cost of acquiring,
constructing, or reconstructing a residence, including usual or
reasonable settlement, financing, or other closing costs.
(iii) Qualified First-Time Homebuyer means an individual
participating in the project involved (and, if married, the
individual's spouse) who has no present ownership interest in a
principal residence during the 3-year period ending on the date on
which a binding contract is entered into for purchase of the principal
residence to which this subparagraph applies.
(C) Business Capitalization means amounts paid from an individual
development account directly to a business capitalization account that
is established in a Qualified Financial Institution and is restricted
to use solely for qualified business capitalization expenses of the
eligible individual in whose name the account is held. Within this
definition:
(i) Qualified Business Capitalization Expenses means qualified
expenditures for the capitalization of a qualified business pursuant to
a qualified plan, when so certified by a Qualified Entity (Grantee) as
meeting the requirements of sub-paragraphs (ii), (iii), and (iv) below.
(ii) Qualified Expenditures means expenditures included in a
qualified plan, including but not limited to capital, plant, equipment,
working capital, and inventory expenses.
(iii) Qualified Business means any business that does not
contravene any law or public policy (as determined by the Secretary).
(iv) Qualified Plan means a business plan, or a plan to use a
business asset purchased, which--
(I) is approved by a financial institution, a microenterprise
development organization, or a nonprofit loan fund having demonstrated
fiduciary integrity;
(II) includes a description of services or goods to be sold, a
marketing plan, and projected financial statements; and
(III) may require the eligible individual to obtain the assistance
of an experienced entrepreneurial advisor.
(D) Transfers to Idas of Family Members--Amounts paid from an
individual development account directly into another such account
established for the benefit of an eligible individual who is--
(i) The individual's spouse; or
(ii) Any dependent of the individual with respect to whom the
individual is allowed a deduction under section 151 of the Internal
Revenue Code of 1986.
(13) Qualified Financial Institution means a Federally insured
Financial Institution, or a State insured Financial
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Institution if no Federally insured Financial Institution is available.
(14) Qualified Savings of the Individual for the Period means the
aggregate of the amounts contributed by an eligible individual from
earned income to the individual development account of the individual
during the period.
(15) Secretary means the Secretary of Health and Human Services,
acting through the Director of the Office of Community Services.
(16) Tribal Government means a tribal organization, as defined in
section 4 of the Indian Self-Determination and Education Assistance Act
(24 U.S.C. 450b) or a Native Hawaiian organization, as defined in
section 9212 of the Native Hawaiian Education Act (20 U.S.C. 7912).
(17) Trust Agreement means the instrument by which an Individual
Development Account is established as a trust in the partnering
Financial Institution under PART II Section G(4).
(18) Trustee means the Qualified Financial Institution responsible
for management of an Individual Development Account established as a
trust pursuant to a Trust Agreement.
E. Program Evaluation
Section 414 of the Assets for Independence Act requires that at
least one Assets for Independence Demonstration funded project be
selected as an ``experimental site'' for in-depth evaluation by the
independent research organization funded by ACF. Activity at the
experimental site(s) will include the evaluation of a randomly selected
``treatment group'' (of program participants) and a ``control group''
(of nonparticipants) as well as in-depth interviews of families
involved with the project, which, in addition to the overall evaluation
of the program and of each site, will be the basis for assessing how
asset accumulation affects lower income individuals and families, as
called for in the Act.
After FY 2000 grants are awarded, OCS will solicit FY 1999 and FY
2000 grantees for expressions of interest in being designated as an
experimental site. The solicitation will specify the activities and
obligations such designation will entail; but they will include
recruitment of a sufficient number of eligible individuals to enable
enrollment, within twelve months, of the treatment group and the
control group, each to consist of at least 300 members, randomly
selected by the independent evaluator from among those recruited, and a
commitment to assist in the evaluator's collection of baseline and
follow-up data by providing basic identifying and locating information
(including address and telephone) for those assigned to participate in
both the treatment group and control group.
Part II. Program Objectives and Requirements
The Office of Community Services (OCS) invites qualified entities
to submit competing grant applications for new demonstration projects
that will establish, support, manage, and participate in the evaluation
of Individual Development Accounts for eligible participants among
lower income individuals and working families.
A. Program Priority Areas
There is one Program Priority Area under this program for Fiscal
Year 2000: Priority Area 1.0, under which OCS will accept applications
from Qualified Entities as described below and in Section G.
Applications for continuation of grants funded under Priority Area 2.0
of the Fiscal Year 1999 Assets For Independence Program Announcement
are not covered by this Program Announcement; but will be the subject
of direct correspondence between OCS and the grantees.
B. Eligible Applicants
(1) In General
Eligible applicants for the Assets for Independence Demonstration
Program Priority Area 1.0 are one or more not-for-profit 501(c)(3) tax
exempt organizations, or a State or local government agency or a tribal
government submitting an application jointly with such a not-for-profit
organization. Not-for-profit Applicants, including those filing jointly
with government agencies or Tribal Governments, must provide
documentation of their tax exempt status. The applicant can accomplish
this by providing a copy of the applicant's listing in the Internal
Revenue Service's (IRS) most recent list of tax-exempt organizations
described in Section 501(c)(3) of the IRS code or by providing a copy
of their currently valid IRS tax exemption certificate or by providing
a copy of the articles of incorporation bearing the seal of the State
in which the corporation or association is domiciled. Failure to
provide evidence of Section 501(c)(3) tax exempt status will result in
rejection of the application.
(2) Applications Submitted Jointly by State or Local Government
Agencies or Tribal Governments and Tax Exempt Non-Profit Organizations
Joint applications by government agencies and non-profit
organizations must clearly identify the joint applicants; and the SF
424 Application for Federal Assistance must be signed by one of the
joint applicants. The applicant signing the SF 424 will be responsible
for proper implementation of the grant in accordance with the approved
work program and the terms and conditions of the grant. (It may be
either the government agency applicant or a non-profit applicant). In
either case, a Reserve Fund must be established for the Project by a
non-profit Joint Applicant, and maintained and managed as agreed by the
Joint Applicants. The Reserve Fund must be established in accordance
with Section G, Paragraphs (1) and (2), below; and where the project
includes a group or consortium of operating partner CBOs, may include
both a central and local Reserve Funds as described there. Such joint
applications must also include:
(a) Proof of tax exempt status of the non-profit Joint Applicant,
as described in Paragraph (1), above; and
(b) A Joint Applicant Agreement, signed by the responsible
officials of both Joint Applicants, setting forth the responsibilities
of each Joint Applicant for implementation of the proposed project,
including management and oversight of the Reserve Fund and carrying out
of the project activities and interventions described in Element II of
the proposal narrative. (See PART III, below.) The Joint Applicant
Agreement should be the first Appendix to the Application, and the
responsibilities it sets out should be described in the Project
Narrative under Element II, PART III, C. (below).
(3) Applications Submitted by a Lead Agency on Behalf of a Consortium
of Community-Based Organizations (CBOs)
Where the Applicant is applying as the lead agency for a consortium
of Community-Based Organizations (CBOs), each of these organizations
must be briefly described in the Application, and background materials
citing their relevant experience and staff capabilities should be
included in the Appendix. In such cases the Applicant should document
its capability and experience in managing such consortia, and the roles
and responsibilities of all participating agencies should be clearly
set forth in signed Partnering Agreements between the Applicant and
each of the member CBOs. Copies of the
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Partnering Agreements should be included in the Appendix, and the roles
and responsibilities of each participating agency clearly explained in
PART III, Element II(b), Project Design, and reflected in the Work Plan
under Element II(c). These explanations must include the plans for
establishing one or more Reserve Fund(s), and how and where IDA
Accounts and Parallel Match Accounts will be maintained. (See Section
G. Paragraph (1), below.)
C. Project and Budget Periods under Priority Area 1.0
This announcement is inviting applications under Priority Area 1.0
for project and budget periods of five (5) years. Grant actions, on a
competitive basis, will award funds for the full five year project and
budget period. As noted below in Section E., subject to the
availability of funds, grantees may be offered the opportunity to
submit applications for supplementary funding in later years during the
five-year project.
Note: Applicants should be aware that OCS funds awarded pursuant
to this Announcement will be from FY 2000 funds and may not be
expended after the end of the five-year Project/Budget Period to
support administration of the project or matching contributions to
Individual Development Accounts which may be open at that time.
Consequently, Applicants should consider carefully the length of
time participants will need to achieve their savings goals and at
what point in the project they may wish to discontinue the opening
of new accounts. Applicants should provide assurance that in every
case provision will be made for payment of all promised matching
deposits to IDA accounts opened by project participants in the
course of the demonstration project.
D. Funds Availability and Grant Amounts under Priority Area 1.0
In Fiscal Year 2000 OCS expects approximately $5.4 million to be
available under Priority Area 1.0 for funding commitments to
approximately 25 projects, not to exceed $500,000 and averaging
$200,000 each for the five-year project and budget periods. Applicants
are reminded that grant awards are limited to the amount of committed
non-Federal cash matching contributions; and that OCS recognizes that
this is a limiting factor in the amount of grant funds requested.
Applicants are assured that OCS will welcome requests for less than the
maximum grant amounts, and are urged to make realistic projections of
project activity over the five year project and propose project budgets
accordingly. Draw-down of grant funds over the five-year budget period
will be made in amounts that will match non-Federal deposits into the
Project Reserve Fund. (See Section G. Paragraph (2) and Section I,
below)
E. Funds Availability for Supplementing FY 1999 Grantees
As explained in the FY 1999 Assets for Independence Program
Announcement and noted above, subject to availability of funds and the
progress of individual demonstration projects, grantees may be offered
the opportunity to submit requests for non-competitive supplementary
funding during the five-year project, if there were a determination
that this would be in the best interest of the government, and subject
to the availability of funds. Pursuant to that Announcement
approximately $2 million of FY 2000 funds will be made available for
supplementary grants to FY 1999 grantees who were awarded less than the
maximum amount of $500,000.
Such grantees will be solicited directly by OCS and will be
considered for supplementary funding where they can demonstrate to the
satisfaction of OCS: (1) A commitment of non-Federal matching
contributions at least equal to the supplementary grant requested; (2)
a record of successful implementation of their existing grant to date;
(3) a proposed supplementary work program that does not deviate from
the goals and work program of the original funded project; and (4)
unmet need for and interest in individual development accounts by
eligible individuals in the target population which could only be
satisfied through supplemental funding. Selection of grantees for
supplementary funding will be made by OCS staff prior to the review and
selection of applications under Priority Area 1.0, and any funds not
expended for supplementary grants will be available for project grants
under Priority Area 1.0.
F. Funds Availability and Grant Amounts for Continuation Funding of FY
1999 Priority Area 2.0 Grantees
In Fiscal Year 2000 up to approximately $1.86 million is expected
to be available under Priority Area 2.0 for up to two continuation
grants of up to approximately $930,000 each for the second budget year
of a five-year State project funded under Priority Area 2.0 of the FY
1999 Assets for Independence Program Announcement. Any funds not
expended in FY 2000 for these Continuation Grants will be available for
project grants under Priority Area 1.0.
G. Project Eligibility and Requirements under Priority Area 1.0
To be eligible for funding under Priority Area 1.0, projects must
be sponsored and managed by Qualified Entities and must meet the
following requirements:
(1) Reserve Fund
Every project funded under this Announcement must establish and
maintain a Reserve Fund in accordance with this paragraph. Such Reserve
Fund must be maintained in accordance with the accounting regulations
prescribed by the Secretary (See Attachment ``L'' to this
Announcement), in a Qualified Financial Institution or other insured
financial institution satisfactory to the Secretary.
Note: Where an applicant is lead agency for a consortium or
group of Community Based Organizations (CBOs), each of which will be
implementing an IDA program under the Applicant's grant pursuant to
this Announcement, the Applicant/lead agency must maintain a Reserve
Fund into which all required non-Federal share matching contribution
funds and OCS grant funds shall be deposited in accordance with sub-
Paragraph (a). The consortium has two alternatives for maintenance
of Reserve Fund(s) in its IDA programs: First, participating CBOs
may all operate out of the one central Reserve Fund maintained by
the Applicant/lead agency. In this case separate accounting
structures would be maintained for each of the CBOs and the funds
assigned for their use in accordance with agreements between the
Applicant and each CBO. Or second, in addition to the Central
Reserve Fund, participating CBOs may each establish a local Reserve
Fund in their community into which the Applicant/lead agency will
deposit from the Central Reserve Fund the funds (grant and non-
Federal share) allocated for use by the particular CBO. Central and
local Reserve Funds will be subject to all of the requirements of
this Section. Whatever the arrangement, it must be spelled out and
agreed to in the Partnering Agreements required under Section B.
Paragraph (3) between the Applicant and each consortium member.
(a) Amounts in the Reserve Fund. As soon after receipt as is
practicable, grantees shall deposit in the Reserve Fund the non-Federal
matching contributions received pursuant to the ``Non-Federal Share
Agreement'' or Agreements reached with the provider(s) of non-Federal
matching contributions. Once such non-Federal funds are deposited in
the Reserve Fund, grantees may draw down OCS grant funds in amounts
equal to such deposits. Similarly, as soon after receipt as practical,
grantees shall deposit in the Reserve Fund the income received from any
investment made of those funds (see paragraph (d) below).
[[Page 69828]]
(b) Use of Amounts in the Reserve Fund. Grantees shall use the
amounts in such Reserve Fund as follows:
(A) At least 90.5% of the federal grant funds, and an equal amount
of the required non-Federal share funds, shall be used as matching
contributions, equally divided between federal and non-federal monies,
to individual development accounts for project participants, in an
agreed upon ratio to deposits made in those accounts by project
participants from earned income.
(B) At least 2% but no more than 9.5% of the Federal grant funds
shall be used toward the expense of collecting and providing to the
research organization evaluating the demonstration project the data and
information required for the evaluation.
(C) Up to 7.5% of the Federal grant funds may be used for
administration of the demonstration project and toward expenses of
assisting project participants to obtain the skills (including economic
literacy classes, budgeting, and business management skills), training,
and information necessary to achieve economic self-sufficiency through
activities requiring qualified expenses.
(D) Up to 9.5% of the required matching non-Federal funds may be
used for expenses outlined in Paragraphs (B) and (C), above, or other
project-related expenses as agreed by the Applicant and the providing
entity.
Note: If a grantee mobilizes matching non-Federal contributions
in excess of the required 100 percent match, such non-Federal funds
may be used however the grantee and provider of the funds may agree.
Where the use of such funds falls within a Program Element/-Proposal
Review Criterion which formed the basis for the grant award,
Grantees will be held accountable for commitments of such excess
matching funds and additional resources, even though over the amount
of the required non-Federal match.
(c) Authority to Invest Funds. A grantee shall invest the amounts
in its Reserve Fund that are not immediately needed for payment under
paragraph (b), in a manner that provides an appropriate balance between
return, liquidity, and risk, and in accordance with Guidelines which
will be issued by the Secretary prior to making of grant awards and
provided to grantees at the time of grant award.
(d) Use of Investment Income. Income generated from investment of
Reserve Fund monies that are not allocated to existing Individual
Development Accounts may be added by grantees to the funds committed to
program administration, participant support, or evaluation data
collection. As noted in Paragraph M, below, once funds have been
committed as matching contributions to Individual Development Accounts,
then any income subsequently generated by such funds must be deposited/
credited to the credit of such accounts.
Note: No part of such income is to be considered as a Federal
funds contribution subject to the $2000/$4000 limitations under
Paragraph (5)(b), below.
(e) Joint Project Administration. If two or more qualified entities
are jointly administering a project, none shall use more than its
proportional share for the purposes described in subparagraphs (B) and
(C), of paragraph (b).
(2) Use of Grant Funds by State and Local Government Agencies and
Tribal Governments.
As set forth in Section B. Paragraph (2) above, grantees who are
State or local government agencies or Tribal governments are required
to submit applications jointly with tax exempt non-profit
organizations. In such cases, whether the lead applicant signing the SF
424 is the government agency or the non-profit organization, a Reserve
Fund must be established for the Project by the non-profit Joint
Applicant and maintained and managed as agreed by the Joint Applicants.
The Reserve Fund shall be subject to the requirements of Paragraph (1)
above, and Section I, below.
(3) Eligibility and Selection of Project Participants
(a) Participant Eligibility. Eligibility for participation in the
demonstration projects is limited to individuals who are members of
households eligible for assistance under TANF or of households whose
adjusted gross income does not exceed the earned income amount
described in Section 32 of the Internal Revenue Code of 1986, which
establishes eligibility for the Earned Income Tax Credit (EITC)(taking
into account the size of the household), and whose net worth as of the
end of the calendar year preceding the determination of eligibility
does not exceed $10,000, excluding the primary dwelling unit and one
motor vehicle owned by a member of the household.
Note: The most recent EITC Earned Income Guidelines which set
the limits on annual income for eligibility in the IDA Program are
as follows:
--for a household without a child: $10,030
--for a household with one child: $26,473.
--for a household with more than one child: $30,095.
Applicants are reminded that there is also an assets test for
eligibility in the program.]
(b) Participant Selection. In keeping with the statutory preference
in Section 405(d)(3) of the AFI Act for applications that target
individuals from neighborhoods or communities that experience high
rates of poverty or unemployment, grantees in their selection of
Project Participants may restrict participation in such neighborhoods
or communities targeted by their demonstration projects to individuals
and households with lower incomes and net worth than set forth above,
provided that they shall nonetheless select individuals that they
determine to be best suited to participate in the demonstration
project.
(4) Establishment of Individual Development Accounts
Project Grantees must create, through written governing
instruments, either (a) Trusts, under this paragraph, or (b) Custodial
Accounts described in Paragraph (5) below, which will be Individual
Development Accounts on behalf of Project Participants. Trustees of
Trusts must be Qualified Financial Institutions. Custodians of
Custodial Accounts may be Qualified Financial Institutions, other
insured financial institutions satisfactory to the Secretary, or
Demonstration Project Grantees. In every case the Participant's
personal savings from earned income shall be deposited in the
Participant's Individual Development Account in a participating insured
financial Institution. In every case the participating insured
financial institution and the Demonstration Project Grantee shall be
parties to the written governing instruments creating the Trust or
Custodial Account, which must contain the following provisions:
(a) All contributions to the accounts must be either in cash, by
check, money order, or by electronic transfer of funds.
(b) The assets of the account will be invested in accordance with
the direction of the Project Participant after consultation with the
grantee and pursuant to the guidelines of the Secretary (which will be
issued prior to the making of grant awards and made available to
grantees at the time of grant award).
(c) The assets of the account will not be commingled with other
property except in a common trust fund or parallel account or common
investment fund.
(d) In the event of the death of the Project Participant, any
balance remaining in the account shall be distributed within 30 days of
the date of death to another Individual Development Account established
for the benefit of an eligible individual as directed by the deceased
Participant in
[[Page 69829]]
the Savings Plan Agreement under sub-paragraph (g), below; provided,
that the Participant may at their option direct the disposition of any
funds in the account which were deposited in the account by the
Participant as he or she may see fit, except that where such
disposition is not to another Individual Development Account, all
matching contributions made by the grantee to the account, and any
income earned thereby, shall be returned to the Reserve Fund.
Note that this will mean that each Project Participant must
provide such direction at the time the Individual Development
Account is established. Provision should be made by grantees for
modification of such directions during the course of the project, in
the event of changing circumstances.
(e) Except in the case of the death of the Project Participant,
amounts in the account attributable to deposits by the grantee from
grant funds and matching non-federal contributions, and any interest
thereon, may be paid, withdrawn or distributed out of the account only
for the purpose of paying qualified expenses of the Project Participant
including transfers under Paragraph (7)(d), below).
(f) The procedures governing the withdrawal of funds from the
Individual Development Account, for both Qualified Expenses and
Emergency Withdrawals, which comply with the provisions of Paragraph
(7) Withdrawals from Individual Development Accounts, below.
(g) a ``Savings Plan Agreement'' between the grantee and the
Project Participant, which may be incorporated by reference, and which
should include: (1) Savings goals (including a proposed schedule of
savings deposits by the Participant from earned income, which may be
for a period of less than five years); (2) the rate at which
participant savings will be matched (from one dollar to eight dollars
for each dollar in savings deposited by Participant, the Federal grant
funds portion of which may not exceed $2000 during the five-year
project period); (3) the proposed qualified expense for which the
Account is maintained, (4) agreement by the grantee to provide and the
Participant to attend classes in Economic Literacy; (5) any additional
training or education related to the qualified expense which the
Grantee agrees to provide and of which the Participant agrees to
partake, (6) contingency plans in the event that the Participant
exceeds or fails to meet projected savings goals or schedules, (7) any
agreement as to investments of assets described in subparagraph (b),
above, (8) an explanation of withdrawal procedures and limitations,
including the consequences of unauthorized withdrawal, (9) provision
for disposition of the funds in the account in the event of the
Participant's death (see sub-Paragraph (d), above; and (10) provision
for amendment of the Agreement with the concurrence of both Grantee and
Participant.
(5) Custodial Accounts
As provided in Paragraph (4), above, Grantees may, in the
alternative, create, through written governing instruments, Custodial
Accounts which shall be Individual Development Accounts on behalf of
Project Participants, except that they will not be trusts. As in the
case of trusts established under paragraph (4), the written governing
instruments of the accounts must contain the requirements outlined in
subparagraphs (a) through (g) of that paragraph, with the following
exceptions. Whereas trustees of the trusts created under Paragraph (4)
must be Qualified Financial Institutions, the assets of the custodial
account may be held by a bank or another ``person'' (or institution)
who demonstrates to the satisfaction of the Secretary that the manner
in which the account will be administered will be consistent with the
provisions of the AFI Act, and that the IDA's will be created and
maintained as described in paragraph (4) and Section 404(5)(A) of the
AFI Act. In addition, in the case of a custodial account treated as a
trust by reason of this paragraph, the custodian of such account may be
the Project Grantee, provided that it can assure compliance with the
requirements of Paragraph (4) above, and Section 404(5)(A) of the AFI
Act. These arrangements would place the ``custodial'' responsibilities
with the grantee, and relieve financial institutions of trustee
obligations. The Secretary has determined that the assets of any such
accounts must be held in an insured financial institution and be
subject to the provisions of Paragraph M, below, pertaining to
agreements between applicants/grantees and participating financial
institutions.
(6) Deposits in Individual Development Accounts
(a) Matching Contributions. Not less than once every three months
during the demonstration project grantees will make deposits into
Individual Development Accounts as matching contributions to deposits
from earned income made by Project Participants during the period since
the previous deposit. Such deposits may be made either into the
accounts themselves or into a parallel account maintained by the
grantee in an insured financial institution.
Note: Deposits made by Project Participants shall be deemed to
have been made from earned income so long as the Participant's
earned income (as defined in Section 911(d)(2) of the Internal
Revenue Code of 1986) during the period since the Participant's
previous deposit in the account is greater than the amount of the
current deposit. Section 911(d)(2) provides, in relevant part, ``the
term `earned income' means wages, salaries, or professional fees,
and other amounts received as compensation for personal services
actually rendered''.
Matching contributions (as deposits to IDA accounts or to parallel
accounts) must be made to IDA's in equal amounts from Federal grant
funds and the non-Federal public and private funds committed to the
project as matching contributions, as described in Section I below, and
Sections 405(c)(4) and 406(b)(1) of the AFI Act. Such matching
contribution deposits by grantees may be from $0.50 to $4 in non-
Federal funds and an equal amount in Federal grant funds, for each
dollar of earned income deposited in the account by the Project
Participant in whose name the account is established. Once such equal
matching contribution deposits are made, grantees may make additional
matching contributions to IDA's from other non-Federal sources, or
other Federal sources, such as TANF, where the legislation or policies
governing such programs so permit. Such additional matching
contributions would not be a use of funds falling within any Program
Element/Proposal Review Criterion under Part III below, which formed
the basis for the grant award, and as such, grantees will not be held
accountable for their commitment to the project.
At the time matching contribution deposits are made, the grantee
will also deposit into the Individual Development Account (or the
parallel account) any interest or income that has accrued since the
previous deposit on amounts previously deposited in or credited to that
account.
(b) Limitations on Matching Contributions. Over the course of the
five year demonstration, not more than $2,000 in Federal grant funds
shall be provided through matching contributions to any one individual;
and not more than $4,000 shall be provided to IDA's in any one
household. [As noted in Paragraph (1)(d), above, no part of any
investment income earned by monies in the Reserve Fund is to be
considered as a Federal funds contribution subject to this limitation.]
[[Page 69830]]
(7) Withdrawals from Individual Development Accounts
(a) Limitations. Under no circumstances may funds be withdrawn from
an Individual Development Account earlier than six months after the
initial deposit by a Project Participant in the Account. Thereafter
funds may be withdrawn from such account only upon written approval of
the Project Participant and of a responsible official of the project
grantee, and only for one or more Qualified Expenses (as defined in
Part I) or for an Emergency Withdrawal.
(b) Emergency Withdrawals. An Emergency Withdrawal may only be of
those funds, or a portion of those funds, deposited in the account by
the Project Participant, and for the following purposes:
(i) Expenses for medical care or necessary to obtain medical care
for the Project Participant or a spouse or dependent of the
Participant;
(ii) Payments necessary to prevent eviction of the Project
Participant from, or foreclosure on the mortgage for, the principal
residence of the Participant;
(iii) Payments necessary to enable the Project Participant to meet
necessary living expenses (food, clothing, shelter--including utilities
and heating fuel) following loss of employment.
(c) Reimbursement of Emergency Withdrawals. A Project Participant
shall reimburse an Individual Development Account for any funds
withdrawn from the account for an Emergency Withdrawal, not later than
12 months after the date of the withdrawal. If the Participant fails to
make the reimbursement, the Project Grantee must transfer the funds
deposited into the account or a parallel account from Federal and non-
Federal matching contributions, and any income generated thereby, back
to the Reserve Fund of the grantee, and use the funds to benefit other
individuals participating in the demonstration project involved. Any
remaining funds deposited by the Project Participant (plus any income
generated thereby) shall be returned to such Project Participant.
(d) Transfers to Individual Development Accounts of Family Members.
At the request of a Project Participant, and with the written approval
of a responsible official of the grantee, amounts may be paid from an
individual development account directly into another such account
established for the benefit of an eligible individual who is--
(i) The Participant's spouse, or
(ii) Any dependent of the Participant with respect to whom the
Participant is allowed a deduction under section 151 of the Internal
Revenue Code of 1986.
H. Project Eligibility and Requirements under Priority Area 2.0
As previously noted in Part II Section A, there is no Priority Area
2.0 under this Announcement. Applications for continuation of grants
funded under Priority Area 2.0 of the Fiscal Year 1999 Assets For
Independence Program Announcement will be the subject of direct
correspondence between OCS and the grantees.
I. Non-Federal Matching Funds Requirements
Grantees must mobilize at least one hundred percent of the OCS
grant amount in cash non-Federal share for deposit to the Reserve Fund
as matching contribution. Public sector resources that can be counted
toward the minimum required match include funds from State and local
governments, and funds from various block grants allocated to the
States by the Federal Government provided that the authorizing
legislation for these grants permits such use. Note, for example, that
Community Development Block Grant (CDBG) funds may be counted as
matching funds; Community Services Block Grant (CSBG) FUNDS MAY NOT.
With regard to State TANF funds, any State funds that comprise
Maintenance Of Effort (MOE) under the TANF regulations may NOT be used
as required non-Federal share under this Announcement. (But see
discussion of additional matching contributions in Paragraph (6)(a),
above.)
To be considered for funding an Application must include a copy of
a ``Non-Federal Share Agreement'' or Agreements in writing executed by
the Applicant and the organization or organizations providing the
required non-Federal matching contributions, signed for the
organization by a person authorized to make a commitment on behalf of
the organization, and signed for the Applicant by the person signing
the SF424. Such Agreement(s) must include: (1) A commitment by the
organization to provide the non-Federal funds contingent only on the
grant award; and (2) an agreement as to the schedule of the opening of
Individual Development Accounts by the Applicant, and the schedule of
deposits by the organization to the project's Reserve Fund, such that
the two schedules will together assure that there will be at all times
in the Reserve Fund non-Federal matching contribution funds sufficient
to meet the maximum pledges of matching contributions under the
``Savings Plan Agreements'' for all Individual Development Accounts
then open and being maintained by the grantee as part of the
demonstration project.
Thus, for example, if the provider of non-Federal share only agrees
to a fixed schedule of deposits, this non-Federal share requirement can
be met by the Applicant agreeing to a schedule for opening new accounts
that will assure that new IDA accounts will only be opened when there
are sufficient funds in the Reserve Fund to meet the maximum amount of
matching contributions pledged under the ``Savings Plan Agreements''.
Where the Applicant is itself providing any of the required cash
non-Federal share, it must include a statement of commitment, on
applicant letterhead, signed by the official signing the SF 424 and
countersigned by the Applicant's Board Chairperson or Treasurer, that
the non-Federal matching funds will be provided, contingent only on the
OCS grant award, and that non-Federal share deposits to the Reserve
Fund and the opening of Individual Development Accounts will be
coordinated so that new accounts will only be opened when there are
sufficient funds in the Reserve Fund to cover the maximum matching
requirements of the Savings Plan Agreements.
With regard to Applicants which are State or local government
agencies or Tribal governments, submitting jointly with tax exempt non-
profit organizations, note that under Section G Paragraphs (1) and (2),
above, Reserve Funds are required to be established as in other
applications/projects.
OCS has determined that the strict legislative limitations on the
use of Federal grant funds and of the minimum required non-Federal
match (at least 90.5% of each must go toward matching deposits in
Individual Development Accounts) mean that important training,
counseling and support activities, critical to the success of a
project, may best be supported by additional resources, both of the
applicant itself and mobilized by the applicant in the community.
Consequently, Applicants are encouraged to mobilize additional
resources, which may be cash or in-kind contributions, Federal or non-
Federal, for support of project administration and assistance to
Project Participants in obtaining skills, knowledge, and needed support
services. (See PART III, Element V) Applicants are reminded that they
will be held accountable for commitments of such additional resources
even if over the amount of the required non-Federal match.
[[Page 69831]]
J. Preferences
In accordance with the provisions of the AFI Act, in considering an
application to conduct a demonstration project under this Announcement,
OCS will give preference to an application that:
(1) Demonstrates the willingness and ability of the applicant to
select eligible individuals for participation in the project who are
predominantly from households in which a child (or children) is living
with the child's biological or adoptive mother or father, or with the
child's legal guardian.
Note: Applications that target TANF recipients will be deemed to
have met this preference.
(2) Provides a commitment of non-Federal funds with a
proportionately greater amount of such funds committed from private
sector sources; and
(3) Targets individuals residing within one or more relatively
well-defined neighborhoods or communities (including rural communities)
that experience high rates of poverty or unemployment.
Note: Applications which target residents of Empowerment Zones,
Enterprise Communities, Public Housing, or CDFI Fund-designated
Distressed Communities will be deemed to have met this preference.
(For information on CDFI Fund designation of Distressed Communities
applicants may visit the CDFI Help Desk Website at: http://
www.cdfifundhelp.gov.)
Each of these preferences will be valued at 2 points in the
Application Review process, so that applicants not meeting these
preferences will have 2 points subtracted from its score for a given
Proposal Element for each preference not met. [Preferences (1) and (3)
fall under Proposal Element II(a); Preference (2) falls under Proposal
Element V(a)]. In the case of a consortium of CBO's operating programs
funded through a lead agency, if a majority of the participating CBO's
meet these legislative preferences, the Application as a whole will be
awarded these points.
K. Multiple Applications
Qualified Entities may submit more than one application for
different demonstration projects, but no more than one such application
will be funded to the same Qualified Entity pursuant to this
Announcement.
L. Treatment of Program Income
As noted in Section G Paragraph (1)(d), above, income generated
from investment of unallocated funds in the Reserve Fund may be added
to the funds already committed from the Reserve Fund to program
administration, participant support, or evaluation data collection.
However, once funds have been committed as matching contributions to
Individual Development Accounts, then any income subsequently generated
by such funds must be deposited proportionately to the credit of such
accounts.
Note: No part of such income is to be considered as a Federal
funds contribution subject to the $2000/$4000 limitations under
Section G Paragraph (6)(b), above.
M. Agreements With Partnering Financial Institutions
All applicants under this Announcement must enter into agreements
with one or more insured Financial Institutions, in collaboration with
which Reserve Funds and Individual Development Accounts will be
established and maintained. To be considered for funding, an
Application must include a copy of an Agreement or Agreements with one
or more partnering Qualified Financial Institutions (or in the case of
Individual Development Accounts established as Custodial Accounts, an
insured financial institution satisfactory to the Secretary), which
state(s) that the accounting procedures to be followed in account
management will conform to Guidelines (CFR Part 74) established by the
Secretary
Note: Such regulations may be found as Attachment ``L'' to this
Announcement.
and under which the partnering insured Financial Institution agrees to
provide data and reports as requested by the applicant. In the case of
IDA's established as Trusts under Section G Paragraph (4), above, the
partnering financial institution must be a Qualified Financial
Institution as defined in PART I Section D(12). In the case of IDA's
established as Custodial Accounts, the partnering financial institution
must be insured and must meet the requirements of Section G Paragraph
(5), above, to the satisfaction of the Secretary.
The Agreement may also include other services to be provided by the
partnering Financial Institution that could strengthen the program,
such as Financial Education Seminars, favorable pricing or matching
contributions provided by the Financial Institution, and assistance in
recruitment of Project Participants.
Part III. The Project Description, Program Proposal Elements and
Review Criteria
A. Purpose
The project description provides the major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. Applicants are encouraged
to provide information on their organizational structure, staff,
related experience, and other information considered to be relevant.
Awarding offices use this and other information to determine whether
the applicant has the capability and resources necessary to carry out
the proposed project. It is important, therefore, that this information
be included in the application. However, in the narrative the applicant
must distinguish between resources directly related to the proposed
project from those that will not be used in support of the specific
project for which funds are requested.
B. Project Summary/Abstract
Provide a summary of the project description (a page or less) with
reference to the funding request.
Applicants should provide a Project Summary of not more than one
page which should be placed at the beginning of the Application (and
will not be counted as a part of the Project Narrative/Description).
The Project Summary should be on Applicant's letterhead. It should open
with a brief identification of the geographic area to be served,
indicating poverty and unemployment rates, and the specific population
to be targeted by the project, followed by the amount of the grant
requested, the name of partnering financial institution(s) and
collaborating CBO's (if applicable), the amount of required non-Federal
match committed, number of IDA accounts projected to be opened in the
course of the Demonstration Project, the proposed rate of matching
contributions, and the types and numbers of ``Qualified Expenses''
expected to be achieved by participants. This should be followed by a
brief narrative description of the project indicating any of its
innovative aspects.
C. Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
[[Page 69832]]
instructional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated; supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
D. Results or Benefits Expected
Identify the results and benefits to be derived. For example,
describe the population to be recruited to the IDA program, how many
accounts are projected to be opened, what qualified expenses are
expected to be achieved, and how they will assist participants to move
towards self-sufficiency.
E. Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of accounts
opened. When accomplishments cannot be quantified by activity or
function, list them in chronological order to show the schedule of
accomplishments and their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. Note that clearance from the U.S. Office of Management
and Budget might be needed prior to a ``collection of information''
that is ``conducted or sponsored'' by ACF. List organizations,
cooperating entities, consultants, or other key individuals who will
work on the project along with a short description of the nature of
their effort or contribution.
F. Organization Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission. The
non-profit agency can accomplish this by providing a copy of the
applicant's listing in the Internal Revenue Service's (IRS) most recent
list of tax-exempt organizations described in Section 501(c)(3) of the
IRS code, or, by providing a copy of the currently valid IRS tax
exemption certificate, or, by providing a copy of the articles of
incorporation bearing the seal of the State in which the corporation or
association is domiciled.
G. Budget and Budget Justification
Provide a line item detail and detailed calculations for each
budget object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification that describes how
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
H. Non-Federal Resources
Amounts of non-Federal resources that will be used to support the
project as identified in Block 15 of the SF-424. The firm commitment of
these resources must be documented and submitted with the application
in order to be given credit in the review process. A detailed budget
must be prepared for each funding source.
I. Evaluation Criteria
Proposal Elements and Review Criteria for Applications
Each application which passes the initial screening will be
assessed and scored by three independent reviewers. Each reviewer will
give a numerical score for each application reviewed. These numerical
scores will be supported by explanatory statements on a formal rating
form describing major strengths and weaknesses under each applicable
criterion published in the Announcement. Scoring will be based on a
total of 100 points, and for each application will be the average of
the scores of the three reviewers.
The competitive review of proposals will be based on the degree to
which applicants:
(1) Adhere to the requirements in PART II and incorporate each of
the Elements and Sub-Elements below into their proposals, so as to:
(2) Describe convincingly a project that will develop new asset
accumulation opportunities for TANF recipients and other eligible
individuals and working families that can lead to a transition from
dependency to economic self-sufficiency through the accumulation of
assets and the pursuit of activities requiring one or more qualified
expenses; and
(3) Provide for the collection and validation of relevant data to
support the national evaluation to be carried out by the independent
research organization, under contract with ACF, of the project design,
implementation, and outcomes of this Demonstration Program.
In order to simplify the application preparation and review
process, OCS seeks to keep grant proposals cogent and brief.
Applications with project narratives (excluding Project Summaries and
appendices) of more than 30 letter-sized pages of 12 c.p.i. type or
equivalent on a single side will not be reviewed for funding.
Applicants should prepare and assemble their project description using
the following outline of required project elements. They should,
furthermore, build their project concept, plans, and application
description upon the guidelines set forth for each of the project
elements.
Project descriptions are evaluated on the basis of substance, not
length. Pages should be numbered and a table of contents should be
included for easy reference. For each of the Project Elements or Sub-
Elements below there is at the end of the discussion a suggested number
of pages to be devoted to the particular element or sub-element. These
are suggestions
[[Page 69833]]
only; but the applicant must remember that the overall Project
Narrative must not be longer than 30 pages.
Evaluation Criteria 1: Organizational Profiles
Element I. Organizational Experience and Administrative Capability;
Ability To Assist Participants. (0 to 20 points)
Criterion: The capability and relevant experience of the applicant
and its partners and collaborators in developing and operating programs
which deal with poverty problems similar to those to be addressed by
the proposed project, including the provision of supportive services to
TANF recipients and other low income individuals and working families
seeking to achieve economic stability and self-sufficiency, as well as
with evaluations and data collection; and in recruiting, educating, and
assisting project participants to increase their economic independence
and general well-being through economic literacy education and the
accumulation of assets.
Applications should briefly cite a few specific, concrete examples
of successful programs and activities, with accomplishments, with which
applicant has been involved which have contributed to its experience
and capability to carry out the proposed project. This should include
experience in working with the target or similar populations, as well
as collaborative programming and operations which involve financial
institutions and financial planning, budget counseling, educational
guidance, preparation for home ownership, and/or self-employment
training.
Applications should identify applicant agency executive leadership
in this section and briefly describe their involvement in the proposed
project and provide assurance of their commitment to its successful
implementation. (This can be achieved by a statement or letter from
agency executive leadership which may be included in the Appendix.) The
application should note and justify the priority that this project will
have within the agency including the facilities and resources that it
has available to carry it out.
The application must also identify the individual staff person(s)
who will have the most responsibility for managing the project,
coordinating services and activities for participants and partners, and
for achieving performance targets. The focus should be on the
qualifications, experience, capacity and commitment to the program of
the key staff person(s) who will administer and implement the project,
and the application should indicate the amount of time (in FTE) each
will be expected to devote to the project. The person identified as
Project Director should have supervisory experience, experience in
working with financial institutions and budget related problems of the
poor, and experience with the target population. Because this is a
demonstration project within an already-established agency, OCS expects
that the key staff person(s) would be identified, if not hired, in
which case a resume or resumes should be included in the Appendix. If
the person or persons have not been identified, then Position
Description(s) should be included in the Appendix.
Finally, the application should cite the roles, responsibilities,
and experience of any other organizations that will be collaborating
with the Applicant to assist and support Project Participants in the
pursuit of their goals under the project. Supporting documentation
concerning these partnering agencies should be included in the Appendix
to the proposal.
Where the Applicant is applying as the lead agency for a consortium
of Community-Based Organizations (CBOs), each of these organizations
should be briefly described in this section of the Project Narrative;
and background materials citing their relevant experience and staff
capabilities should be included in the Appendix. In such cases the
Applicant should document its capability and experience in managing
such consortia, and the roles and responsibilities of all participating
agencies should be clearly set forth in Partnering Agreements between
the Applicant and each of the member CBOs. Copies of the Agreements
should be included in the Appendix, and the roles and responsibilities
clearly explained in Element II(b), Project Design, and reflected in
the Work Plan under Element II(c).
It is suggested that applicants use no more than 5 pages for this
sub-Element, not counting actual resumes or position descriptions,
which should be included in an Appendix to the proposal. Background
materials on consortium members (if any) and other collaborating
agencies, supportive materials, and Partnering Agreements with CBOs
should also be included in the Appendix.
Evaluation Criteria 2: Approach I
Element II. Sufficiency of the Project Theory, Design, and Plan (0-45
points)
Criterion: The degree to which the project described in the
application appears likely to result in the establishment of a
workable, fiscally sound program that will provide a structure of
incentives and supports for TANF recipients and other working families
of limited means that will enable them to increase their economic self
sufficiency through economic literacy training and asset accumulation
for one or more ``qualified expenses''.
OCS seeks to learn from the application why and how the project as
proposed is expected to establish the creation of new opportunities for
asset accumulation by eligible individuals and families that can lead
to significant improvements in individual and family self-sufficiency
through activities requiring one or more qualified expenses: for post-
secondary education, home ownership, and/or qualified business
capitalization.
Applicants are urged to design and present their project in terms
of a conceptual cause-effect framework that makes clear the
relationship between what the project plans to do and the results it
expects to achieve.
Sub-Element II(a). Description of Target Population, Analysis of Need,
and Project Assumptions (0-15 points)
In this sub-element of the proposal the applicant must precisely
identify the target population(s) to be served. The geographic area to
be impacted should then be briefly described, citing the percentage of
residents who are low-income individuals and TANF recipients, as well
as the unemployment rate, and other data that are relevant to the
project design.
Note: Both the poverty rate and unemployment rate of the target
community(s) are needed to be set forth in the Application so that
its eligibility for the legislative preference may be determined
(see below).
The project design or plan should begin with identifying the
underlying assumptions about the program. These are the beliefs on
which the proposed program is built. They should begin with assumptions
about the strengths and needs of the population(s) to be served; about
how the accumulation of assets will enable project participants to
build on those strengths in their quest to achieve self-sufficiency;
and about what anticipated needs of the participants could be barriers
to that achievement.
[[Page 69834]]
In other words, the underlying assumptions of the program are the
applicant's analysis of the participant strengths and potential to be
supported and their needs and problems to be addressed by the project,
and the applicant's theory of how its proposed interventions will
address those strengths and needs to achieve the desired result. Thus a
strong application is based upon a clear description of the strengths,
opportunities, needs and problems to be supported and addressed, and a
persuasive understanding of the nature of the opportunities and causes
of the problems.
The application should include a discussion of the identified
personal barriers to employment, job retention and greater self-
sufficiency faced by the population to be targeted by the project.
(These might include such problems as illiteracy, substance abuse,
family violence, lack of skills training, health or medical problems,
need for childcare, lack of suitable clothing or equipment, or poor
self-image.) The application should also include an analysis of the
identified community systemic barriers which the applicant will seek to
overcome. These might include lack of public transportation; lack of
markets; unavailability of financing, insurance or bonding; inadequate
social services (employment service, child care, job training); high
incidence of crime; lack of housing; inadequate health care; or
environmental hazards. Applicants should be sure not to overlook the
personal and family services and support needed by project participants
which will enhance job retention and advancement, so as to assure
continued ability to save from earned income, and which will also help
to assure that benefits attainable through asset accumulation are not
diverted by crises beyond the participants' control which would lead to
emergency withdrawals.
Where applicant is the lead agency for a group or consortium of
CBOs, this narrative should briefly summarize the location, character,
and unemployment and poverty status of the different target
populations. More detailed information for each of the participating
CBOs should be included in the Appendix to the Application.
Note: In accordance with the legislative preferences set forth
in PART II Section J, above, the maximum score for this sub-Element
in the review of applications under Priority Area 1.0 will only be
given to applications which:
(1) demonstrate the willingness and ability of the applicant to
select individuals for participation in the project who are
predominantly from households in which a child (or children) is
living with the child's biological or adoptive mother or father, or
with the child's legal guardians. (Applications which target TANF
recipients will be deemed to have met this preference); and
(2) target individuals residing within one or more relatively
well-defined neighborhoods or communities (including rural
communities, public housing developments, Empowerment Zones and
Enterprise Communities) that experience high rates of poverty or
unemployment. (Applications which target residents of Empowerment
Zones, Enterprise Communities, Public Housing, or CDFI Fund-
designated Distressed Communities will be deemed to have met this
preference.) (See PART II, Section J)
Each of these preferences will be valued at 2 points in the
proposal review, so that the absence of one will reduce the review
score for the sub-Element by 2 points; the absence of both will reduce
the review score by 4 points.
In the case of a consortium of CBOs operating programs funded
through a lead agency, if a majority of the participating CBOs meet
these legislative preferences, the Application as a whole will be
awarded these points.
It is suggested that applicants use no more than 5 pages for this
Sub-Element, not including any more detailed information about separate
target populations, which should be included in the Appendix.
Sub-Element II(b). Project Approach and Design: Interventions,
Outcomes, and Goals (0-20 points)
The Application should outline a plan of action which describes the
scope and detail of how the proposed activities will be undertaken.
This Sub-Element should begin with a concise statement of the number of
IDAs that are proposed to be established for each of the ``Qualified
Expenses'' under the AFI Act, the projected monthly savings by IDA
holders and the planned rate of matching contributions, and the
projected savings goals of the participants. The applicant should
demonstrate that projected savings goals have a true relation to the
ability of the Participant to save and to the value or cost of the
``Qualified Expense'' for which the IDA is to be used, be it housing,
postsecondary education, or business capitalization.
Next, the Applicant should present a clear and straightforward
description, from the point of view of the Project Participant, of just
how the proposed IDA Project will operate. This description should take
an eligible member of the target population through project activities
from recruitment through the payment for the ``Qualified Expense'' (and
beyond, if appropriate). It is suggested that the description generally
follow the outline below, plus any additional activities that the
Applicant proposes to undertake as part of its project:
(1) How/where does the potential participant learn information
about the Project that will excite his/her interest? (Recruitment)
(2) Once interested, how, when, by whom, and on what basis is the
recruit selected to participate in the project? (Selection)
(3) How and when and with what assistance (Case Management? Family
Development?) does the new participant make decisions concerning the
amount of weekly or monthly savings and the selection of ``Qualified
Expense''? Or is this part of the Selection Process? (Orientation?)
(4) When and where and with whom does the Participant reach
agreement on and sign a ``Savings Plan Agreement''? [Include here a
brief discussion of the provisions of the Agreement, or refer to a
sample provided in the Appendix.] (Savings Plan Agreement)
(5) Where, when and how does the Participant actually open his/her
IDA account with the Insured Financial Institution? Where is the
Institution in relation to the Participant's home/place of work? How
does the Participant get to the Institution? [Include here a brief
discussion of the role of the Financial Institution in account
management, data collection and reporting, and any other services it
will provide, referring to copies of the agreement(s) with the
Financial Institution(s) in the Appendix.] (Opening of the IDA/Role of
the Financial Institution)
(6a) How and where will participant make savings deposits? In
person? By mail? Through payroll deduction? (Savings Deposits)
(6b) What happens if a scheduled deposit is missed? Will the
participant be sent a post card? Receive a supportive phone call?
(Delinquency)
(7) Where and when and from whom does the participant receive
``Economic Literacy'' or ``Budgeting'' training, and do childcare and
transportation need to be provided? (Training and Support)
(8a) Where and when and from whom does the participant receive
needed support to remain on the job with opportunity for advancement
(So as to assure continued savings from earned income)? (Post
Employment Support Services)
(8b) Where and when and from whom does the participant receive
emergency services so as to avoid having to make Emergency Withdrawals?
(Crisis Intervention)
[[Page 69835]]
(9) Where and when and from whom does the participant receive
``Qualified Expenditure'' training related to home ownership, pursuit
of educational goals, or business plan development and business
management? (Qualified Expenditure Support)
(10) When the IDA savings/match goals have been achieved, where,
when and how does the participant make or arrange withdrawals to
support the ``Qualified Expenses''? (Withdrawals)
In this description the applicant should discuss all of the planned
activities and interventions, including those supported by other
available resources, and should explain the reasons for taking the
approaches proposed. The description should give a clear picture of how
the project as a whole will operate from day to day, including the
recruiting, financial, program support, and data collection
responsibilities of the applicant and any partners in the project, and
just how they will interact with the financial institutions and other
participating agencies.
Where the Applicant is a lead agency for a group or consortium of
CBOs, the role of each must be clearly defined in this section of the
application. In such cases Applicants should attach copies of signed
Partnering Agreements with each of the member CBOs setting forth the
roles and responsibilities of each. (See Element I and PART II Section
B.(3) above.)
Finally, and following the above description, the Applicant should
explain how the proposed project activities will result in outcomes
which will build on the strengths of the Program Participants and
assist them to overcome the identified personal and systemic barriers
to achieving self-sufficiency. In other words, what will the project
staff do with the resources available to the project and how will what
they do (interventions) assist project participants to accumulate
assets in Individual Development Accounts and use those assets for
``Qualified Expenses'' in a manner that will help lead them to self-
sufficiency?
It is suggested that applicants use no more than 9 pages for this
Sub-Element, not including copies of agreements with financial
institutions, partnering agencies or CBO's, or sample ``Savings Plan
Agreement'', which should be in an Appendix.
Sub-Element II(c). Work Plan, Projections, Time Lines. (0-10 points)
Applicant should provide quantitative quarterly projections of the
activities to be carried out and such information as the projected
number of participants to be enrolled in each quarter, the number of
Individual Development Accounts projected to be opened in each quarter
for each of the ``Qualified Expenses'', the number and amount of
projected deposits in each quarter, a projected schedule of IDA
completions and qualified expense payments, and the number and types of
services provided to participants. The plan should briefly describe the
key project tasks, and show the timelines and major milestones for
their implementation. Where the Applicant is a lead agency for a group
or consortium of CBOs, this information should be broken out for each
of the member CBOs. Applicant may be able to use a time line chart to
convey this aspect of the work plan in minimal space.
Note: Applicants should make sure that these projections relate
accurately to the amount of grant funds requested and rates of
matching contributions that are planned for IDA's. In other words,
applicants should not project a greater number of IDA accounts than
that number that can be matched by the grant funds that will be
available to the project. Applicants should also be aware that OCS
funds awarded pursuant to this Announcement will be from FY 2000
funds and may not be expended after the end of the five-year
Project/Budget Period to support administration of the project or
matching contributions to Individual Development Accounts which may
be open at that time. Consequently, Applicants should consider
carefully the length of time participants will need to achieve their
savings goals and at what point in the project they may wish to
discontinue the opening of new accounts. Applicants should provide
assurance that in every case provision will be made for payment of
all promised matching deposits to IDA accounts opened by project
participants in the course of the demonstration project.
This Element of the Proposal should also include a management plan
or chart showing the responsibilities of the applicant agency, key
personnel, and all partnering agencies and consortium members (where
applicable), with an indication of who will be performing various tasks
such as recruiting, training, economic education instruction, and
support activities. (This plan or chart should be included in the
Appendix to the Application.)
It is suggested that applicants use no more than 3 pages for this
Sub-Element, not counting the management plan/chart, which should be
included in the Appendix.
Evaluation Criteria 3: Budget and Budget Justification
Element III. Appropriateness of Budget and Proposed Use of Cash and In-
Kind Resources. (0-5 points)
Criteria: Completeness of the Budget Justification, and the degree
to which a description of the allocation of both cash and in-kind
resources available to the project (including any income generated for
the project by the Reserve Fund) demonstrates a thoughtful plan that
reflects the needs of Project Participants and the responsive
activities and interventions to be undertaken by the Applicant and its
partners.
Every application must include a Budget Justification, placed after
the Budget Forms SF 424 and 424A, explaining the sources and uses of
project funds. The Budget Justification will not be counted as part of
the Project Description subject to the thirty page limitation.
Applicant should briefly but thoroughly describe how all of the
resources available to the Project will be employed to carry out the
Work Plan described in Element II, including those training elements
and support services designed to help assure participant success in
meeting their savings commitments and their chosen ``qualified
expense'' use of their Individual Development Account assets. In the
budget forms and supporting Budget Justification, Applicants must
clearly distinguish between AFI Act/OCS grant funds and other funds,
and between cash and in-kind resources described.
As noted above, the Budget Justification will not be counted as
part of the Project Description subject to the thirty page limitation.
Evaluation Criteria 4: Approach II
Element IV. Project Data: Adequacy of Plan for Collecting, Validating
and Providing Project-related Data for Management Information,
Reporting, and Evaluation Purposes. (0-5 points)
Criteria: Adequacy of the plan for collecting, validating and
providing relevant, accurate and complete data for internal management
information, statutory reporting and project evaluation purposes; and
clear expression of a commitment to cooperation with the statutorily
mandated evaluation of the national Assets for Independence
Demonstration Program.
Note: Under the AFI Act project grantees are required to use at
least 2%--but not more than 9.5%--of grant funds to provide the
research organization evaluating the
[[Page 69836]]
demonstration project with such information with respect to the
demonstration project as may be required for the evaluation.
The AFI Act allocates a portion of the appropriated funds to
support an evaluation of the overall demonstration program in addition
to the funds grantees are required to expend on data collection. This
Element requires the Applicant to provide a well thought-out plan for
collecting, validating and reporting/-providing the necessary data in a
timely fashion. The Applicant is also encouraged to identify the kinds
of data it believes would facilitate the management information,
reporting, and evaluation purposes. The Applicant should also declare
its agreement to cooperate with the evaluation of the national program,
and include a brief explanation of its perception of what that
cooperation would entail. Applicants are urged to carry out an ongoing
assessment of the data and information collected as an effective
``process'' management/feedback tool in implementing the project. If
the Applicant anticipates such an undertaking, the plans should be
briefly outlined here.
Note: To attain a maximum score for this Element, the Applicant
must state its agreement to use the ``MIS IDA'' information system
software developed by the Center for Social Development, or a
comparable and compatible system, for the maintenance, collection,
and transmission of data from the proposed project.
It is suggested that applicants use no more than 2 pages for this
Element.
Evaluation Criteria 5: Non-Federal Resources
Element V. Commitment of Resources. (Total of 0-15 points)
Sub-Element V(a). Proportion of Public/Private Required Non-Federal
Matching Contributions. (0-2 points)
Criterion: Whether a proportionately greater amount of committed
required non-Federal matching contribution funds are from private
sector as opposed to public sources.
In accordance with the legislative preferences set forth in Part
III Section J Preferences, above, applications which provide a
commitment of required non-Federal cash matching contributions with a
proportionately greater amount of such funds committed from private
sector as opposed to public sources will receive 2 points under this
Element.
Applicants are reminded that as noted in PART II Section I Non-
Federal Matching Funds Requirements, where the Applicant is itself
providing any of the required cash non-Federal share, it must include
in the Appendix a statement of commitment, on applicant letterhead,
signed by the official signing the SF 424 and countersigned by the
Applicant's Board Chairperson or Treasurer, that the non-Federal
matching funds will be provided, contingent only on the OCS grant
award, and that non-Federal share deposits and the opening of
Individual Development Accounts will be coordinated so that new
accounts will only be opened when there are sufficient funds in the
Reserve Fund to cover the maximum matching requirements of the Savings
Plan Agreements.
Sub-Element V(b). Availability of Additional Resources. (0-13 points)
Criterion: The extent to which additional resources (beyond the
required amount of direct funds from non-federal public sector and from
private sources that are formally committed to the project as matching
contributions) will be available to support those activities and
interventions identified in sub-Element II(b), such as economic
literacy classes, ``qualified expense''-related training, counseling,
post-employment support services, and crisis intervention.
As noted below in Part IV, Paragraph D Initial OCS Screening, the
only applications which will be considered for competitive review are
those which include written documentation of a commitment, contingent
only on award of the OCS grant, from the provider(s) of non-Federal
share, in cash as distinguished from in-kind, of at least the amount of
the total Federal grant request.
OCS has determined that the strict legislative limitations on the
use of Federal grant funds and of the minimum required non-Federal
match (at least 90.5% of each must go toward matching deposits in
Individual Development Accounts) mean that important training,
counseling and support activities, critical to the success of a
project, can best be supported by additional resources, both of the
applicant itself and from the community.
In order to receive points in the review process under this sub-
Element, the applicant must identify those additional resources, cash
and in-kind, which will be dedicated to support of those activities and
interventions identified in sub-Element II(b), such as economic
literacy classes, training, counseling, post-employment support
services, and crisis intervention; and any staff data collection/
verification activities described in Element III. Such resources may be
existing programs of the applicant or a project partner, such as Family
Development, Economic Literacy classes, or Small Business Training, in
which Project Participants will be enrolled as part of their efforts to
achieve self-sufficiency. This Element will be judged in the review
process on the adequacy of the available resources to support the
activities and interventions described in sub-Element II(b). The
commitment of such resources to the project must be documented in
writing and submitted as an Appendix to the Application. Because such
additional resources are not part of the legislatively mandated non-
Federal matching requirement, these additional resources may be of
Federal or non-Federal origin, public or private, in cash or in-kind.
Applicants are reminded that they will be held accountable for
commitments of such additional resources even if over the amount of the
required match.
It is suggested that no more than 3 pages be used for this Element,
not including non-Federal Share Agreements, assurances, letters of
commitment, partnership agreements, or Memoranda of Understanding,
which should be put in an Appendix to the proposal.
Evaluation Criteria 6: Results or Benefits Expected
Element VI. Significant and Beneficial Impacts/Critical Issues or
Potential Problems. (0-10 points)
Criteria: The extent to which proposed project is expected to
produce permanent and measurable results that will reduce the incidence
of poverty in the community and lead TANF recipients and other eligible
individuals and working families toward economic self-sufficiency
through economic literacy education and accumulation of assets; and the
extent to which applicant convincingly explains how the project will
meet any critical issues or potential problems in achieving these
results.
Applicants should set forth their realistic goals and projections
for attainment of these and other beneficial impacts of the proposed
project and should demonstrate that projected savings goals have a true
relationship to the ability of the participant to save the projected
amounts and to the value or cost of the ``Qualified Expense'' for which
the IDA is to be used.
Results are expected to be quantifiable in terms of the number of
Individual Development Accounts opened, their rate of growth, the
number and size of withdrawals for each of the three ``Qualified
Expenses'', and the impact of the payment of those expenses on the
[[Page 69837]]
participants' movement toward self-sufficiency.
Applicants should also in this Element explicitly address critical
issues or potential problems that might affect the achievement of
project objectives, with an explanation of how they would be overcome,
and how the objectives will be achieved notwithstanding any such
problems.
It is suggested that no more than 3 pages be used for this Element.
Part IV. Application Procedures
A. Application Development/Availability of Forms
In order to be considered for a grant under this program
announcement, an application must conform to the Program Requirements
set out in Part II and be prepared in accordance with the guidelines
set out in Part III, above. It must be submitted on the forms supplied
in the attachments to this Announcement and in the manner prescribed
below. Attachments A through I contain all of the standard forms
necessary for the application for awards under this OCS program. These
attachments and Parts IV and V of this Announcement contain all the
instructions required for submittal of applications.
Additional copies may be obtained by writing or telephoning the
office listed under the section entitled FOR FURTHER INFORMATION
CONTACT: at the beginning of this announcement. In addition, this
Announcement is accessible on the Internet through the OCS WEBSITE for
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/ under
``Funding Opportunities''.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace, the
Certification Regarding Environmental Tobacco Smoke, and debarment
regulations set forth in Attachments G, H, and I.
Part III contains instructions for the substance and development of
the project narrative. Part V contains instructions for completing
application forms. Part VI, Section A describes the contents and format
of the application as a whole.
B. Application Submission
(1) Number of Copies Required
One signed original application and four copies should be submitted
at the time of initial submission. (OMB 0976-0139).
(2) Deadline
Mailed applications shall be considered as meeting the announced
deadline of May 15, 2000 if they are either received on or before the
deadline date or postmarked on or before the deadline date and received
by ACF in time for the independent review. Mailed applications must be
sent to: U.S. Department of Health and Human Services, Administration
for Children and Families, Office of Grants Management, Office of Child
Support Enforcement, ``Attention: IDA Program'', 370 L'Enfant
Promenade, SW, Washington, DC 20447.
Applications submitted via overnight/express delivery services
should be addressed to the Administration for Children and Families,
Office of Grants Management, Office of Child Support Enforcement,
``Attention IDA Program'', 901 D Street SW, Fourth Floor, Washington,
DC 20024.
Applicants must ensure that a legibly dated U.S. Postal Service
postmark, or a legibly dated machine produced postmark of a commercial
mail service, or an official dated receipt of an overnight/express
delivery service, is affixed to the envelope/package containing the
application(s). To be acceptable as proof of timely mailing, a postmark
from a commercial mail service or receipt from an overnight/express
delivery service company must include the logo/emblem of the company
and must reflect the date the package was received by the company from
the applicant. Private Metered postmarks shall not be acceptable as
proof of timely mailing.
Applications handcarried by applicants, applicant couriers, or by
other representatives of the applicant shall be considered as meeting
an announced deadline if they are received on or before the deadline
date, between the hours of 8:00 a.m. and 4:30 p.m., EST, at the U.S.
Department of Health and Human Services, Administration for Children
and Families, Office of Grants Management, Office of Child Support
Enforcement, Mailroom, 2nd Floor (near loading dock), Aerospace Center,
901 D Street, SW, Washington, DC 20024, between Monday and Friday
(excluding Federal holidays). The address must appear on the envelope/
package containing the application with the note ``Attention: IDA
Program''.
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
(3) Late Applications
Applications which do not meet the criteria above are considered
late applications. ACF shall notify each late applicant that its
application will not be considered in the current competition.
(4) Extension of Deadlines
ACF may extend an application deadline for applicants affected by
acts of God such as floods and hurricanes, or when there is widespread
disruption of the mails. A determination to waive or extend deadline
requirements rest with ACF's Chief Grants Management Officer.
C. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
Note: State/Territory Participation in the Intergovernmental
Review Process Does not Signify Applicant Eligibility for Financial
Assistance Under a Program. A Potential Applicant Must Meet the
Eligibility Requirements of the Program for Which it is Applying
Prior to Submitting an Application to its SPOC, if Applicable, or to
ACF.
Attachment J is a Single Point of Contact List for participating
jurisdictions. The following jurisdictions have elected not to
participate in the Executive Order process: Alabama, Alaska, American
Samoa, Colorado, Connecticut, Kansas, Hawaii, Idaho, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Oklahoma,
Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, and Washington. Applicants from these jurisdictions, for
projects administered by federally recognized Indian Tribes, or which
are States, need take no action in regard to E.O. 12372. All remaining
jurisdictions participate in the Executive Order process and have
established SPOCs. Applicants from participating jurisdictions should
contact their SPOCs as soon as possible to alert them of the
prospective applications and receive instructions. Applicants must
submit any required material to the SPOCs as soon as possible so that
the program office can obtain and review SPOC comments as part of the
award process. The applicant must submit all required materials, if
any, to the SPOC and indicate the date of this submittal (or the date
of contact
[[Page 69838]]
if no submittal is required) on the Standard Form 424, item 16a. Under
45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to
comment on proposed awards. SPOCs are encouraged to eliminate the
submission of routine endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between mere
advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule. When comments
are submitted directly to ACF, they should be addressed to: Department
of Health and Human Services, Administration for Children and Families,
Office of Grants Management, Office of Child Support Enforcement, 370
L'Enfant Promenade, SW, Mail Stop 6C-462, Washington, DC 20447.
D. Initial OCS Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that the application was postmarked
by the closing date and submitted in accordance with the instructions
in this announcement.
All applications that meet the published deadline requirements as
provided in this Program Announcement will be screened for completeness
and conformity with the following requirements. Only complete
applications that meet the requirements listed below will be reviewed
and evaluated competitively. Other applications will be returned to the
applicants with a notation that they were unacceptable and will not be
reviewed.
The following requirements must be met by all Applicants except as
noted:
(1) The application must contain a signed Standard Form 424
``Application for Federal Assistance'' (SF-424), a budget (SF-424A),
and signed ``Assurances'' (SF 424B) completed according to instructions
published in Part V and Attachments A, B, and C of this Program
Announcement.
(2) A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be limited to 30
letter-size pages, numbered, and typewritten on one side of the paper
only with one-inch margins and type face no smaller than 12 characters
per inch (c.p.i.) or equivalent. Applications with project narratives
(excluding Project Summaries and appendices) of more than 30 letter-
sized pages of 12 c.p.i. type or equivalent on a single side will not
be reviewed for funding. The Joint Applicant Agreement (where
applicable), non-Federal share agreement, Budget Narrative, Charts,
exhibits, resumes, position descriptions, letters of support or
commitment, Agreements with Financial Institutions and other partnering
organizations, and Business Plans (where required) are not counted
against this page limit, and should be in the Appendix. It is strongly
recommended that applicants follow the format and content for the
narrative described in the program elements set out in part III.
(3) The SF-424 and the SF-424B must be signed by an official of the
organization applying for the grant who has authority to obligate the
organization legally.
Applicants must also be aware that the applicant's legal name as
required on the SF-424 (Item 5) must match that listed as corresponding
to the Employer Identification Number (Item 6).
(4) Application must contain documentation of the applicant's (or
joint applicant's) tax exempt status as required under Part II, Section
A.
(5) Application must include a copy of a ``Non-Federal Share
Agreement'' or Agreements in writing executed with the entity or
entities providing the required non-Federal matching contributions,
signed by a person authorized to make a commitment on behalf of the
entity and signed for the Applicant by the person signing the SF424.
Such Agreement(s) must include: (1) A commitment by the organization to
provide the non-Federal funds contingent only on the grant award; and
(2) an agreement as to the schedule of the opening of Individual
Development Accounts by the Applicant, and the schedule of deposits by
the organization to the project's Reserve Fund, such that the two
schedules will together assure that there will be at all times in the
Reserve Fund non-Federal matching contribution funds sufficient to meet
the maximum pledges of matching contributions under the ``Savings Plan
Agreements'' for all Individual Development Accounts then open and
being maintained by the grantee as part of the demonstration project.
Where Applicants (or Joint Applicants) themselves are providing
non-Federal share funding, then with regard to those funds the
application should include an assurance, signed by the person signing
the SF424, and countersigned by the board Chairperson or Treasurer that
the required non-Federal share funds will be provided and that deposits
and the opening of Individual Development Accounts will be coordinated
so that new accounts will only be opened when there are sufficient
funds in the Reserve Fund to cover the maximum matching requirements of
the Savings Plan Agreements. (See part II, Section I.)
Applicants are strongly encouraged to mobilize additional
resources, which may be cash or in-kind contributions, Federal or non-
Federal, for support of project administration and assistance to
Project Participants in obtaining skills, knowledge, and needed support
services. [See part III, Element V(b)]
(6) All Applications must include a copy of an Agreement between
the Applicant and one or more Qualified Financial Institution(s), which
states that the accounting procedures to be followed in account
management will conform to Guidelines (45 CFR part 74) established by
the Secretary, and under which the partnering financial institution
will agree to provide data and reports as requested by the applicant.
E. Consideration of Applications. Applications which pass the
initial OCS screening will be reviewed and rated by an independent
review panel on the basis of the specific review criteria described and
discussed in Part III, above. Applications will be reviewed and rated
under the Program Elements and Review Criteria set forth in part III I.
The review criteria were designed to assess the quality of a proposed
project, and to determine the likelihood of its success. The review
criteria are closely related and are considered as a whole in judging
the overall quality of an application. Points are awarded only to
applications which are responsive to the review criteria and program
elements within the context of this Program Announcement. The results
of these reviews will assist the Director and OCS program staff in
considering competing applications. Reviewers' scores will weigh
heavily in funding decisions, but will not be the only factors
considered.
Applications generally will be considered in order of the average
scores assigned by reviewers. However, highly ranked applications are
not guaranteed funding since other factors are taken into
consideration, including, but not limited to, the timely and proper
completion by applicant of projects funded with OCS funds granted in
the last five (5) years; comments of reviewers and government
officials; staff evaluation and input; the amount and duration of the
grant requested and the proposed project's consistency and harmony with
OCS goals and policy; geographic distribution of applications; previous
program performance of applicants; compliance with grant terms under
previous HHS grants, including the actual dedication to program of
[[Page 69839]]
mobilized resources as set forth in project applications; audit
reports; investigative reports; and applicant's progress in resolving
any final audit disallowances on previous OCS or other Federal agency
grants.
Since non-Federal reviewers will be used for review of
applications, Applicants may omit from the application copies which
will be made available to the non-Federal reviewers, the specific
salary rates or amounts for individuals identified in the application
budget. Rather, only summary information is required.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to verify the applicant's performance
record and the documents submitted.
F. Reconsideration
After Federal funds are exhausted for this grant competition,
applications which have been independently reviewed and ranked but have
no final disposition (neither approved nor disapproved for funding) may
again be considered for funding. Reconsideration may occur at any time
funds become available within twelve (12) months following ranking. ACF
does not select from multiple ranking lists for a program. Therefore,
should a new competition based on the same review criteria be scheduled
and applications remain ranked without final disposition, such
applications will be re-reviewed by independent reviewers in the new
competition and ranked according to the new score. At the same time,
such applicants will be informed of their opportunity instead to obtain
reviewer comments from OCS and to reapply for the new competition, if
they so choose, and to the extent practical, in which case the previous
application will be disregarded.
Part V. Instructions for Completing Application Forms
The standard forms attached to this announcement shall be used to
apply for funds under this program announcement.
It is suggested that you reproduce single-sided copies of the SF-
424 and SF-424A, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms (Attachments A and B) as modified by the OCS specific
instructions set forth below:
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
(Note: The Budget detail and Narrative Budget Justification
should follow the SF 424 and 424A, and are not counted as part of
the Project Narrative.)
A. SF-424--Application for Federal Assistance (Attachment A)
Top of Page
Where the applicant is a previous Department of Health and Human
Services grantee, enter the Central Registry System Employee
Identification Number (CRS/EIN) and the Payment Identifying Number, if
one has been assigned, in the Block entitled Federal Identifier located
at the top right hand corner of the form (third line from the top).
Item 1. For the purposes of this announcement, all projects are
considered Applications; there are no Pre-Applications.
Item 7. If applicant is a State, enter ``A'' in the box. If
applicant is an Indian Tribe enter ``K'' in the box. If applicant is a
non-profit organization enter ``N'' in the box.
Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this announcement is 93.602. The title is
``Assets for Independence Demonstration Program (IDA Program)''.
Item 11. In addition to a brief descriptive title of the project,
indicate the priority area for which funds are being requested. Use the
following letter designations:
I--Individual Projects Under Priority Area 1.0
Item 13. Proposed Project--The project start date must begin on or
before September 30, 2000; the ending date should be calculated on the
basis of 60-month Project Period.
Item 15a. This amount should be no greater than $500,000 for
applications under Priority Area 1.0.
Item 15b-e. These items should reflect both cash and third-party,
in-kind contributions for the Project Period (60 months).
B. SF-424A--Budget Information--Non-Construction Programs (Attachment
B)
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS funds only, and Non-Federal will include
mobilized funds from all other sources--applicant, state, local, and
other. Federal funds other than requested OCS funding should be
included in Non-Federal entries.
Sections A, B, and C of SF-424A should reflect budget estimates for
each year of the Project Period.
Section A--Budget Summary
You need only fill in lines 1 and 5 (with the same amounts)
Col. (a): Enter ``IDA Program'' as Item number 1. (Items 2, 3, 4,
and 5 should be left blank.)
Col. (b): Catalog of Federal Domestic Assistance number is 93.602.
Col. (c) and (d): not relevant to this program.
Column (e)-(g): enter the appropriate amounts in items 1. and 5.
(Totals) Column e should not be more than $500,000 for applications
under Priority Area 1.0, and in no case can it be more than the
committed non-Federal matching cash contribution.
Section B--Budget Categories
(Note that the following information supersedes the instructions
provided with the Form in Attachment C)
Columns (1)-(5): For each of the relevant Object Class Categories:
Column 1: Enter the OCS grant funds for the full 5-year budget
period. With regard to Class Categories, all of OCS grant funds should
be entered in ``h. Other'', representing the funds to be deposited in
the Reserve Fund.
Columns 2, 3 and 4 are not relevant to this program.
Column 5: Enter the total federal OCS grant funds for the five year
budget by Class Categories under ``other'', showing a total of not more
than $500,000.
Section C--Non Federal Resources
This section is to record the amounts of ``non-Federal'' resources
that will be used to support the project, including both the required
cash non-Federal ``matching contributions'' share, and the ``additional
resources'' which will bring additional support to the project, which
may be cash or in-kind, non-Federal or Federal. In this context, ``Non-
Federal'' resources mean any and all resources other than the OCS funds
for which the applicant is applying. Therefore, mobilized funds from
other Federal programs, such as the Job Training Partnership Act
program or the Welfare-to-Work program, should be entered on these
lines. Provide a brief listing of
[[Page 69840]]
these ``non-Federal'' resources on a separate sheet and describe
whether it is a grantee-incurred cost or a third-party cash or in-kind
contribution. The firm commitment of these resources must be documented
and submitted with the application in order to be given credit in the
review process under the Non-Federal Resources program element.
Note: Even though non-Federal resources mobilized may go beyond
the amount required as match under the IDA Program, grantees will be
held accountable for any such cash or in-kind contribution proposed
or pledged as part of an approved application where the use of such
funds falls within a Program Element/Proposal Review Criterion which
formed the basis for the grant award. [See part II, Section I. and
part III, Element V(b).]
Sections D, E, and F may be left blank by Applicants under Priority
Area 1.0.
As noted in Part VI, a supporting Budget Justification must be
submitted providing details of expenditures under each budget category,
with justification of dollar amounts which relate the proposed
expenditures to the work program and goals of the project.
C. SF-424B Assurances: Non-Construction Programs
Applicants requesting financial assistance for a non-construction
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' (Attachment C) Applicants must sign and return
the Standard Form 424B with their applications.
Applicants must provide a certification concerning Lobbying. Prior
to receiving an award in excess of $100,000, applicants shall furnish
an executed copy of the lobbying certification. (See Attachments D and
E) Applicants must sign and return the certification with their
applications. Applicants should note that the Lobbying Disclosure Act
of 1995 has simplified the lobbying information required to be
disclosed under 31 U.S.C. 1352.
Applicants must make the appropriate certification on their
compliance with the Drug-Free Workplace Act of 1988 and the Pro-
Children Act of 1994 (Certification Regarding Smoke Free Environment).
(See Attachments G and H) By signing and submitting the applications,
applicants are attesting to their intent to comply with these
requirements and need not mail back the certification with the
applications.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award.
(See Attachment I) By signing and submitting the applications,
applicants are providing the certification and need not mail back the
certification with the applications. Copies of the certifications and
assurances are located at the end of this announcement.
Part VI. Contents of Application and Receipt Process
Application pages should be numbered sequentially throughout the
application package, beginning with a Summary/Abstract of the proposed
project as page number one; and each application must include all of
the following, in the order listed below:
A. Content and Order of IDA Program Application
1. A Project Summary/Abstract--Brief, not to exceed one page, on
the Applicant's letterhead, that includes the information listed in
Part III, Section B.
2. Table of Contents;
3. A completed Standard Form 424 (Attachment A) which has been
signed by an official of the organization applying for the grant who
has authority to obligate the organization legally; [Note: The original
SF-424 must bear the original signature of the authorizing
representative of the applicant organization];
4. A completed Budget Information-Non-Construction Programs (SF-
424A) (Attachment B);
5. A Budget Justification, including narrative budget justification
for each object class category included under Section B, as described
in Part III, Program Element III;
6. Proof of current tax-exempt status of Applicant or Joint
Applicant (See Part II B.);
7. A project narrative, limited to the number of pages specified
below, which includes all of the required elements described in Part
III. [Specific information/data required under each component is
described in Part III Section I, Evaluation Criteria.]
8. Appendices, which should include the following:
(a) (Where Application is submitted by a State or Local government
agency or Tribal government jointly with a tax exempt non-profit
organization) a properly executed Joint Application Agreement as
described in Part II B.(2), above;
(b) Filled out, signed and dated Assurances--Non-Construction
Programs (SF-424B), (Attachment C);
(c) Restrictions on Lobbying--Certification for Contracts, Grants,
Loans, and Cooperative Agreements: filled out, signed and dated form
found at Attachment D;
(d) Disclosure of Lobbying Activities, SF-LLL: Filled out, signed
and dated form found at Attachment E, if appropriate (omit Items 11-15
on the SF LLL and ignore references to continuation sheet SF-LLL-A)
(e) Maintenance of Effort Certification (See Attachment F);
(f) Signed Agreement(s) with partnering Financial Institution(s)
including identification of insurance carrier and current insurance
number;
(g) Signed Agreements with providers of required non-Federal
matching contributions (See Part II, Section I.)
(h) Resumes and/or position descriptions (see Part III Program
Element I);
(i) (Where Applicant is ``lead agency'' of a collaborative or
consortium of CBO's) Copies of Partnering Agreements between the
Applicant and each of the member CBO's, setting forth their roles and
responsibilities. (See Part III, Elements I and II(b))
(j) Any letters and/or supporting documents from collaborating or
partnering agencies in target communities, providing additional
information on staffing and experience in support of narrative under
Part III Element I. [Such documents are not part of the Narrative and
should be included in the Appendices. These documents are therefore not
counted against the page limitations of the Narrative.]; and
(k) Single points of contact comments, if applicable.
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8\1/2\ x 11 inch paper only.
They must not include colored, oversized or folded materials. Do not
include organizational brochures or other promotional materials,
slides, films, clips, etc. in the proposal. They will be discarded if
included. The applications should be two-hole punched at the top center
and fastened separately with a compressor slide paper fastener, or a
binder clip. The submission of bound plans, or plans enclosed in
binders is specifically discouraged.
B. Acknowledgment of Receipt
Acknowledgment of Receipt--All applicants will receive an
acknowledgment with an assigned identification number. Applicants are
requested to supply a self-addressed mailing label with their
Application, or a FAX number or e-mail address which can be used for
acknowledgment. The assigned identification number, along with any
other identifying codes, must be referenced in all subsequent
communications concerning the Application. If an acknowledgment is
[[Page 69841]]
not received within three weeks after the deadline date, please notify
ACF by telephone at (202) 205-5082.
Part VII. Post Award Information and Reporting Requirements.
A. Notification of Grant Award.
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which provides the amount of Federal funds approved
for use in the project, the project and budget period for which support
is provided, the terms and conditions of the award, and the total
project period for which support is contemplated.
B. Attendance at Evaluation Workshops
OCS hopes to sponsor one or more national evaluation workshops in
Washington, DC or in other locations during the course of the five-year
project. Project Directors will be expected to attend such workshops
provided additional funds can be made available by OCS for expenses of
attending.
C. Reporting Requirements
Grantees will be required to submit a semi-annual program progress
and financial report (SF 269) covering the six months after grant
award, and similar reports after conclusion of the first Project Year.
Such reports will be due 60 days after the reporting period. Thereafter
grantees will be required to submit annual program progress and
financial reports (SF 269), as well as a final program progress and
financial report within 90 days of the expiration of the grant.
D. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR part 74
(non-profit organizations) or part 92 (governmental entities) which
require audits under OMB Circular A-133.
E. Prohibitions and Requirements With Regard to Lobbying
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or subgrantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of non-appropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or subgrantees will pay with the non-appropriated funds and
(3) to file quarterly up-dates about the use of lobbyists if an event
occurs that materially affects the accuracy of the information
submitted by way of declaration and certification.
The law establishes civil penalties for noncompliance and is
effective with respect to contracts, grants, cooperative agreements and
loans entered into or made on or after December 23, 1989. See
Attachment H, for certification and disclosure forms to be submitted
with the applications for this program.
F. Applicable Federal Regulations
Attachment K indicates the regulations which apply to all
applicants/grantees under the Assets for Independence Demonstration
Program.
Dated: November 23, 1999.
Donald Sykes,
Director, Office of Community Services.
Assets for Independence Demonstration Program
List of Attachments
Attachment A--Application for Federal Assistance
Attachment B--Budget Information--Non-Construction Programs
Attachment C--Assurances--Non-Construction Programs
Attachment D--Certification Regarding Lobbying
Attachment E--Disclosure of Lobbying Activities
Attachment F--Certification Regarding Maintenance Effort
Attachment G--Certification Regarding Drug-Free Workplace
Requirements
Attachment H--Certification Regarding Environmental Tobacco Smoke
Attachment I--Certification Regarding Debarment, Suspension and
Other Responsibility Matters
Attachment J--E.O. 12372 State Single Point of Contact List
Attachment K--DHHS Regulations Applying to All Applicants/Grantees
Under The Assets for Independence Demonstration Program (IDA
Program)
Attachment L--Accounting Regulations
BILLING CODE 4184-01-P
[[Page 69842]]
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BILLING CODE 4184-01-C
[[Page 69843]]
Attachment A.--Instructions for the SF-424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item No. and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowance, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 69844]]
[GRAPHIC] [TIFF OMITTED] TN14DE99.001
[[Page 69845]]
[GRAPHIC] [TIFF OMITTED] TN14DE99.002
BILLING CODE 4184-01-C
[[Page 69846]]
Attachment B.--Instructions for the SF-424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-??4),
Washington, DC ??503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the programs. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4 Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog Number) and requiring a
functional or activity breakdown enter on Line 1 under Column (a)
the Catalog program title and the Catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the Catalog program title on each line
in Column (a) and the respective Catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for teach program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the Federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5. Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimate of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles shown
in Column (a), Section A. A breakdown by function or activity is not
necessary. For new applications and continuation grant applications,
enter in the proper columns amounts of Federal funds which will be
needed to complete the program or project over the succeeding
funding periods (usually in years). This section need not be
completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total of each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment C.--Assurances--Non-construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the
[[Page 69847]]
data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any
other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management
and Budget, Paperwork Reduction Project (0348-0040), Washington, DC
20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant, I
certify that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the AGe Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. Secs. 290 dd-3 and 290
ee 3), as amended, relating to confidentiality of alcohol and drug
abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U.S.C. Secs. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i)
any other nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being made; and
(j) the requirements of any other nondiscrimination statute(s) which
may apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with provisions of the Hatch Act
(5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment activities are
funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 265c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally-assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institation of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended
(P.L. 93-523); and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. Sec. 470), EO 11593 (identification and
protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. Secs. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. Secs. 2131 et seq.) pertaining to
the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead-
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act Amendments
of 1996 and OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations.''
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
this program.
----------------------------------------------------------------------
Signature of authorized certifying official
----------------------------------------------------------------------
Applicant organization
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Date submitted
Attachment D.--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress,
[[Page 69848]]
or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly. This
certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
BILLING CODE 4184-01-P
[[Page 69849]]
[GRAPHIC] [TIFF OMITTED] TN14DE99.003
BILLING CODE 4184-01-C
[[Page 69850]]
Attachment E.--Instructions for Completion of SF-LLL, Disclosure of
Lobbying Activities
This disclosure form shall be completed by the reporting entity,
whether subawardee or prime Federal recipient, at the initiation or
receipt of a covered Federal action, or a material change to a
previous filing, pursuant to tile 31 U.S.C. section 1352. The filing
of a form is required for each payment or agreement to make payment
to any lobbying entity for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with a covered Federal action. Complete all items that
apply for both the initial filing and material change report. Refer
to the implementing guidance published by the Office of Management
and Budget for additional information.
1. Identify the type of covered Federal action for which
lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If
this is a followup report caused by a material change to the
information previously reported, enter the year and quarter in which
the change occurred. Enter the date of the last previously submitted
report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the
reporting entity, include Congressional District, if known. Check
the appropriate classification of the reporting entity that
designates if it is, or expects to be, a prime or subaward
recipient. Identify the tier of the subawardee, e.g., the first
subawardee of the prime is the 1st entire. Subawards include but are
not limited to subcontracts, subgrants and contract awards under
grants.
5. If the organization filing the report in item 4 checks
``Subawardee,'' then enter the full name, address, city, State and
zip code of the prime Federal recipient. Include Congressional
District, if known.
6. Enter the name of the Federal agency making the award or loan
commitment. Include at least one organizational level below agency
name, if known. For example, Department of Transportation, United
States Coast Guard.
7. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative
agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number
available for the Federal action identified in item 1 (e.g., Request
for Proposal (RFP) number; invitation for Bid (IFB) number; grant
announcement number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Include prefixes, e.g., ``RFP-DE-90-001.''
9. For a covered Federal action where there has been an award or
loan commitment by the Federal agency, enter the Federal amount of
the award/loan commitment for the prime entity identified in item 4
or 5.
10. (a) Enter the full name, address, city, State and zip code
of the lobbying registrant under the Lobbying Disclosure Act of 1995
engaged by the reporting entity identified in item 4 to influence
the covered Federal action.
(b) Enter the full names of the individual(s) performing
services, and include full address if different from 10(a). Enter
Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print
his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons
are required to respond to a collection of information unless it
displays a valid OMB Control Number. The valid OMB control number
for this information collection is OMB No. 0348-0046. Public
reporting burden for this collection of information is estimated to
average 10 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503.
Attachment F.--Certification Regarding Maintenance of Effort
In accordance with the applicable program statute(s) and
regulation(s), the undersigned certifies that financial assistance
provided by the Administration for Children and Families, for the
specified activities to be performed under the ____________ Program
by ____________ (Applicant Organization), will be in addition to,
and not in substitution for, comparable activities previously
carried on without Federal assistance.
----------------------------------------------------------------------
Signature of Authorized Certifying Official____________
Title
----------------------------------------------------------------------
Date
Attachment G.--Certification Regarding Drug-Free Workplace Requirements
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central point is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements
(Instructions for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement;
[[Page 69851]]
consultants or independent contractors not on the grantee's payroll;
or employees of subrecipients or subcontractors in covered
workplaces.)
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check if there are workplaces on file that are not identified
here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[55 FR 21690, 21702, May 25, 1990]
Attachment H.--Certification Regarding Environmental Tobacco Smoke
Public Law 103227, Part C Environmental Tobacco Smoke, also
known as the Pro Children Act of 1994, requires that smoking not be
permitted in any portion of any indoor routinely owned or leased or
contracted for by an entity and used routinely or regularly for
provision of health, day care, education, or library services to
children under the age of 18, if the services are funded by Federal
programs either directly or through State or local governments, by
Federal grant, contract, loan, or loan guarantee. The law does not
apply to children's services provided in private residences,
facilities funded solely by Medicare or Medicaid funds, and portions
of facilities used for inpatient drug or alcohol treatment. Failure
to comply with the provisions of the law may result in the
imposition of a civil monetary penalty of up to $1,000 per day and/
or the imposition of an administrative compliance order on the
responsible entity. By signing and submitting this application the
applicant/grantee certifies that it will comply with the
requirements of the Act.
The applicant/grantee further agrees that it will require the
language of this certification be included in any subawards which
contain provisions for the children's services and that all
subgrantees shall certify accordingly.
Attachment I.--Certification Regarding Debarment, Suspension and Other
Responsibility Matters
Certification Regarding Debarment, Suspension and Other
Responsibility Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
[[Page 69852]]
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Attachment J.--State Single Point of Contact Listing Maintained by OMB
In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' Section 4, ``the Office of Management
and Budget (OMB) shall maintain a list of official State entities
designated by the States to review and coordinate proposed Federal
financial assistance and direct Federal development.'' This attached
listing is the OFFICIAL OMB LISTING. This listing is also published
in the Catalogue of Federal Domestic Assistance biannually.
August 23, 1999, OMB State Single Point of Contact Listing*
Arizona
Joni Saad
Arizona State Clearinghouse
3800 N. Central Avenue
Fourteenth Floor
Phoenix, Arizona 85012
Telephone: (602) 280-1315
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland
Manager, State Clearinghouse
Office of Intergovernmental Services
Department of Finance and Administration
515 W. 7th St., Room 412
Little Rock, Arkansas 72203
Telephone: (501) 682-1074
FAX: (501) 682-5206
California
Grants Coordination
State Clearinghouse
Office of Planning and Research
1400 Tenth Street, Room 121
Sacramento, California 95814
Telephone: (916) 445-0613
FAX: (916) 323-3018
Delaware
Francine Booth
[[Page 69853]]
State Single Point of Contact
Executive Department
Office of the Budget
540 S. Dupont Highway
Suite 5
Dover, Delaware 19901
Telephone: (302) 739-3326
FAX: (302) 739-5661
District of Columbia
Charles Nichols
State Single Point of Contact
Office of Grants Mgmt. and Dev.
717 14th Street, N.W., Suite 1200
Washington, D.C. 20005
Telephone: (202) 727-1700 (direct)
FAX: (202) 727-1617
Florida
Florida State Clearinghouse
Department of Community Affairs
2555 Shumard Oak Blvd.
Tallahassee, Florida 32399-2100
Telephone: (850) 922-5438
FAX: (850) 414-0479
Contact: Cherie Trainor (850) 414-5495
Georgia
Deborah Stephens
Coordinator
Georgia State Clearinghouse
270 Washington Street, S.W., 8th Floor
Atlanta, Georgia 30334
Telephone: (404) 656-3855
FAX: (404) 656-7901
Illinois
Virginia Bova, State Single Point of Contact
Illinois Department of Commerce and Community Affairs
James R. Thompson Center
100 West Randolph, Suite 3-400
Chicago, Illinois 60601
Telephone: (312) 814-6028
FAX: (312) 814-1800
Indiana
Renee Miller
State Budget Agency
212 State House
Indianapolis, Indiana 46204-2796
Telephone: (317) 232-2971 (directline)
FAX: (317) 233-3323
Iowa
Steven R. McCann
Division for Community Assistance
Iowa Department of Economic Development
200 East Grand Avenue
Des Moines, Iowa 50309
Telephone: (515) 242-4719
FAX: (515) 242-4809
Kentucky
Kevin J. Goldsmith, Director
Sandra Brewer, Executive Secretary
Intergovernmental Affairs
Office of the Governor
700 Capitol Avenue
Frankfort, Kentucky 40601
Telephone: (502) 564-2611
FAX: (502) 564-0437
Maine
Joyce Benson
State Planning Office
184 State Street
38 State House Station
Augusta, Maine 04333
Telephone: (207) 287-3261
FAX: (207) 287-6489
Maryland
Linda Janey
Manager, Plan and Project Review
Maryland Office of Planning
301 W. Preston Street, Room 1104
Baltimore, Maryland 21201-2365
Staff Contact: Linda Janey
Telephone: (410) 767-4490
FAX: (410) 767-4480
Michigan
Richard Pfaff
Southeast Michigan Council of Governments
660 Plaza Drive, Suite 1900
Detroit, Michigan 48226
Telephone: (313) 961-4266
FAX: (313) 961-4869
Mississippi
Cathy Mallette
Clearinghouse Officer
Department of Finance and Administration
550 High Street
303 Walters Sillers Building
Jackson, Mississippi 39201-3087
FAX: (601) 359-6758
Missouri
Lois Pohl
Federal Assistance Clearinghouse
Office of Administration
P.O. Box 809
Jefferson Building, 9th Floor
Jefferson City, Missouri 65102
Telephone: (314) 751-4834
FAX: (314) 751-7819
Nevada
Department of Administration
State Clearinghouse
209 E. Musser Street, Room 220
Carson City, Nevada 89710
Telephone: (702) 687-4065
FAX: (702) 687-3983
Contact: Heather Elliot
(702) 687-6367
New Hampshire
Jeffrey H. Taylor
Director, New Hampshire Office of State Planning
Attn: Intergovernmental Review Process
Mike Blake
2\1/2\ Beacon Street
Concord, New Hampshire 03301
Telephone: (603) 271-2155
FAX: (603) 271-1728
New Mexico
Nick Mandell
Local Government Division
Room 201 Bataan Memorial
Santa Fe, New Mexico 87503
Telephone: (505) 827-3640
FAX: (505) 827-4984
New York
New York State Clearinghouse
Division of the Budget
State Capitol
Albany, New York 12224
Telephone: (518) 474-1605
FAX: (518) 486-5617
North Carolina
Jeanette Furney
North Carolina Department of Administration
116 West Jones Street--Suite 5106
Raleigh, North Carolina 27603-8003
Telephone: (919) 733-7232
FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact
Office of Intergovernmental Assistance
600 East Boulevard Avenue
Bismarck, North Dakota 58505-0170
Telephone: (701) 224-2094
FAX: (701) 224-2308
Rhode Island
Kevin Nelson
Review Coordinator
Department of Administration
Division of Planning
One Capitol Hill, 4th Floor
Providence, Rhode Island 02908-5870
Telephone: (401) 277-2656
FAX: (401) 277-2083
South Carolina
Omeagia Burgess
State Single Point of Contact
Budget and Control Board
Office of State Budget
1122 Ladies Street--12th Floor
Columbia, South Carolina 29201
Telephone: (803) 734-0494
FAX: (803) 734-0645
Texas
Tom Adams
Governor Office
Director, Intergovernmental Coordination
P.O. Box 12428
Austin, Texas 78711
Telephone: (512) 463-1771
FAX: (512) 936-2681
Utah
Carolyn Wright
Utah State Clearinghouse
Office of Planning and Budget
Room 116 State Capitol
Salt Lake City, Utah 94114
Telephone: (801) 538-1027
FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director
Community Development Division
W. Virginia Development Office
Building #6, Room 553
Charleston, West Virginia 25305
Telephone: (304) 558-4010
FAX: (304) 558-3248
Wisconsin
Jeff Smith
Section Chief, Federal/State Relations
Wisconsin Department of Administration
101 East Wilson Street--6th Floor
P.O. Box 7868
Madison, Wisconsin 53707
Telephone: (608) 266-0267
FAX: (608) 267-6931
Wyoming
Sandy Ross
State Single Point of Contact
Department of Administration and Information
2001 Capitol Avenue, Room 214
Cheyenne, WY 82002
Telephone: (307) 777-5492
[[Page 69854]]
FAX: (307) 777-3696
Territories
Guam
Joseph Rivera
Acting Director
Bureau of Budget and Management Research
Office of the Governor
P.O. Box 2950
Agana, Guam 96932
Telephone: (671) 475-9411 or 9412
FAX: (671) 472-2825
Puerto Rico
Jose Caballero-Mercado
Chairman
Puerto Rico Planning Board
Federal Proposals Review Office
Minillas Government Center
P.O. Box 41119
San Juan, Puerto Rico 00940-1119
Telephone: (787) 727-4444
(787) 723-6190
FAX: (787) 724-3270
Northern Mariana Islands
Mr. Alvaro A. Santo, Executive Officer
Office of Management and Budget
Office of the Governor
Saipan, MP 96950
Telephone: (670) 664-2256
FAX: (670) 664-2272
Contact person: Ms. Jacoba T. Seman
Federal Programs Coordinator
Telephone: (670) 664-2289
FAX: (670) 664-2272
Virgin Islands
Nellon Bowry
Director, Office of Management and Budget
#41 Norregade Emancipation Garden
Station, Second Floor
Saint Thomas, Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to: Linda Clark, Telephone: (809) 774-0750,
FAX: (809) 776-0069.
If you would like a copy of this list faxed to your office,
please call our publications office at: (202) 395-9068.
*In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs'' this listing represents the designated
State Single Points of Contact. The jurisdictions not listed no
longer participate in the process BUT GRANT APPLICANTS ARE STILL
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY,
COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.''
STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama,
Alaska; American Samoa; Colorado; Connecticut; Hawaii; Idaho;
Kansas; Louisiana; Massachusetts; Minnesota; Montana; Nebraska; New
Jersey; Ohio; Oklahoma; Oregon; Palau; Pennsylvania; South Dakota;
Tennessee; Vermont; Virginia; and Washington. This list is based on
the most current information provided by the States. Information on
any changes or apparent errors should be provided to the Office of
Management and Budget and the State in question. Changes to the list
will only be made upon formal notification by the State. Also, this
listing is published biannually in the Catalogue of Federal Domestic
Assistance.
Attachment K.--DHHS Regulations Apply to All Applicants/Grantees Under
the Assets for Independence Demonstration Program (IDA Program)
Title 45 of the Code of Federal Regulations:
Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants with subgrants to
entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal
Assistance through the Department of Health and Human Services
Effectuation of Title VIp of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Regulation for the Administration and Enforcement of
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap
in Programs or Activities Conducted by the Department of Health and
Human Services
Part 86--Non-discrimination on the Basis of Sex in Education
Programs and Activities Receiving or Benefiting from Federal
Financial Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial
Assistance
Part 92--Uniform Administrative Requirements for Grants and
Cooperative Agreements to States and Local Governments (Federal
Register, March 11, 1988)
Part 93--New Restrictions on Lobbying Part 100--Intergovernmental
Review of Department of Health and Human Services Programs and
Activities
Attachment L.--Accounting Regulations
The Program Announcement states in Part II Sections G(1) and M
that the Accounting Regulations for maintenance of the Reserve Fund
to which partnering financial Institutions must adhere could be
found in this Attachment L.
As this Program Announcement went to press the subject
Accounting Regulations were still in clearance. Consequently, they
are not available for inclusion at this time: and instead, copies of
the Regulations, which basically conform to CFR part 74, will be
made available to grantees at the time of grant award.
[FR Doc. 99-31321 Filed 12-13-99; 8:45 am]
BILLING CODE 4184-01-P
