[Federal Register Volume 60, Number 70 (Wednesday, April 12, 1995)]
[Notices]
[Pages 18668-18698]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-8833]
[[Page 18667]]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Request for Applications Under the Office of Community Services' FY
1995 Demonstration Partnership Program (DPP); Notice
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 /
Notices
[[Page 18668]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-95-05]
Request for Applications Under the Office of Community Services'
FY 1995 Demonstration Partnership Program (DPP)
AGENCY: Office of Community Services, ACF, DHHS.
ACTION: Announcement of availability of funds and request for
applications under the Office of Community Services' Demonstration
Partnership Program (DPP).
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SUMMARY: The Office of Community Services (OCS) announces that, based
on availability of funds, applications will be accepted for grants
pursuant to the Secretary's authority under section 408(a) (Pub. L. 99-
425), of the Human Services Reauthorization Act of 1986 as amended.
CLOSING DATE: The closing date for submission of applications is June
12, 1995.
FOR FURTHER INFORMATION CONTACT: Office of Community Services,
Administration for Children and Families, Division of Community
Demonstration Programs, 370 L'Enfant Promenade, SW., Fifth Floor,
Washington, DC 20447, Attention: Richard Saul, (202) 401-9347.
This Announcement is accessible on the OCS Electronic Bulletin
Board for downloading through your computer modem by calling 1-800-627-
8886. For assistance in accessing the Bulletin Board, a Guide to
Accessing and Downloading is available from Ms. Minnie Landry at (202)
401-5309.
Table of Contents
Part I. Introduction
A. Legislative Authority
B. Eligibility
C. Definition of Terms
Part II. Background Information
A. Project Periods and Budget Periods
B. Availability of Funds and Grant Amounts
C. Matching Funds
D. Prohibition on the Use of Funds
E. Program Beneficiaries
F. Sub-Contracting or Delegating Projects
G. Maintenance of Effort
H. Multiple Submittals and Multiple Grants
Part III. Program Priority Areas
1.0 General Demonstration Projects (Approximately $2.4 million
available)
2.0 Replication Projects (Approximately $1.5 million available,
including Urban Youth project)
3.0 EZ/EC Continuous Improvement Grants (Maximum of $1,000,000
available)
4.0 Urban Youth Projects (Up to $2.5 million available,
including Replication project)
Part IV. Application Elements and Review Criteria
A. Program Elements, Review and Assessment Criteria for
Applications under Priority Areas 1.0 and 4.0
B. Special Program Elements, Review and Assessment Criteria for
Applications for Replication Projects under Priority Area 2.0
C. Program Elements, Review and Assessment Criteria for
Applications for EZ/EC Continuous Improvement Grants under Priority
Area 3.0
Part V. Application Procedures
A. Availability of Forms
B. Application Submission
C. Intergovernmental Review
D. Application Consideration
E. Criteria for Screening Applications
Part VI. Instructions for Completing Application Forms
A. SF-424--Application for Federal Assistance
B. SF-424A--Budget Information--Non-Construction Programs
C. SF-424B--Assurances--Non-Construction
Part VII. Contents of Application
Part VIII. Post-Award Information and Reporting Requirements
Part I. Introduction
A. Legislative Authority
Section 408 of the Human Services Reauthorization Act of 1986, as
amended (Pub. L. 99-425), entitled Demonstration Partnership Agreements
Addressing the Needs of the Poor, authorizes the Secretary to make
grants to eligible entities in order to stimulate the development of
new approaches to provide for greater self-sufficiency of the poor, to
test and evaluate such new approaches, to disseminate project results
and evaluation findings, and for the development and implementation of
new and innovative approaches to deal with particularly critical needs
or problems of the poor which are common to a number of communities.
Additionally, the legislation provides for grants to demonstrate new
approaches to dealing with the problems caused by entrenched, chronic
unemployment and lack of economic opportunities for urban youth.
Proposed projects must be carried out in partnership with other
organizations or institutions, public or private, which can be local,
regional or national in character, and should, through these
partnerships, strengthen the community's socio-economic infrastructure
and the integration, coordination, and redirection of community
resources to support progress toward self-sufficiency. Projects must
include plans and funding for a third party evaluation which can lead
to replication of successful programs.
This solicitation is requesting applications with proposal
narratives of not more than twenty (20) pages (accompanied by the usual
forms and appropriate appendices) on the basis of which funding
decisions will be made.
B. Eligibility
Eligible entities for these grants are all current recipients of
Community Services Block Grant funds which are officially designated as
Community Action Agencies or Community Action Programs under Section
673(1) of the Community Services Block Grant (CSBG) Act, and which meet
all the requirements under Section 675(c)(3) of that Act; and
organizations serving migrant and seasonal farmworkers which received
CSBG funding in Fiscal Year 1994.
In order to establish eligibility, the application must contain a
letter signed by the State Director of the Community Services Block
Grant program certifying that the applicant is an ``eligible entity''
as defined in Section C below and that it has the capacity to operate
the proposed project.
C. Definition of Terms
For purposes of this Announcement, the following definitions apply:
--Budget Period: The term ``budget period'' refers to the interval of
time into which a multi-year period of assistance (project period) is
usually divided for budgetary and funding purposes. (In the case of
grants under this Announcement, project and budget periods may run
concurrently for up to three years)
--Case Management: For purposes of this Announcement, case management
includes but is not limited to: assessment of the client's needs,
development of a holistic, comprehensive service plan, and delivery of
the most efficient and effective mix of services and support in the
implementation of that plan.
--Eligible entity: Any organization which is officially designated as a
community action agency or a community action program under Section
673(1) of the Community Services Block Grant (CSBG) Act, and meets all
the requirements under Section 675(c)(3) of the CSBG Act. All
``eligible entities'' are current recipients of Community Services
Block Grant funds, including organizations serving migrant and seasonal
farmworkers which received [[Page 18669]] CSBG funding in the previous
fiscal year (FY 1994). In those cases where ``eligible entity'' status
is unclear, final determination will be made by OCS/ACF.
--Family: For purposes of this Notice, family includes the definition
of nuclear family, as well as the inclusion of household members and/or
the extended family.
--Hypothesis: An assumption made in order to test its validity. It
should assert a relationship between an intervention and an outcome on
a target population. For example, there will be a significant increase
in the proportion of (target population) making progress toward self-
sufficiency (outcome) who receive and/or participate in (intervention)
as compared to those who do not. The outcome must be measurable.
--Innovative project: One that departs from or significantly modifies
past program practices and tests a new approach(es).
--Intervention: Any planned activity within a project that is intended
to produce changes in the target population or the environment, and can
be formally evaluated.
--Outcome evaluation: An assessment of measured results designed to
provide a valid determination of the net effects attributable to the
intervention. An outcome evaluation will produce and interpret findings
related to whether the intervention produced desirable changes and its
potential for replicability. It should answer the question, ``Did this
program work?''
--Partnership: A formal negotiated arrangement between an eligible
entity and another organization (or organizations) that provides for
substantive collaborative policy and service provision roles for each
of the partners in the planning and conduct of the project, the results
of which should be better integration of resources and services
delivery at the community level.
--Process evaluation: Descriptive information that is gathered on the
development and implementation of a program/intervention that may serve
as a document for replicating the program elsewhere. The evaluation
should also identify problems that occurred and how they were dealt
with and recommend improved means of future implementation. It should
answer the question: ``How was the program carried out?'' In concert
with the outcome evaluation, it should also help explain, ``Why did
this program work/not work?''
--Project period: The term ``project period'' refers to the total time
for which a project is approved for support, including any extensions.
--Self-sufficiency: A condition where an individual or family, by
reason of employment, does not need and is not eligible for, public
assistance.
Part II. Background Information
A. Project Periods and Budget Periods
(See Part I, C, Definitions)
Project and budget periods for all DPP projects will be for a
minimum of 30 months and a maximum of 36 months. These will consist of:
1. A six-month start-up period during which project staff can be
hired, agreements with Project Partners will be finalized, the Third
Party Evaluator will be brought on board, and the final Project
Evaluation Plan will be completed with the assistance of the approved
evaluator and the OCS Evaluation Technical Assistance Contractor. This
start-up period should be used to refine the project implementation
plan and budget to reflect any changes in the evaluation strategy; and
during this period the Project Director and the Evaluator will
participate in a workshop conference with staff of OCS and the TA
contractor;
2. A twenty-four month (2 year) operational period during which the
project implementation plan will be carried out; and
3. A close-out period of up to six months for completion of the
final evaluation and report, and any planned dissemination of project
results. To insure funding stability throughout the project period,
proposed projects must have sufficient non-OCS funds committed so that,
combined with FY 95 OCS grant funds, grantees will have sufficient
resources to complete their proposed projects and final evaluations.
[Note: Where grantees can show that a significant improvement in the
extent or validity of evaluation findings will be the result, projects
may receive refunding after the two-year operational period, on a
competitive basis and subject to the availability of funds, in an
amount not to exceed 80 per cent of the original grant for continuation
of the project for an additional period of up to thirty (30) months (a
start-up period not being required).]
B. Availability of Funds and Grant Amounts
The total appropriated amount for the FY 1995 Demonstration
Partnership Program is $7,977,000, of which approximately $7,000,000
will be available for grants pursuant to this Announcement to support
new general project grant awards, replication projects, EZ/EC
Continuous Improvement grants, and projects directed at the problems of
urban youth.
1. For priority areas 1.0 General Projects and 2.0 Replication
Projects grant requests will be considered for an amount up to $350,000
in OCS funds for the total budget/project period of up to thirty-six
months, except that, of the four suggested Replication Projects under
Priority Area 2.0, one will be considered an Urban Youth Project with a
maximum grant amount of $500,000, as explained in Part III, below.
2. For priority area 3.0 EZ/EC Continuous Improvement Projects
grant requests will be considered for an amount not to exceed $50,000.
The project/budget periods for these grants may be up to thirty-six
months.
3. For priority area 4.0 Urban Youth Projects grant requests will
be considered for an amount up to $500,000 for the total project/budget
period of up to 36 months.
C. Matching Funds
An applicant is required to obtain commitment of at least one
private or public sector dollar or equivalent in-kind contribution for
each dollar of OCS funds awarded for all priority categories except 4.0
Urban Youth. Thus, if an applicant is requesting $250,000 in OCS funds,
at least $250,000 worth of additional resources must be committed to
the project from private or public sector sources. For Urban Youth
Projects, Priority Area 4.0, OCS will fund 80% of the total cost of
each project, that is, 80% of the total of the federal and non-federal
shares. This means that the match must be 25% of the OCS grant. Thus,
if an applicant is requesting $500,000 in OCS funds, which represents
80% of the total project cost, that total cost will amount to $625,000,
and the match 20% of that total, or $125,000, which is 25% of the
$500,000 OCS grant amount.
Public sector resources that can be counted toward the minimum
match include funds from State and local governments, and funds from
various block grants allocated to the States by the Federal Government
providing 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; CSBG funds may not.)
Funds identified by the applicant as those to be counted toward the
minimum match requirement may be in the form of grantee-incurred costs,
cash, or third-party in-kind contributions fairly valued. OCS is
recommending [[Page 18670]] that at least 50% of the match be provided
by the proposed partners through the delivery of specific services or
resources to the client population. Such resources must be definitely
committed or contingent only upon receipt of an OCS grant, and must be
applied to specific project activities within the OCS-approved project
and used only for project purposes for the duration of the OCS grant.
The firm commitment of the specific amounts of matching funds and/or
the dollar value of third-party in-kind contributions must be
documented in the project application. Documentation of matching funds
must be in the form of letters of commitment or intent to commit from
the donor, contingent only upon receipt of OCS grant funds.
If any part of match is to be used as a revolving loan fund, those
funds must be cash, specifically set-aside for eligible low-income
recipients of the project.
Funds expended prior to the approved OCS starting date for a grant
cannot be considered as matching funds.
D. Prohibition on the Use of Funds
The use of funds for the purchase or construction of real property
is prohibited.
E. Program Beneficiaries
Projects proposed for funding under this announcement must result
in direct benefits to low-income persons whose incomes are no more than
125% of the DHHS poverty income guidelines as defined in the most
recent Annual Revision of Poverty Income Guidelines published by DHHS.
Attachment C to this Notice is an excerpt from the guidelines
currently in effect. Annual revisions of these guidelines are normally
published in February or early March of each year. These revised
guidelines may be obtained at public libraries, Congressional offices,
or by writing the Superintendent of Documents, U. S. Government
Printing Office, Washington, DC 20402. These Guidelines are also
accessible on the OCS Electronic Bulletin Board for downloading through
your computer modem by calling 1-800-627-8886. For assistance in
accessing the Bulletin Board, a Guide to Accessing and Downloading is
available from Ms. Minnie Landry at (202) 401-5309.
No other government agency or privately defined poverty guidelines
are applicable for the determination of low-income eligibility for this
OCS program.
F. Sub-Contracting or Delegating Projects
An applicant will not be funded where the proposal is for a grantee
to act as a straw-party, that is, to act as a mere conduit of funds to
a third party without performing a substantive role itself. This
prohibition does not bar subcontracting or subgranting for specific
services or activities needed to conduct the project.
G. Maintenance of Effort
The activities funded under this program announcement must be in
addition to, and not in substitution for, activities previously carried
on without Federal assistance. Also, funds or other resources currently
devoted to activities designed to meet the needs of the poor within a
community, area, or State must not be reduced in order to provide the
required matching contributions. When legislation for a particular
block grant permits the use of its funds as match, the applicant must
show that it has received a real increase in its block grant allotment
and must certify that other anti-poverty programs will not be scaled
back to provide the match required for this project. A signed
certificate of Maintenance of Effort must be included with the
application (see Attachment J).
H. Multiple Submittals and Multiple Grants
In accordance with the statutory provision that limits grants to
any eligible entity to one in any given fiscal year, no eligible
applicant will receive more than one grant pursuant to this
Announcement.
Part III. Program Priority Areas
1.0 General Demonstration Projects (Approximately $2.4 Million
Available)
For Fiscal Year 1995 OCS plans to fund approximately seven General
Demonstration Projects at $350,000 or less each.
Applications submitted under this category must focus on developing
new and innovative ways of promoting individual and family self-
sufficiency among the poor within the context of the communities in
which they live. The applicant will be expected to propose solutions
that show promise of increasing self-sufficiency and that depart from
or modify conventional approaches used by eligible entities. At a
minimum, every individual should achieve an economic self-sufficiency
goal appropriate to their age group. For adult populations (18 years of
age or more) that goal should include a job which will allow
individuals to provide for basic needs with the potential for career
development that will lead to self-sufficiency within a reasonable
period of time, enrollment in an educational program which will lead to
such a job, or interim goals on the ladder to self-sufficiency.
While self-sufficiency implies reliance on one's own initiative and
abilities, such a transformation cannot occur independently of the
context of the relationships, resources, and institutions in the
surrounding community. OCS understands the importance to self-
sufficiency of such community resources as adequate child care, safe
and affordable housing, accessible medical care, good transportation,
adequate municipal services and other elements of the community's
socioeconomic infrastructure. Also important to real progress toward
self-sufficiency is readily available and empathetic help in accessing
these institutional resources and the emotional support networks that
enable people to overcome adversity and move ahead.
Accordingly, OCS is interested in demonstrations of strategies that
offer real promise of transforming the lives of poor individuals and
families in part by improving the community infrastructure and the
workings of the community's service institutions. Applications should
include partnerships with organizations which are providers of services
within the community and one of the goals of the partnerships should be
a developing shift of focus within these organizations from one of
client maintenance to client transformation, and a growing recognition
of the value of the agency's services as investments in their clients'
communities.
In the spirit of ``local initiative'' OCS looks forward to
innovative proposals that grow out of the experience of community
action and the needs of the applicants' clientele and communities, and
that will make the fruits of local creativity available broadly to
others seeking solutions to similar problems.
At the same time, OCS is again interested in receiving applications
that propose a realistic plan for harnessing self-sufficiency support
activities to Environmental Justice and Sustainable Community
Development initiatives in ways which will offer the poor opportunities
for long term career development as well as improving the supportive
economic infrastructure and facilities of the community. (See
Attachment A for a fuller discussion of Environmental Justice and
Sustainable Community Development.)
For the purposes of this Announcement, programs falling within the
rubric of Environmental Justice and [[Page 18671]] Sustainable
Community Development might include community-based job and career
development around lead abatement in low-income dwellings; in clean-up
of toxic wastes or leaking underground storage tanks; in holistic
``livable house'' treatment of low-income dwellings which would combine
lead abatement with weatherization and the mitigation of other hazards
such as asbestos or radon; in the installation and maintenance of
alternative and renewable energy technologies in the homes of the poor;
in recycling; in the exploitation of new and non-traditional uses of
agricultural crops and products; in forest or watershed restoration; in
urban pesticide programs designed to reduce the use of toxic pesticides
in low income urban communities through Integrated Pest Management and
similar techniques; or in the launching of enterprises involving new
and non-polluting manufacturing or other commercial methodologies which
can provide needed goods and services in ways which are non-polluting
and consistent with sustainable community development.
When, in addition, these community-based improvement initiatives
capitalize upon significant new public programs or private market
forces that offer good potential for continuing financial support of
these activities, the initiatives have reasonable chances of growing
and prospering, thereby offering additional jobs to entry-level workers
and career prospects to employees who perform well. Applications that
offer a sound plan for capitalizing upon such public and/or private
market forces to provide real employment and career opportunities for
low-income individuals will be especially welcome.
Applications which propose initiatives involving activities which
will expose program participants or community residents to toxic or
poisonous substances, including, but not limited to, lead paint or
dust, asbestos, toxic wastes, radon gas, or toxic pesticides, must
include, as an appendix to the application, specific assurances that
all applicable federal, state, and local laws and regulations for the
protection of workers and community residents will be strictly adhered
to.
Applications which include job and career development dependent on
the securing of contracts for services or successful marketing of goods
and/or services must include assurance that such contracts will be
forthcoming or assurance based on market surveys or other means that
sufficient markets for the proposed goods or services exist to promise
a reasonable expectation of project success. Where the development and
management of a new business venture are a major focus of the proposed
work plan, applicant must provide assurance that such activities will
be under the direction of a person or persons having business
experience, and the application must include, as an appendix, a
Business Plan based on the outline included as Attachment B to this
Announcement.
The interventions that applicants propose for this program should
be multi-dimensional in nature in order to provide the kind of
comprehensive approach needed as an effective basis for individual
transformation. They should, where appropriate, address both individual
and family progress toward self-sufficiency, and may also involve two
or more generations as both providers and beneficiaries of project
services.
2.0 Replication Projects (Approximately $1.5 Million Available,
Including 1 Urban Youth Project)
The Demonstration Partnership Program is required by its
authorizing legislation to invest at least 10% (but no more than 25%)
of its appropriation to replicate, in additional geographic areas,
previously funded programs that have demonstrated a significant
potential for dealing with particularly critical needs or problems of
the poor that exist in a number of communities.
For Fiscal Year 1995 OCS plans to fund up to three general
replication projects at up to $350,000 each, and one replication urban
youth project at up to $500,000, for a total of up to approximately
$1,500,000. OCS seeks to stimulate, with these grants, additional
experimentation and application of approaches that seem to offer
special promise in fostering social and economic self-sufficiency among
a variety of low-income people.
The eligibility, match requirements, and time frame for General
Replication Projects are the same as for General Demonstration
Projects; for Urban Youth Replication Projects they are the same as for
Urban Youth Projects.
For FY 1995, OCS has identified four previously funded
Demonstration Partnership Projects that have, in their design and
implementation, demonstrated a significant potential for dealing
successfully with a number of critical needs and problems of poor
people in differing circumstances. The four projects are:
A. Micro-Enterprise Development Program (MEDP), [Now called the
Neighborhood Economic Development Self-Employment Program (NEDSEP)],
Philadelphia, sponsored by the Mayor's Office of Community Services,
which has successfully carried out a project of Micro-Enterprise/Self-
Employment development, supported by training and technical assistance,
comprehensive case management, and peer counselling, among homeless
residents of a North Philadelphia low-income neighborhood. Project
partners included the Philadelphia County Assistance Office, the
Philadelphia Private Industry Council (PIC), the Minority Business
Enterprise Council, the Philadelphia Office of Services for Homeless
and Adults, the Service Corps of Retired Executives, and the Beech
Consortium, a consortium of 45 local private and public organizations.
The Philadelphia Project can be reached through: Rosalind Johnson,
Project Manager, Mayor's Office of Community Services, 1608 N. Carlisle
St., Philadelphia, PA 19121, (215) 978-5930.
B. The Success Connection, Yakima, Washington, sponsored by Yakima
Valley Opportunities Industrialization Center, which has successfully
carried out a project of Case Management, support groups, skills
training, and family involvement for Hispanic at risk teen-age children
of Migrant and Seasonal Farmworker families in the Yakima Valley. In
partnership with the state Migrant Education Services, Central
Washington University, and local school districts, the project reduced
truancy and drop-out rates, increased school attendance and
achievement, developed employment opportunities, and encouraged post-
secondary schooling among participating youth. The success of the
program has led to the State of Washington's decision to support its
implementation State-wide. The Yakima Project can be reached through:
Mr. Henry Beauchamp, Executive Director, Yakima Valley OIC, 815
Fruitvale Blvd., Yakima, WA 98902, (509) 839-2717.
C. Homeless Opportunity Project, Bath, Maine, sponsored by Coastal
Economic Development, Inc., which has combined three innovative
components into a successful program to foster self-sufficiency among
the homeless poor. These include a shelter-based job training program,
a system-wide change in delivery of services to an integrated case-
management approach, and an assessment instrument which can be used in
the design of individualized development plans for program
participants. Project partners include the area's homeless shelter and
three other local non-profit providers, Shoreline Community Mental
Health Systems, the Addiction Resource [[Page 18672]] Center, and the
United Way of Mid-Coast Maine. The Maine Project can be reached
through: Jessica Harnar, Executive Director, Coastal Economic
Development, Inc., 39 Andrews Road, Bath, ME 04530, (207) 442-7963.
D. Step-Up Young Father Mentor Program, Phoenix, Arizona, sponsored
by the City of Phoenix Human Services Department in partnership with
the Valley Big Brothers/Big Sisters of Arizona, which has successfully
brought ``Big Brother'' mentoring to youthful, largely minority (62%
Hispanic, 20% Black, 4% Native American) fathers, between the ages of
16 and 22, as part of a comprehensive program of education, pre-
employment and skills training, and case management/family development
services to enable them to assume greater responsibility for their
families. This is the first time that the Big Brother organization
nationally has worked with this age group. Additional project partners
include the Centers for Advancement of Educational Practices, City of
Phoenix Parks, Recreation and Library Dept., Maricopa County Community
Colleges, and City of Phoenix Employment and Training. The Phoenix
project can be reached through: William Chipman, Project Director, 1250
South 7th Ave., Phoenix, AZ 85007, (602) 262-6907.
OCS is interested in replicating each of these programs in a
geographically different but appropriate setting.
The Philadelphia project design should function effectively in
another large urban setting with a substantial homeless population. It
would seem well suited to a city which has received designation as an
Empowerment Zone or Enterprise Community, where activities pursuant to
the EZ/EC Strategic Plan could stimulate markets for project
participants' enterprises.
The Yakima project design should be tried with Hispanic Farmworker
populations in another section of the country, perhaps in California or
the Southwest.
The Maine project design should be tried with homeless populations
in another rural setting, perhaps in a more economically depressed
community to test its applicability to higher concentrations of
homeless.
The Phoenix project design should function effectively with
minority urban youth in a community with an active Big Brothers/Big
Sisters or comparable organization willing to participate as an active
partner in the project. In the case of the Phoenix project, the
replication project will be considered an Urban Youth project for
purposes of grant amount (up to $500,000) and match requirement (25% of
the OCS grant amount); but proposals will be reviewed under the
Priority Area 2.0 Replication Project Elements and Review Criteria.
In each case, the application for a Replication Project should
provide for an extensive site visit or site visits by key staff to the
project to be replicated (Host Project), during which such staff can
receive orientation training and actually serve a brief apprenticeship
in the program. In addition, provision should be made for a site visit
by staff of the Host Project to the Replication Project during the
first year of its operations. The proposed Project Budget should make
provision for the costs of such site visits/apprenticeships, as well as
for appropriate consulting fees for staff of the Host Project; and the
application should include, as an appendix, a Memorandum of
Understanding or Letter of Agreement between the applicant and the Host
Project setting forth training/apprenticeship undertakings and the
attendant financial arrangements.
3.0 EZ/EC Continuous Improvement Grants (Maximum of $1,000,000
Available)
OCS in FY 1994 made approximately 115 $10,000 DPP grants to CAA's
involved locally with developing Strategic Plans for submission to the
Departments of HUD and Agriculture seeking designation as Empowerment
Zones or Enterprise Communities (EZ/EC). The purpose was to strengthen
CAA involvement in the local planning process so as to assure the
fullest possible participation of low-income residents of the affected
communities.
OCS in FY 1995 is interested in making a number of ``Continuous
Improvement'' grants to CAA's or eligible farmworker organizations
which had and have major involvement in the planning and implementation
of these Strategic Plans in their communities. The purpose of these
grants will be to continue to support the involvement of low income
residents in the improvement and implementation of these Strategic
Plans through activities which will seek to develop innovative ways to
increase the self-sufficiency of the poor. Another important purpose of
the grants will be to assist grantees to establish or participate in
the establishment of a system of information and data collection that
will track the activities carried out and identify those which develop
and implement new and innovative approaches to deal with particularly
critical needs or problems of the poor which are common to a number of
communities, including new approaches to dealing with the problems
caused by entrenched, chronic unemployment and lack of economic
opportunities for urban youth.
OCS proposes, therefore, to fund up to 20 grants of up to $50,000
apiece, for a maximum total of approximately $1,000,000, to enable
applicants eligible for the Demonstration Partnership Program to
participate in the continuous planning and improvement, and to monitor
the implementation, of these Strategic Plans at the local level. OCS
hopes these grants will enable grant recipients, through the collection
and use of information about strategic planning, implementation and
performance, to influence the shape and priorities of these
initiatives, and to make possible the closer monitoring of progress at
the local community level.
Each grant under this Priority Area will be for up to $50,000. As
with Priority Areas 1.0 and 2.0, a 100% match will be required, which
can be in cash or in-kind fairly valued, and the operational project
time frame for these Continuous Improvement projects is two years, with
up to six additional months for start-up and six months after the
operational period to complete evaluation and reporting.
OCS expects the project funds to be used to facilitate
participation of low income residents and to expand the grantee's human
and/or technical resources, which with OCS support will enable it to
broaden its involvement in the implementation and monitoring of the
Strategic Plan. Applicants are encouraged to contact their State
Corporation for National Service Offices and/or their State
Commissioner for National Service to discuss possible national service
participation in their projects (e.g. Americorps-VISTA, Americorps USA,
National Senior Service Corps, Learn and Serve). Such participation
could provide two or more volunteers to support the work of the planner
and assist staff in the Continuous Improvement project.
Applicants for these Continuous Improvement grants should represent
communities that have developed EZ/EC Strategic Plans and are
proceeding to implement them, either with or without the support of
designation as an Empowerment Zone/Enterprise Community. OCS hopes to
make grants to at least two communities that did not receive EZ/EC
designation. But in all cases applicants must provide evidence of close
working relationships with those involved in the EZ/EC planning and/or
implementation process, the local nominating officials, and the other
agencies and resources that participated in the development of the
community's strategic plan document. Special emphasis should also be
given in [[Page 18673]] applications to establishing and documenting
working relationships with additional data collection and analysis
resources such as Historically Black Colleges and Universities and
Minority Institutions with strong ties to the low-income community.
4.0 Urban Youth Projects (up to $2.5 Million Available, Including 1
Replication Project)
For FY 1995, OCS expects to award five or six grants of up to
$500,000 for a total of up to $2.5 million for projects that propose to
demonstrate new approaches to dealing with the problems caused by
entrenched, chronic unemployment and lack of economic opportunities for
urban youth, between 10 and 25 years of age. As noted above, under
Priority Area 2.0, these could include one Urban Youth Project for
replication of the Step-Up Young Father Mentor Program in Phoenix,
Arizona.
The authorizing legislation provides that ``demonstrations shall
include such initiatives as peer counseling, mentoring, development of
job skills, assistance with social skills, community services, family
literacy, parenting skills, opportunities for employment or
entrepreneurship, and other services designed to assist such at-risk
youth to continue their education, to secure meaningful employment, to
perform community service, or to pursue other productive alternatives
within the community.''
OCS recognizes that greater self-sufficiency and productivity among
urban youth will not occur in isolation of new innovative approaches to
address the conditions that prevent dependency. Urban youth, between
the ages of ten (10) and twenty-five (25), experience a number of
systemic conditions that prohibit the achievement of self-sufficiency
and independence as they grow into adulthood.
Over two-thirds of urban youth are born to unmarried women.
Nationally, families consisting of children in households headed by
unmarried females rose from some 10 percent in 1960 to over 35 percent
today, according to the Joint Center for Economic Studies. This
development alone has serious economic implications. The growth in
female-headed families contributes significantly to the overall
deepening of poverty among urban children.
Declines in economic opportunities play at least as great a part in
increasing the prevalence of poverty as the change in family structure.
The growing prevalence and geographic concentration of urban youth tend
to be associated with poor schools, high public social service usage,
greater exposure to crime, and fewer employment options.
Urban males who grow up in poor, mother-only families appear to be
at special risk for a variety of problems. They are at special risk of
becoming alienated and marginalized adults.
Today's urban youth find themselves and their parent(s) caught in a
downward shift from working poor (mother-only) families to dependent
poor (mother-only) families. They are not only subject to greater
economic deprivation, but they:
--Are very likely to be unemployed and on public assistance;
--Grow up with few material or educational resources;
--Are likely to engage in substance abuse and/or criminal activities;
--Lack guidance from responsible adults to teach them how to respect
themselves and others while they track through adolescence to
adulthood;
--Are at special risk for a variety of behavioral problems;
--Are too often inclined to detach themselves from parental authority;
and,
--Are likely to assert themselves in gangs and street cultures that
support a flamboyant lifestyle through illicit trafficking.
Applicants are encouraged to develop cooperative learning
partnerships of the type that will blend regular classroom curriculum
and instructions with stay-in-school programs (including college
programs) and the world of work. Innovative concepts might include
ideas built around matching scholarship and grant funds offered from
other public and private sources to promising low income urban youth.
Projects might also include requests for funds to support
diversified occupation projects (projects designed to bridge the gap
between school-based programs and the world of work). Envisioned is the
promotion of joint projects between local public schools and private
sector businesses to develop partial or after school and weekend job
apprenticeships or placement opportunities for urban youth. Projects
seeking to develop opportunities around computer technology repair
work, machine tool manufacturing, and career development in the areas
of abatement of environmental hazards and pollution are encouraged.
The target group of disadvantaged youth should not be considered in
isolation from the community in which they live. Applicants should seek
to involve partners in their project that make possible a
comprehensive, holistic approach to individual, family, and community
development; including agencies that can assist with parenting,
housing, family mentoring, vocational training, day care,
transportation, apprenticeships and employment, and interventions in
violent situations. OCS is interested, for this set-aside as well as
for the other grants, in demonstrations that test the targeting and
delivery of these and other services to the disadvantaged youths and
their urban neighborhoods and that employ computer workstations and
similar strategies for improving the efficiency and effectiveness of
the delivery of those services.
Applicants should identify any barriers that might hinder efforts
by the project team/partnership to help members of the target
population become self-sufficient and include in their proposals
specific plans to counteract them. OCS is particularly interested in
partnerships that propose creative ways to deal with problems of
individual and group violence, including violence as a response to
conditions in families and communities that have been subjected to
historical patterns of oppression. OCS feels that to assure the safety
of all program participants and staff it is essential that such
programs be closely coordinated with local law enforcement agencies.
Where projects propose to work with youth 10 to 15 years of age,
applicants should consider the stages of youth development and seek to
counter unhealthy influences on that development by strengthening this
population's sense of community through project activities. It is
important, in this regard, that project-related contacts and activities
be frequent and intense enough to make a positive impact on
participating youths. Applications that include linkages with national
and local organizations with significant experience in this issue are
encouraged.
Applicants seeking guidance on program design, availability of
resources, or the identification of persons or organizations in their
communities that can provide additional guidance, support, and
expertise in the areas of disadvantaged youth and violence prevention
may wish to contact one of the following persons for information and
assistance:
Clifton Mitchell, Chief, Special Projects Branch, Center for Substance
Abuse Treatment, 5515 Security Lane, Rockwall II, 7th Floor, Rockville,
MD 20852, (301) 443-6533 [[Page 18674]]
Warren W. Hewitt, Jr., Director, Division of Clinical Programs, Center
for Substance Abuse Treatment, 55-5 Security Lane, Rockwall II, 7th
Floor, Rockville, MD 20852, (301) 443-8160
Dr. Donald Vereen, M.D., M.P.H., Special Assistant to the Director,
National Institute on Drug Abuse, National Institutes of Health, 5600
Fishers Lane, Room 10-05, Rockville, MD 20857, (301) 443-6480
Timothy Thornton, Associate Director for Youth Programs, Division of
Violence Prevention, National Center for Injury Prevention and Control
(NCIPC), Centers for Disease Control, 4770 Buford Highway NE, Atlanta,
GA 30341, (404) 488-4646
Marilyn Silver, Information Specialist, Office of Juvenile Justice and
Delinquency Prevention, Office of Justice Programs, Department of
Justice, 633 Indiana Ave. NW, Washington, DC 20531, (202) 616-3551
James Breiling, PhD., Violence and Traumatic Stress Research Branch,
National Institute of Mental Health, NIH, Parklawn Bldg. Room 10C-24,
5600 Fishers Lane, Rockville, MD 20857, (301) 443-3728
Part IV. Application Elements and Review Criteria
The ultimate goals of the projects to be funded under the
Demonstration Partnership Program are to realize, through project
interventions, significant improvements in the social and economic
self-sufficiency of members of the communities served, to evaluate the
effectiveness of these interventions and of the project design through
which they were implemented, and thus to make possible the replication
of successful programs. As noted above, OCS intends to make the awards
of all the above grants on the basis of brief, concise applications.
The elements and format of these applications, along with the review
criteria that will be used to judge them, will be outlined in this
Part.
In order to simplify the application preparation and review
process, OCS seeks to keep grant proposals cogent and brief.
Applications with project narratives (excluding appendices) of more
than 20 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.
For each of the Project Elements or Sub-Elements below there is at
the end of the discussion a suggested number of pages to be devoted to
the particular element or sub-element. These are suggestions only; but
the applicant must remember that the overall Project Narrative cannot
be longer than 20 pages.
The competitive review of proposals will be based on the degree to
which applicants:
(1) Incorporate each of the Elements and Sub-Elements below into
their proposals, so as to:
(2) Describe convincingly a project that will develop and implement
new and innovative approaches to address particularly critical needs or
problems of the poor;
(3) In ways that appear likely to increase their self-sufficiency;
and
(4) Test and evaluate such approaches so as to make possible
replication of a successful program.
A. Program Elements, Review and Assessment Criteria for Applications
Under Priority Areas 1.0 and 4.0
Element I. Organizational Experience and Capability
(Weight of 0 to 5 points in proposal review.)
Applicants should cite their organization's capability and relevant
experience in developing and operating programs which deal with poverty
problems similar to those to be addressed by the proposed project. They
should also cite the organization's experience in collaborative
programming and operations which involve evaluations and data
collection. While the proposed project management team will be
identified and described elsewhere in the application, applicants
should identify agency executive leadership in this section and briefly
describe their involvement in the proposed project and provide
assurance of their commitment to its successful implementation. An
important indicator of the applicant organization's capability will be
the certification to that effect by the State CSBG Director in the
required letter of eligibility certification. (See Part I. B.,
Eligibility, above.)
Applicants should use no more than 2 pages for this element.
Element II. Project Theory, Design, and Plan
(Total Weight of 0-25 points in proposal review)
OCS seeks to learn from the application why and how the project as
proposed is expected to lead to significant improvements in individual
and family self-sufficiency.
Applicants are urged to design and present their project in terms
of a conceptual cause-effect framework. In the following paragraphs a
``logic model'', or framework is described, that suggests a way to
present a project so as to show the ``logic'' of the cause-effect
relations between project activities and project results. Applicants
don't have to use the exact ``logic model'' language described; but it
is important to present the project in a way that makes clear the
cause-effect relationship between what the project plans to do and the
results it expects to achieve.
Sub-Element II(a). Description of Target Population, Analysis of
Need, and Project Assumptions. (Weight of 0-10 points in application
review)
The ``logic model'' begins with identifying the underlying
assumptions about the program. These are the beliefs on which the
proposed program is built: the assumptions about the needs of the
client population to be served; about the current services available to
those clients, and where and how they fail to meet their needs; about
why the proposed services or interventions are appropriate, and will
meet those needs; and about the impact the proposed interventions will
have on the clients.
In other words, the underlying assumptions of the program are the
applicant's analysis of the needs and problems to be addressed by the
project, and the applicant's theory of how its proposed interventions
will address those needs and problems to achieve the desired result.
Thus a strong application is based upon a clear description of the
needs and problems to be addressed and a persuasive understanding of
the causes of those problems.
In this sub-element of the proposal the applicant should precisely
identify the target population to be served. The geographic area to be
impacted should then be briefly highlighted, selectively emphasizing
the socioeconomic/poverty and other data that are relevant to the
project design. Applicants for environmental justice projects, for
instance, might include as much data about neighborhood pollution and
recycling markets as they do about poverty conditions.
The needs of this target population should then be clearly defined,
and the applicant should state its underlying assumptions about how
these needs can be addressed by the proposed project.
Applicants should use no more than 2 pages for this application
sub-element.
Sub-Element II(b). Project Strategy and Design Framework:
Interventions, [[Page 18675]] Outcomes, and Goals (Weight of 0-10
points in proposal review.)
To continue with the ``logic model'':
The underlying assumptions concerning client needs and the theory
of how they can be effectively addressed, which are discussed above,
lead in the project design to the conduct of a variety of project
activities or interventions, each of which is assumed to result in
immediate changes, or outcomes.
The immediate changes lead to intermediate outcomes; and the
intermediate outcomes lead to the final project goals.
So in this sub-element the applicant should describe the major
activities, or interventions, which are to be carried out to address
the needs and problems identified in the previous sub-element. And it
should discuss the immediate changes, or outcomes, which are expected
to result. These are the results expected from each service or
intervention immediately after it is provided. For example, a job
readiness training program might be expected to result in clients
having increased knowledge of how to apply for a job, improved grooming
for job interviews, and improved job interview skills. Or peer
mentoring coupled with training in dispute settlement might be expected
to result in young urban clients acquiring skills useful in avoiding
violent confrontations.
At the next level are the intermediate outcomes which result from
these immediate changes. Often an intermediate project outcome is the
result of several immediate changes resulting from a number of related
interventions such as training and mentoring. Intermediate project
outcomes should be expressed in measurable changes in knowledge,
attitudes, behavior, or status/condition. In the above examples, the
immediate changes achieved by the job readiness program could be
expected to lead to intermediate outcomes of client employment and
increased income. The acquisition of dispute settlement skills, coupled
with mentoring, could be expected to result in the actual avoidance of
confrontation and violence.
Finally, the application should describe how the achievement of
these intermediate outcomes will be expected to lead to the attainment
of the project goals: Employment, new careers in environmental clean-
up, successful business ventures, enrollment in post secondary
education, or whatever they may be. Applicants must remember that if
the major focus of the project is to be the development and start-up of
a new business, then a Business Plan which follows the outline in
Attachment B to this announcement must be submitted as an appendix to
the Proposal.
Applicants don't have to use the exact ``logic model'' terminology
described above, but it is important to describe the project in a way
that makes clear the expected cause-and-effect relationship between
what the project plans to do--the activities or interventions, the
changes that are expected to result, and how those changes will lead to
achievement of the project goals of greater self-sufficiency.
This design section should cover no more than 3 pages of the
proposal.
Sub-Element II(c). Work Plan (Weight of 0-5 points in proposal
review).
Once the project strategy and design framework are established, the
applicant should present the highlights of a work plan for the project.
The plan should explicitly tie into the project design framework and
should be feasible, i.e., capable of being accomplished with the
resources and partners available. The plan should briefly describe the
key project tasks, and show the timelines and major milestones for
their implementation. Critical issues or potential problems that might
affect the achievement of project objectives should be explicitly
addressed, with an explanation of how they would be overcome, and how
the objectives will be achieved notwithstanding any such problems. The
plan should be presented in such a way that it can be correlated with
the budget narrative included earlier in the application.
The applicant should use no more than 2 pages for this part of this
proposal element.
Applicant may be able to use a simple Gantt or time line chart to
convey the work plan in minimal space.
Element III. Project Partnerships
(Weight of 0-15 points in the proposal review.)
Suitable project partners are a required component of the
Demonstration Partnership Program, and are critical to the kind of
service concentration and systemic change envisioned by OCS. Project
partners should have skills, resources, and experience that complement
those of the applicant, so that the partnership is stronger than its
individual parts. Applicants should use this section to identify their
project partners, describe the roles that they have agreed to play, and
document that at least 50% of the matching funds will be provided by
these partners through the delivery of specific services or resources
to the target population.
The application should include, in an appendix, commitment letters
from, or Partnership Agreements with these proposed partners signed by
the executive of the partnering entity. These documents should describe
the role of the partner in the project, including the relevant skills
of the partner, the services to be provided, and the resources and
levels of effort to be provided to the project.
Applicants should use no more than 3 pages for this proposal
element (plus the Partnership Agreement(s) in the appendix).
Element IV. Project Innovations
(Weight of 0 to 10 points in the proposal review.)
Applicant should briefly describe the ways in which the proposed
project represents a new and innovative approach or approaches to
provide for greater self-sufficiency of the poor and/or to deal with
particularly critical needs or problems of the poor that are common to
a number of communities. Innovation can be in the characteristics of
the target population to be served, or the needs to be addressed; the
kinds of activities, or interventions, that will be carried out; the
ways in which they will be carried out; new and different combinations
of activities or interventions that will be implemented; or in the
settings in which the project will function: e.g. new and innovative
types of work or businesses or institutions in which the project will
function.
Applicants should use no more than 1 page for this proposal
element.
Element V. Project Management and Organization
(Weight of 0 to 10 points in the proposal review.)
While the experience of agency leadership is important to project
success, the caliber of day-to-day project management is critical.
Applicants should identify the Project Director and other key staff
they feel are especially important to the success of the project, and
include resumes as an appendix to the proposal. Where the staff have
not been identified, a position description should be included in the
appendix. The application should describe their relevant capabilities
for managing this multi-faceted project, with emphasis placed on
successful management experience in directing both on-budget and
leveraged resources to create community conditions capable of
supporting effective interventions and transforming lives. This
individuals' commitment and planned level-of-effort [[Page 18676]] to
the project should be specified. Project proposals will be assessed,
for this element, on the relevant experience, capabilities, commitment
and planned level of effort to the project of the Project Director and
key staff members as described in the application.
Applicants should also, in this section, describe (and diagram if
necessary) the organization of the project. The relationships among the
Project Director and the key officials in the applicant and partnering
organizations should be depicted, and the project-related authorities
and responsibilities of these key actors should be made clear.
Applicants should use no more than 2 pages for this proposal
element (plus the resumes and/or position descriptions in the
appendix).
Element VI. Project Budget
(Weight of 0-5 points in the proposal review.)
Applicants will be required to submit Federal budget forms with
their proposals to provide basic applicant and project information (SF
424) and information about how Federal and other project funds will be
used (424A). In addition to and immediately following the completed
Federal budget forms, applicants must submit a Budget Narrative, or
explanatory budget information. This Budget Narrative is not considered
a part of the Project Narrative, and does not count as part of the
twenty pages; but rather is included in the application following the
budget forms.
The budget narrative should briefly explain the adequacy of the
Federal and match funds to accomplish project purposes, should explain
the source and nature of matching funds, and should identify and
briefly explain any imbalances between level of activities undertaken
and project funds expended. Applicants should nonetheless use no more
than two or three pages for this proposal element (not including the
federal budget forms).
Resources in addition to the required matching amounts are
encouraged by OCS, both to augment project resources and to strengthen
the basis for continuing partnerships to benefit the target community.
The amounts of such resources beyond the required match, their
appropriateness to the project design, and the likelihood that they
will continue beyond the project time frame will be taken into account
in judging the application.
Element VII. Project Evaluation
(Weight of 0-15 points in the proposal review.)
Sound evaluations are essential to the Demonstration Partnership
Program. OCS requires applicants to include in their applications a
well thought through outline of an evaluation plan for their project.
The outline should explain how the applicant proposes to answer the key
questions about how effectively the project is being/was implemented
(the Process Evaluation) and whether and why/why not the project
activities, or interventions achieved the expected outcomes and goals
of the project (the Outcome Evaluation).
Applicants are not being asked to submit a complete and final
Evaluation Plan as part of their proposal; but they must include:
(1) A well thought through outline of an evaluation plan which
identifies the principal cause-and-effect relationships to be tested,
and which demonstrates the applicant's understanding of the role and
purpose of both Process and Outcome Evaluations (see previous
paragraph);
(2) The identity and qualifications of the proposed third party
evaluator, or if not selected, the qualifications which will be sought
in choosing an evaluator, which must include successful experience in
evaluating social service delivery programs, and the planning and/or
evaluation of programs designed to foster self-sufficiency in low
income populations; and
(3) A commitment to the selection of a third-party evaluator
approved by OCS, and to completion of a final evaluation design and
plan, in collaboration with the approved evaluator and the OCS
Evaluation Technical Assistance Contractor during the six-month start-
up period of the project, if funded.
Applicants should ensure, above all, that the evaluation outline
presented is consistent with their project design. A clear project
framework of the type recommended earlier identifies the key project
assumptions about the target populations and their needs, and the
hypotheses, or expected cause-effect relationships to be tested in the
project: that the proposed project activities, or interventions, will
address those needs in ways that will lead to the achievement of the
project goals of self-sufficiency. It also identifies in advance the
most important process and outcome measures that will be used to
identify performance success and expected changes in individual
participants, the grantee organization, and the community.
For these reasons, the evaluator that the applicant expects to work
with should be involved--at least briefly but substantively--in the
development of the project design and proposal.
The applicant should use no more than 3 pages for this proposal
element, plus the Resume or Position Description for the evaluator,
which should be in an Appendix.
Element VIII. Significant and Beneficial Impact
(Weight of 0-10 points in the proposal review.)
OCS seeks, with its Demonstration Partnership Program, to use a
modest amount of money to support innovative approaches that will
create significant benefits for low-income individuals, families, and
communities. Accordingly, it intends to make grants that have a strong
likelihood of creating beneficial impacts both within the project
communities and, through wide dissemination of useful project results
and findings, in other communities facing similar challenges.
The proposed project is expected to lead to tangible achievements
toward individual and family self-sufficiency and, as a result,
verifiable reductions in the incidence of poverty in the targeted
community. Applicants should summarize, in this section, the beneficial
impacts that they propose to make in that community, their expectations
for the continuation of those benefits beyond the project's life, and
the kind of information that they expect to share with OCS and the
social service/community development fields from their demonstration
project. Project proposals will be assessed, for this element, on the
likely value of the project to the target community over time--given
the proposed outcomes and the likelihood that they will be realized--
and to the larger community of CSBG grantees across the nation.
Applicants should use no more than 1 page for this proposal
element. The score for the element will be based to some extent on the
coherence and feasibility of the entire application.
Element IX. Community Empowerment Consideration
(Weight of 0-5 points in proposal review.)
Special consideration will be given to applicants who are located
in areas which are characterized by poverty and other indicators of
socio-economic distress such as a poverty rate of at least 20%,
designation as an Empowerment Zone or Enterprise Community, high levels
of unemployment, and a high incidence of violence, gang activity,
crime, or drug use. If such is the case, applicants should document
that they [[Page 18677]] were involved in the preparation and planned
implementation of a comprehensive community-based strategic plan to
achieve both economic and human development in an integrated manner and
how the proposed project supports the goal(s) of that plan. (0-5
points)
Applicants should use no more than 1 page for this proposal
element.
B. Special Program Elements, Review and Assessment Criteria for
Applications for Replication Projects Under Priority Area 2.0
The Project Narrative should begin with the statement that the
proposal is for a replication project in priority area 2.0, and
identify which of the projects described in Part II is to be
replicated. Note that proposals for replication of the Philadelphia;
Yakima, Washington; and Bath, Maine projects are limited to a maximum
grant amount of $350,000 with a 100% match, similar to General
Demonstrations under Priority Area 1.0. Proposals for replication of
the Phoenix project will, for purposes of grant amount and match
requirement, be considered Urban Youth Projects under Priority Area 4.0
with a maximum grant amount of $500,000 and a required match of 25% of
the OCS grant amount. In all other respects, proposals for replication
of the Phoenix project should follow the elements and criteria of this
Sub-Part, which follow.
Element I. Organizational Experience and Capability
(Weight of 0 to 5 points in proposal review.)
[This element should be the same as under Priority Areas 1.0 and 4.0,
and should take no more than 2 pages of the Project Narrative.]
Element II. Project Theory, Design, and Plan
(Total Weight of 0-25 points in proposal review.)
OCS seeks to learn from this element of the application why and how
the project as proposed is expected to lead to significant improvements
in individual and family self-sufficiency.
Applicants may find it helpful to design and present their project
in terms of a conceptual cause-effect framework. A ``logic model'' that
may be helpful is developed in the following paragraphs.
Sub-Element II(a). Description of Target Population, Analysis of
Need, and Project Assumptions. (Weight of 0-10 points in application
review.)
The ``logic model'' begins with identifying the underlying
assumptions about the program. These are the beliefs on which the
proposed program is built: The assumptions about the needs of the
client population to be served; about the current services available to
those clients, and where and how they fail to meet their needs; about
why the proposed services or interventions are appropriate, and will
meet those needs; and about the impact the proposed interventions will
have on the clients.
In other words, the underlying assumptions of the program are the
applicant's analysis of the needs and problems to be addressed by the
project, and the applicant's theory of how its proposed interventions
will address those needs and problems to achieve the desired result. In
this sub-element of the proposal the applicant should precisely
identify the target population to be served. The geographic area to be
impacted should then be briefly highlighted, selectively emphasizing
the socioeconomic/poverty and other data that are relevant to the
project design.
The needs of this target population should then be clearly defined,
with particular attention to whether and how the characteristics and
needs of this target population appear to differ from those of the
project being replicated (the Host Project). The applicant should state
its underlying assumptions about how these needs can be addressed by
the proposed project, including its assumptions about any modifications
to the design and interventions of the Host Project that it believes
are needed to address such differences.
Applicants should use no more than 2 pages for this application
sub-element.
Sub-Element II(b). Project Strategy and Work Plan: Interventions,
Outcomes, and Goals. (Weight of 0-15 points in proposal review.)
To continue with the ``logic model'':
The underlying assumptions concerning client needs and the theory
of how they can be effectively addressed, which are discussed above,
lead in the project design to the conduct of a variety of project
activities or interventions, each of which is assumed to result in
immediate changes, or outcomes.
The immediate changes lead to intermediate outcomes; and the
intermediate outcomes lead to the final project goals.
In this sub-element, applicants for replication projects under
Priority Area 2.0 should explain the strategy and design of the project
being replicated (the Host Project), and how they plan to implement
and/or adapt the activities, or interventions of the Host Project to
the particular needs of the new target population and the setting of
the replication project, as described in the previous sub-element. The
applicant should describe the immediate changes expected to result from
the project activities, or interventions, and how they can lead to
intermediate outcomes, and in turn to attainment of the final project
goals.
Again, applicants don't have to use this exact terminology, but it
is important to describe the project in a way that makes clear the
expected cause-and-effect relationship between what the project plans
to do--the activities or interventions, the changes that are expected
to result, and how those changes will lead to achievement of the
project goals of greater self-sufficiency.
Finally, the applicant should present the highlights of a work plan
for the project patterned after the work plan of the Host Project, and
highlight any differences from that plan. It should explicitly tie into
the project design framework and should be feasible, i.e., capable of
being accomplished with the resources and partners available. The plan
should briefly describe the key project tasks, and show the timelines
and major milestones for their implementation. Critical issues or
potential problems that might affect the achievement of project
objectives should be explicitly addressed, with an explanation of how
they would be overcome, and how the objectives will be achieved
notwithstanding any such problems. The plan should be presented in such
a way that it can be correlated with the budget narrative developed
later in the application.
The applicant should use no more than 4 pages for this proposal
sub-element. Applicant may be able to use a simple Gantt or time line
chart to convey the work plan in minimal space.
Element III. Project Partnerships
(Weight of 0-30 points in the proposal review.)
Sub-element III(a). Arrangements with Host Project. (Weight of 0-15
points in the proposal review.)
Applicant must have made arrangements with the project to be
replicated (the Host Project) for an extensive site visit or site
visits by key staff to the Host Project, during which such staff can
receive orientation training and actually serve a brief apprenticeship
in the program. In addition, provision should be made for a site visit
by staff of the Host Project to the Replication Project during the
first year of its operations.
In this sub-element applicant should briefly describe the steps
that it has taken to learn about the design, work plan, and findings of
the Host Project, and the arrangements that have been
[[Page 18678]] made for site visits and/or apprenticeships. The
proposed Project Budget should make provision for the costs of such
site visits/apprenticeships, as well as for appropriate consulting fees
for staff of the Host Project; and the application should include, as
an appendix, a Memorandum of Understanding or Letter of Agreement
between the applicant and the Host Project setting forth training/
apprenticeship undertakings and the attendant financial arrangements.
Applicants should use no more than 3 pages for this proposal
element (plus the Memorandum of Understanding or Letter of Agreement
with the Host Project, which should be in an Appendix).
Sub-element III(b). Project Partnerships. (Weight of 0-15 points in
the proposal review.)
Suitable project partners are a required component of the
Demonstration Partnership Program, and are critical to the kind of
service concentration and systemic change envisioned by OCS. Project
partners should have skills, resources, and experience that complement
those of the applicant, so that the partnership is stronger than its
individual parts. Applicants should use this section to identify their
project partners, describe the roles that they have agreed to play, and
document that at least 50% of the required match will be provided by
these partners through the delivery of specific services or resources
to the target population.
The application should include, in an appendix, commitment letters
from, or Partnership Agreements with these proposed partners signed by
the executive of the partnering entity. These documents should describe
the role of the partner in the project, including the relevant skills
of the partner, the services to be provided, and the resources and
levels of effort to be provided to the project.
Applicants should use no more than 2 pages for this proposal
element (plus the Partnership Agreement(s) in the Appendix).
Element IV. Project Management and Organization
(Weight of 0 to 10 points in the proposal review.)
[This element should be the same as Element V under Priority Areas 1.0
and 4.0 and should take no more than 2 pages of the Project Narrative]
Element V. Project Budget
(Weight of 0-5 points in the proposal review.)
Applicants will be required to submit Federal budget forms with
their proposals to provide basic applicant and project information (SF
424) and information about how Federal and other project funds will be
used (424A). In addition to and immediately following the completed
Federal budget forms, applicants must submit a Budget Narrative, or
explanatory budget information. This Budget Narrative is not considered
a part of the Project Narrative, and does not count as part of the
twenty pages; but rather is included in the application following the
budget forms.
The budget narrative should briefly explain the adequacy of the
Federal and match funds to accomplish project purposes, should explain
the source and nature of matching funds, and should identify and
briefly explain any imbalances between level of activities undertaken
and project funds expended.
Resources in addition to the required matching amounts are
encouraged by OCS, both to augment project resources and to strengthen
the basis for continuing partnerships to benefit the target community.
The amounts of such resources beyond the required match, their
appropriateness to the project design, and the likelihood that they
will continue beyond the project time frame will be taken into account
in judging the application.
For replication projects under Priority Area 2.0 the budget and
budget narrative must include provision for the costs of site visits/
apprenticeships pursuant to the arrangements between the applicant and
the Host Project, as well as for appropriate consulting fees for staff
of the Host Project as provided in the Memorandum of Understanding or
Letter of Agreement between the parties.
Although as noted, the Budget Narrative does not count against the
twenty page limitation on the Project Narrative, applicants should use
no more than two or three pages for this proposal element (not
including the federal budget forms).
Element VI. Project Evaluation
(Weight of 0-10 points in the proposal review.)
[This element should be the same as Element VII under Priority Areas
1.0 and 4.0, and should not use more than 3 pages of the Project
Narrative.]
Element VII. Significant and Beneficial Impact
(Weight of 0-10 points in the proposal review.)
[This element should be the same as Element VIII under Priority Areas
1.0 and 4.0, and should not use more than 1 page of the Project
Narrative.]
Element VIII. Community Empowerment Consideration
(Weight of 0-5 points in proposal review.)
[This element should be the same as Element IX under Priority Areas 1.0
and 4.0, and should not use more than 1 page of the Project Narrative.]
C. Program Elements, Review and Assessment Criteria for Applications
for EZ/EC Continuous Improvement Grants Under Priority Area 3.0
Element I. Organizational Experience and Capability
(Weight of 0 to 10 points in proposal review.)
[This element should be the same as under Priority Areas 1.0 and 4.0,
and should take no more than 2 pages of the Project Narrative.]
Element II. Relationship to EZ/EC Strategic Planning Process
(Weight of 0-25 points in proposal review.)
Applicants should describe the part they played in the development
of the community's EZ/EC Strategic Plan, and provide evidence of a
continuing collaborative relationship with the public and private
agencies which took part in the planning process. The OCS review
process will give the highest scores to applicants who can show that
they were intimately involved in the development of the Strategic Plan
and will be active participants in its implementation. Letters of
support from involved community agencies may be included in the
appendix to the proposal to support applicant's role in the process.
[Applicant should use no more than 3 pages for this proposal element,
plus any support letters included in the appendix.]
Element III. Project Goals, Activities, and Work Plan
(Weight of 0-25 points in proposal review.)
In this element the applicant should:
(1) Define its goals in relation to the Strategic Plan
implementation, the involvement of low income residents, and the
collection of data concerning both the implementation process and the
impact of programs carried out as part of the Strategic Plan;
(2) Describe the activities it is proposing to carry out which it
expects will lead to the achievement of these goals; and
[[Page 18679]]
(3) Present the highlights of a work plan briefly describing the
key project tasks and showing the timelines and major milestones for
their implementation.
Applicant should use no more than 4 pages for this proposal
element.
Element IV. Partnerships
(Weight of 0-15 points in proposal review.)
Suitable project partners are a required component of the
Demonstration Partnership Program, and are critical to the kind of
involvement by the applicant in the community's Strategic Plan
implementation which is envisioned by OCS. Project partners should also
have important roles in the community, and should have skills,
resources, and experience that complement those of the applicant.
Applicants should use this section to identify their project partners,
describe the roles that they have agreed to play, and document that at
least 50% of the required match will be provided by these partners
through the provision of specific services or resources to the project.
The application should include, in an Appendix, commitment letters
from these proposed partners signed by the executive of the partnering
entity, and briefly describing the role of the partner in the project,
including the relevant skills of the partner, and the resources and
levels of effort to be provided to the project.
Applicants should use no more than 3 pages for this proposal
element (plus the partnership letter(s) in the Appendix).
Element V. Project Management and Organization
(Weight of 0-15 points in proposal review.)
Applicants should identify the Project Director and other key staff
they feel are especially important to the success of the project, and
include resumes as an appendix to the proposal. Where the staff members
have not been identified, position descriptions should be included in
the appendix. Applicants should also, in this section, describe (and
diagram if necessary) the organization of the project. The
relationships among the Project Director and the key officials in the
applicant and partnering organizations should be depicted, and the
project related authorities and responsibilities of these key actors
should be made clear.
Applicants should use no more than 2 pages for this proposal
element (plus the resumes and/or position descriptions in the
appendix).
Element VI. Project Budget
(Weight of 0-10 points in the proposal review.)
Applicants will be required to submit Federal budget forms with
their proposals to provide basic applicant and project information (SF
424) and information about how Federal and other project funds will be
used (424A). In addition to and immediately following the completed
Federal budget forms, applicants must submit a Budget Narrative, or
explanatory budget information. This Budget Narrative is not considered
a part of the Project Narrative, and does not count as part of the
twenty pages; but rather is included in the application following the
budget forms.
The budget narrative should briefly explain the adequacy of the
Federal and match funds to accomplish project purposes, and should
explain the source and nature of matching funds.
Although as noted, the Budget Narrative does not count against the
twenty page limitation on the Project Narrative, applicants should use
no more than one or two pages for this proposal element (not including
the federal budget forms).
Part V. Application Procedures
A. Availability of Forms
Attachments D through J contain all of the standard forms necessary
for the application for awards under this OCS program. These
attachments and Parts VI and VII of this Notice contain all the
instructions required for submittal of applications.
Additional copies of this Announcement 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,
it is accessible on the OCS Electronic Bulletin Board for downloading
through your computer modem by calling 1-800-627-8886. For assistance
in accessing the Bulletin Board, a Guide to Accessing and Downloading
is available from Ms. Minnie Landry at (202) 401-5309.
B. Application Submission
1. Number of Copies Required. One signed original application and
four copies should be submitted. (Approved by the Office of Management
and Budget under Control Number 0970-0062.)
2. Acknowledgment of Receipt. All applicants will receive an
acknowledgement with an assigned identification number. Applicants are
requested to supply a self-addressed mailing label with their
application which can be attached to this acknowledgement. The assigned
identification number, along with any other identifying codes, must be
referenced in all subsequent communications concerning the application.
If an acknowledgement is not received within three weeks after the
deadline date, please notify ACF by telephone at (202) 401-9365.
3. Deadlines: The closing date for receipt of applications is June
12, 1995. To be considered as meeting the deadline, applications must
be received before 4:30 p.m. EDST on the deadline date at the ACF
Office of Financial Management, Division of Discretionary Grants, 6th
Floor OFM/DDG, 370 L'Enfant Promenade, SW, Washington, DC 20447.
4. Applications Submitted by Other Means. Applications which are
not submitted in accordance with the above criteria shall be considered
as meeting the deadline only if they are physically received before the
close of business on or before the deadline date. Hand delivered
applications will be accepted at the ACF Office of Financial
Management, Division of Discretionary Grants, 6th Floor ACF Guard
Station, 901 D Street, SW, Washington, DC during the normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday.
5. Late Applications: Applications which do not meet the criteria
above will be considered late applications. ACF will notify each late
applicant that its application will not be considered in this
competition.
6. Extension of Deadline. ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc. or
when there is a disruption of the mails. However, if ACF does not
extend the deadline for all applicants, it may not waive or extend the
deadline for any applicant.
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.
All States and Territories except Alabama, Alaska, Colorado,
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana,
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia,
[[Page 18680]] Washington, American Samoa and Palau have elected to
participate in the Executive Order process and have established Single
Points of Contact (SPOCs) .
Applicants from these nineteen jurisdictions need take no action
regarding E.O. 12372. All other applicants should contact their SPOC as
soon as possible to alert them of the prospective application and to
receive any necessary instructions. Applicants must submit any required
material to the SPOCs as soon as possible so that the program office
can obtain and review SPOC comments as part of the award process. It is
imperative that the applicant submit all required materials, if any, to
the SPOC and indicate the date of this submittal (or the date of
contact if no submittal is required) on the Standard Form 424, item
16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline date to comment on proposed new or competing continuation
awards. These comments are reviewed as part of the award process.
Failure to notify the SPOC can result in a delay in grant award.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to differentiate clearly between mere advisory comments and
those official State process recommendations which they intend to
trigger the ``accommodate or explain'' rule under 45 CFR 100.10. It is
helpful in tracking SPOC comments if the SPOC will clearly indicate the
applicant organization as it appears on the application SF-424.
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 Financial Management, Division of
Discretionary Grants, 6th Floor, 370 L'Enfant Promenade, SW,
Washington, DC 20447. A list of the Single Points of Contact for each
State and Territory is included at Attachment L to this announcement.
D. Application Consideration
Applications which meet the screening requirements in Section E
below will be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to the Legislative Authority, the
Priority Areas outlined in Part III, and the Application Elements and
Review Criteria set forth in Part IV of this Announcement.
Applications will be reviewed by persons outside of the OCS unit
which will be directly responsible for management of the grant. 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 will be considered in rank order of the
averaged scores. However, highly ranked applications are not guaranteed
funding since other factors are taken into consideration, including:
The timely and proper completion of projects funded with OCS funds
granted in the last (5) years; comments of reviewers and government
officials; staff evaluation and input; geographic distribution;
previous program performance of applicants; compliance with grant terms
under previous DHHS grants; audit reports; investigative reports; and
applicant's progress in resolving any final audit disallowances on OCS
or other Federal agency grants.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to determine the applicant's performance
record.
E. Criteria For Screening Applications
1. Initial Screening
All applications that meet the published deadline for submission
will be screened to determine completeness and conformity to the
requirements of this announcement. Only those applications meeting the
following requirements will be reviewed and evaluated competitively:
a. The application must contain a Standard Form 424 ``Application
for Federal Assistance'' (SF-424), a budget (SF-424A) and signed
``Assurances'' (SF-424B) completed according to instructions published
in Part VI and Attachment D to this Announcement.
b. A project narrative must also accompany the standard forms, and
must be limited to no more than twenty (20) pages, typewritten on one
side of the paper only, in type no smaller than 12 c.p.i., 11 point, or
equivalent, with margins no less than one inch. Charts, exhibits,
letters of support, cooperative agreements, resumes and position
descriptions are not counted against this page limit and should be
included in the appendices to the proposal. It is strongly recommended
that you follow the format for the narrative discussed in Part IV,
Application Elements and Review Criteria.
c. 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.
2. Pre-Rating Review
Applications which pass the initial screening will be forwarded to
OCS staff prior to the programmatic review to verify that the
applications comply with this program announcement in the following
areas:
a. Eligibility: Applicant is an ``eligible entity'' as defined in
Part I, Section C. In order to establish eligibility, the application
must contain a letter signed by the State Director of the Community
Services Block Grant program certifying that the applicant is an
``eligible entity'' as defined by this program announcement and that it
has the capacity to operate the proposed project.
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).
b. Grant Amount: The amount of funds requested does not exceed
$350,000 in OCS funds for general or replication projects under
Priority Areas 1.0 and 2.0 (other than an application for replication
of the Step-Up Young Father Mentor Program in Phoenix, AZ, which may
request up to $500,000); does not exceed $50,000 for EZ/EC Continuous
Improvement projects under Priority Area 3.0; or does not exceed
$500,000 for Urban Youth projects under Priority Area 4.0.
c. Matching Funds: The required match has been firmly committed in
the form of letters of commitment or intent to commit the required
matching funds contingent only upon receipt of OCS funds. Such letters
must be included as appendices to the application.
d. Target Populations: The application clearly serves low-income
participants and beneficiaries as defined in Part II, Section E.
e. Partnership Agreements: Partnership arrangements have been
briefly described in the application and a copy of the partnership
agreement(s) describing the partnership arrangements and containing a
letter of commitment or intent to commit from the prospective
partner(s), contingent only upon receipt of OCS funds, has been
included in the appendix.
f. Project Evaluation: The outline of a third-party project
evaluation plan is an element of the application, and includes a
commitment to the selection of a third party evaluator approved by OCS
and to completion of a final evaluation design and plan in
collaboration with the approved evaluator and the OCS Evaluation
Technical Assistance Contractor during the six-month start-up
[[Page 18681]] period. A resume or position description of the
evaluator should be included in the appendix.
g. Replication Project (Priority Area 2.0) only: The proposed
project will be operated in a geographic area other than that in which
the project being replicated (Host Project) was carried out, and
arrangements for site visits/apprenticeships between the applicant and
the Host Project are reflected in the proposal narrative and budget.
An application may be disqualified from the competition and
returned if it fails to conform to one or more of the above
requirements.
Part VI--Instructions for Completing Application Forms
(Approved by the Office of Management and Budget under Control Number
0970-0062.)
The standard forms attached to this announcement shall be used when
submitting applications for all funds under this announcement. It is
suggested that you reproduce single-sided copies of the SF-424, SF-
424A, and SF-424B, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms as well as with the OCS specific instructions set forth
below:
A. SF-424--Application for Federal Assistance
Top of Page. Please enter the single priority area number under
which the application is being submitted. An application should be
submitted under only one priority area.
Item 1. For the purposes of this announcement, all projects are
considered Applications. Also for the purposes of this announcement,
there are no construction projects.
Item 2. Date Submitted and Applicant Identifier--Date application
is submitted to ACF and applicant's own internal control number, if
applicable.
Item 3. Date Received by State--N/A.
Item 4. Date Received by Federal Agency--Leave blank.
Items 5 and 6. The legal name of the applicant must match that
listed as corresponding to the Employer Identification Number. Where
the applicant is a previous Department of Health and Human Services
grantee, enter the Central Registry System Employee Identification
Number (CRS/EIN) and the Payment Identifying Number, if one has been
assigned, in the Block entitled Federal Identifier located at the top
right hand corner of the form.
Item 7. If the applicant is a non-profit corporation, enter N in
the box and specify non-profit corporation in the space marked Other.
Item 8. Type of Application--Please check the type of application.
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 93.573. The title is
Community Services Block Grant Discretionary Awards--Demonstration
Partnership Program.
Item 11. Descriptive Title of Applicant's Project--Enter the
project title (a brief descriptive title). The following letter
designations must be used:
General Projects: DP
Replication Projects: DR
EZ/EC Continuous Grants: DE
Urban Youth: DY
Item 12. Areas Affected by Project--List only the larger unit or
units affected, such as State, county or city.
Item 13. Proposed Project--Enter the desirable starting date for
the project (start of start-up) and the proposed completion date.
Projects may not exceed the maximum duration specified: 36 months for
all Applications (including up to 6 months start-up, a 24 months
operational period and 6 months for evaluation).
Item 14. Congressional District of Applicant/Project--Enter the
number of the Congressional District where the applicant's principal
office is located and the number(s) of the Congressional district(s)
where the project will be located.
Item 15a-e. Estimated Funding: Enter the amounts requested or to be
contributed by Federal and non-Federal sources for the total project
period. Items b, c, d and e should reflect both cash and third-party,
in-kind contributions for the total project period.
Item 15f. N/A
Item 15g. Enter the sum of Items 15a-15e.
B. SF-424A--Budget Information-Non-Construction Programs
See Instructions accompanying this page as well as the instructions
set forth below:
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS Demonstration Partnership Program funds
only, and Non-Federal will include mobilized funds from all other
sources--applicant, state, and other. Federal funds other than those
requested from the Demonstration Partnership Program should be included
in Non-Federal entries.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (matching) funds for the entire project period.
Section B contains entries for Federal (OCS) funds only.
Section A--Budget Summary
Lines 1-4
Col. (a):
Line 1--Enter OCS Demonstration Partnership Program:
Col. (b):
Line 1--Catalog of Federal Domestic Assistance Number is 93.573.
Col. (c) and (d): Not Applicable
Column (e)--(g)
Line 1-4. Enter in columns (e), (f) and (g) the appropriate amounts
needed to support the entire project period.
Line 5--Enter the figures from Line 1 for all columns completed,
(e), (f), and (g).
Section B--Budget Categories
This Section should contain entries for OCS funds only.
Please note: This information supersedes the instructions
provided following the SF-424A.
Enter in Column 1: the amounts covering the first 12 months of the
project (including any start-up period).
Enter in Column 2: the amounts covering the second twelve months of
the project.
Enter in Column 3: the amounts covering the third twelve months of
the project (including the six-month evaluation period).
Under Column (5) enter the total funds requested by the Object
Class Categories of this section (6a-6j).
Allocability of costs are governed by applicable cost principles
set forth in 45 CFR parts 74 and 92.
Budget estimates for administrative costs (not to exceed 10 percent
of the grant amount) must be supported by adequate detail for the
grants officer to perform a cost analysis and review. Adequately
detailed calculations for each object class are those which reflect
estimation methods, quantities, unit costs, salaries, and other similar
quantitative detail sufficient for the calculation to be duplicated.
For any additional object class categories included under the object
class Other, identify the additional object class(es) and provide
supporting calculations.
Supporting narratives and justifications are required for each
budget category, with emphasis on unique/special initiatives, large
dollar amounts; local, regional, or other travels, new positions, major
equipment purchases and training programs as indicated below:
[[Page 18682]]
Object Class Categories--Line 6: Enter the total amount of Federal
funds required by the Object Class Categories of this section.
Personnel--Line 6a. Enter the total costs of salaries and wages.
Justification
Identify the principal investigator or project director, if known.
Specify by title or name the percentage of time allocated the project,
the individual annual salaries, and the cost to the project of the
organization's staff who will be working on the project.
Fringe Benefits--Line 6b: Enter the total costs of fringe benefits
unless treated as part of an approved indirect cost rate which is
entered on line 6j.
Justification
Provide a breakdown of amounts and percentages that comprise fringe
benefit costs, such as health insurance, FICA, retirement insurance,
taxes, etc.
Travel--Line 6c: Enter total costs of all travel by employees of
the project. Travel costs to attend two national workshops in
Washington, DC by the project director should be included (see Part
VIII). Do not enter costs for consultant's travel.
Justification
Include the total number of traveler(s), total number of trips,
destinations, number of days, transportation costs and subsistence
allowances.
Equipment-Line 6d: Enter the total costs of all non-expendable
personal property to be acquired by the project. Non-expendable
personal property means tangible personal property having a useful life
of more than one year and an acquisition cost of $5,000 or more per
unit.
Justification
Only equipment required to conduct the project may be purchased
with Federal funds. The applicant organization or its subgrantees must
not already have such equipment, or a reasonable facsimile, available
for use in the project. The justification also must contain plans for
future use or disposal of the equipment after the project ends.
Supplies-Line 6e: Enter the total costs of all tangible personal
property (supplies) other than that included on line 6d.
Justification
Specify general categories of supplies and their costs.
Contractual-Line 6f: Enter the total costs of all contracts,
including the estimated cost of a third-party evaluation contract.
Travel costs for the chief evaluator to attend two national workshops
in Washington, DC should be included (see Part VIII). OCS' experience
with this program has shown that a quality evaluation contract can be
purchased for 8%--10% of the OCS grant funds. [This percentage is a
guide for the applicants' use in planning its request for procurement
and should not be construed as a minimum nor maximum allowable amount.]
Justification
Attach a list of contractors, indicating the names of the
organizations, the purposes of the contracts, the estimated dollar
amounts, and selection process of the awards as part of the budget
justification. Also provide back-up documentation identifying the name
of contractor, purpose of contract, and major cost elements.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, thus entering into an interagency
agreement, the applicant/grantee must submit Sections A and B of
this Form SF-424A, completed for each delegate agency by agency
title, along with the required supporting information referenced in
the applicable instructions. The total costs of all such agencies
will be part of the amount shown on Line 6f. Provide draft Request
for Proposal in accordance with 45 CFR part 74. Free and open
competition is encouraged for any procurement activities planned
using ACF grant funds. Prior approval from OCS is required when
applicants anticipate evaluation procurements that will exceed
$25,000 and are requesting an award without competition.
The applicant's procurement procedures should outline the type of
advertisement appropriate to the nature and anticipated value of the
contract to be awarded. Advertisements are typically made in city,
regional, and local newspapers; trade journals; and/or through
announcements by professional associations.
Construction-Line 6g: Construction costs are not permitted under
the Demonstration Partnership Program.
Other-Line 6h: Enter the total of all other costs. Such costs,
where applicable, may include, but are not limited to, insurance, food,
medical and dental costs (non-contractual), fees and travel paid
directly to individual consultants, space and equipment rentals,
printing and publication, computer use, training costs including
tuition and stipends, training service costs including wage payments to
individuals and supportive service payments, and staff development
costs.
Total Direct Charges-Line 6i. Show the total of Lines 6a through
6h.
Indirect Charges-Line 6j: Enter the total amount of indirect costs.
This line generally should be used only when the applicant currently
has an indirect cost rate approved by the Department of Health and
Human Services or other Federal agencies. With the exception of local
governments, applicants should enclose a copy of the current rate
agreement if it was negotiated with a Federal agency other than the
Department of Health and Human Services. If the applicant organization
is renegotiating a rate, it should immediately upon notification that
an award will be made, develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year in accordance with the
principles set forth in the pertinent DHHS Guide for Establishing
Indirect Cost Rates, and submit it to the appropriate DHHS Regional
Office.
It should be noted that when an indirect cost rate is requested,
those costs included in the indirect cost pool should not also be
charged as direct costs to the grant. The total amount shown in Section
B, Column (5), Line 6k, should be the same as the amount shown in
Section A, Line 5, Column (e).
Totals-Line 6k: Enter total amounts of lines 6i and 6j.
Program Income-Line 7: Enter the estimated amount of income, if
any, expected to be generated from this project. Separately show
expected program income generated from OCS support and income generated
from other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification
Describe the nature, source and anticipated use of program income
in the Program Narrative Statement.
Column 5: Carry totals from Column 1 to Column 5 for all line
items.
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant is applying. Provide a brief
explanation, on a separate sheet, showing the type of contribution,
broken out by Object Class Category, (see Part VI, B, SF-424A, Section
B, Line 6) and whether it is cash or third-party in-kind. The firm
commitment of these required funds must be documented and submitted
with the application in order to be given credit in the partnerships'
criterion. [[Page 18683]]
Except in unusual situations, this documentation must be in the
form of letters of commitment or intent to commit contingent only upon
receipt of OCS funds from the organization(s) and/or individuals from
which funds will be received.
Justification
Describe all non-Federal resources including third-party, cash and/
or in-kind contributions.
Grant Program-Line 8. Grant Program.
Column (a): Enter the project title.
Column (b): Enter the amount of cash or donations to be made by the
applicant.
Column (c): Enter the State contribution.
Column (d): Enter the amount of cash and third-party in-kind
contributions to be made from all other sources.
Column (e): Enter the total of columns (b), (c), and (d).
Grant Program-Lines 9, 10, and 11 should be left blank.
Grant Program-Line 12.
Carry the total of each column of Line 8, (b) through (e). The
amount in Column (e) should be equal to the amount on Section A, Line
5, column (f).
Section D--Forecasted Cash Needs
Federal-Line 13. Enter the amount of Federal (OCS) cash needed for
this grant, by quarter, during the first year.
Non-Federal-Line 14. Enter the amount of cash from all other
sources needed by quarter during the first year.
Total-Line 15. Enter the total of Lines 13 and 14.
Section E--Budget Estimates of Federal Funds Needed for Balance of
Project
Not Applicable.
Section F--Other Budget Information
Direct Charges-Line 21. Include a narrative justification for each
Object Class Category required under Section B for the total project
period. This narrative justification should be on a separate page and
should immediately follow the SF-424A in the application package.
Indirect Charges-Line 22. Enter the type of HHS or other Federal
agency's approved indirect cost rate (provisional, predetermined, final
or fixed) that will be in effect during the funding period, the
estimated amount of the base to which the rate is applied and the total
indirect expense. Also, enter the date the rate was approved and attach
a copy of the rate agreement if negotiated with an agency other than
the Department of Health and Human Services.
Remarks-Line 23. Please provide any other explanations and/or
continuation sheets required or deemed necessary to justify or explain
the budget information.
C. SF-424B Assurances-Non-Construction
All applicants must fill out, sign, date and return the Assurances
(see Attachment D) with the application.
Part VII--Contents of Application
Each application submission should include a signed original and
four additional copies of the application. Pages should be numbered
sequentially throughout the application package, beginning with the
Proposal Abstract as page number one, and each application must include
all of the following, in the order listed below:
1. An Abstract of the proposal--very brief, on one page, not to
exceed 250 words, which identifies the type of project, the target
population, the partner(s), and the major elements of the work plan,
and that would be suitable for use in an announcement that the
application has been selected for a grant award;
2. Table of Contents;
3. A completed Standard Form 424 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. Budget Information-Non-Construction Programs (SF-424A);
5. A narrative budget justification for each object class category
required under Section B, SF-424A;
6. Filled out, signed and dated Assurances--Non-Construction
Programs (SF-424B), Attachment D;
7. Attachments E and F, setting forth the Federal requirements
concerning the drug-free workplace and debarment regulations with which
the applicant is certifying that it will comply, by signing and
submitting the SF-424.
8. Certification Regarding Environmental Tobacco Smoke
9. Restrictions on Lobbying--Certification for Contracts, Grants,
Loans, and Cooperative Agreements: fill out, sign and date form found
at Attachment H;
10. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and
date form found at Attachment I, if appropriate;
11. A project narrative, limited to no more than twenty (20) pages,
which includes all of the elements described in Part IV, according to
the project Priority Area:
[Specific information/data required under each component is described
in Part IV Application Elements and Review Criteria.]
The total number of pages for the narrative portion of the
application package must not exceed 20 pages, excluding Appendices.
Typewritten on one side of the paper only, in type no smaller than 12
c.p.i., 11 point, or equivalent, with margins no less than one inch.
Pages should be numbered sequentially throughout the application
package, excluding Appendices, beginning with the Abstract as Page #1.
12. Appendices, including Maintenance of Effort Certification (See
Attachment J); letter signed by State CSBG Director; partnership
agreements signed by the partners; statement regarding the date of
incorporation; Single Point of Contact comments, if applicable and
available; resumes and/or position descriptions; a Business Plan if
appropriate or required (see Program Sub-Element IIb); Certification
Regarding Lobbying, if appropriate; and letters of match commitment or
letters of intent.
The application may also contain letters that show collaboration or
substantive commitments to the project by organizations other than
partners with committed match. Such letters are not part of the
narrative and should be included in the Appendices. These letters are,
therefore, not counted against the twenty page limit.
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 applications, or applications
enclosed in binders is specifically discouraged.
Attachment M provides a checklist to applicants in preparing a
complete application package.
Part VIII--Post-Award Information and Reporting Requirements
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 periods for
[[Page 18684]] which support is provided, the terms and conditions of
the award, the total project period for which support is contemplated,
and the total required financial grantee participation.
In addition to the General Conditions and Special Conditions (where
the latter are warranted) which will be applicable to grants, grantees
will be subject to the provisions of 45 CFR part 74 or 92.
Project directors and chief evaluators will be required to attend a
national DPP evaluation workshop in Washington, DC which will be
scheduled shortly after the effective date of the grant, during the 6-
month start-up period. They also will be required to attend, as
presenters, a workshop on utilization and dissemination to be held
after the end of the project period.
Grantees will be required to submit semi-annual progress and
financial reports (SF 269) throughout the project period, as well as a
final progress and financial report within 90 days of the termination
of the project. An interim evaluation report, along with the written
policies and procedures resulting from the process evaluation, will be
due 30 days after the first twelve months of the project period and a
final evaluation report will be due 90 days after the expiration of the
grant. These reports will be submitted in accordance with instructions
to be provided by OCS, and will be the basis for the dissemination
effort to be conducted by the Office of Community Services.
Grantees are subject to the audit requirements in 45 CFR parts 74
(non-governmental), 92 (governmental), OMB Circular A-133 and OMB
Circular A-128.
Section 1352 of Pub. L. 101-121, signed into law on October 23,
1989, imposes new prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides exemptions for
Indian tribes and tribal organizations. Current and prospective
recipients (and their subtier contractors and/or grantees) are
prohibited from using Federal funds, other than profits from a Federal
contract, 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 disclose the name,
address, payment details, and purpose of any agreements with lobbyists
whom recipients or their subtier contractors or subgrantees will pay
with profits or nonappropriated funds on or after December 22, 1989 and
(3) to file quarterly up-dates about the use of lobbyists if material
changes occur in their use. The law establishes civil penalties for
noncompliance. See Attachments H and I for certification and disclosure
forms to be submitted with the applications for this program.
Attachment K indicates the regulations which apply to all
applicants/grantees under the Demonstration Partnership Program.
Dated: April 4, 1995.
Donald Sykes,
Director, Office of Community Services.
Attachment A
Environmental Justice and Sustainable Community Development
Environmental Justice and Sustainable Community Development are
terms that have come into common usage only recently, with the growing
realization that low income and minority people and communities have
long suffered inequitable and life- and health-threatening
environmental degradation. A 1987 report by the Commission for Racial
Justice of the United Church of Christ, Toxic Waste and Race in the
United States, concluded that race has been a factor in the locating of
commercial hazardous waste facilities in the United States, and that
the clean-up of uncontrolled toxic waste sites in Black and Hispanic
communities should be given the highest possible priority. The findings
of this report were confirmed by the Environmental Protection Agency in
its own study: Environmental Equity: Reducing Risks For All
Communities, Vols. I and II, U.S. EPA, June 1992. Toxic Waste and Race
Revisited, Center for Policy Alternatives, 1994, a study co-sponsored
by the Center for Policy Alternatives, the NAACP, and the United Church
of Christ Commission for Racial Justice, using data updated to 1993
from the 1990 U.S. Census, found that ``Despite growing national
attention to the issue of `environmental justice', people of color
today are even more likely than whites to live in communities with
commercial hazardous waste facilities than they were a decade ago. The
disproportionate environmental impacts first identified and documented
in the 1987 report * * * have grown more severe.''
A study by the National Law Journal published in 1992 included
among many of its findings that over the previous ten years EPA fines
against polluters, on average for all types of cases, were 54 percent
lower in poor neighborhoods than in wealthy communities; and in the
case of violators of RCRA (the Resource Conservation and Recovery Act)
which is the law that governs hazardous waste sites, violators in
minority communities were fined on average one-fifth the amounts of
violators in white areas. EPA's Office of Environmental Justice reports
that as a result of both these studies the agency is currently carrying
out a comprehensive demographic study, based on 1990 census data, of
EPA enforcement and toxic waste sites.
On a related and equally critical front, a Public Health Service
Report to the Congress in 1988 stated that 55 percent of Black children
below the poverty level have toxic levels of lead in their blood whose
permanent effects include reduced intellectual function, aggressive
behavior, hearing loss and growth impairment. Since that time the
Centers for Disease Control have significantly lowered the threshold
for the blood-lead levels that they consider toxic. See: Preventing
Lead Poisoning in Young Children, A Statement By The Centers For
Disease Control--October 1991, U.S. Department of Health and Human
Services, Public Health Service.
While the environmental consciousness of many civil rights leaders
is thus being raised, many low income and minority persons and
communities still see environmental concerns and laws aimed at
protecting the environment as roadblocks to their economic advancement,
keeping needed jobs out of their communities or causing businesses to
move or retrench because of the perceived high costs of practices and
safeguards which are required as measures to protect the environment.
What they often have not understood is the degree to which they are
being subjected to life- and health-threatening conditions such as
illegal dumping of toxics, indiscriminate use of pesticides, or homes
laden with asbestos, lead, and Radon, and that these very conditions
cause physical and mental deterioration of residents and the breakdown
of community infrastructure. For low income and minority communities
are often contaminated to the point that it presents a serious barrier
to economic revitalization. For example, EPA's Office of Solid Waste
and Emergency Response (OSWER) reports that Cleveland Tomorrow, that
city's forward looking Chamber of Commerce, has after extended study
concluded that the ``economic rebirth'' of Cleveland will never happen
until the clean-up of contaminated sites in that city has been
accomplished. [[Page 18685]]
Nor has there been until recently a realization that these same
environmental justice issues offer unprecedented opportunities for the
creation of long term, well paid jobs with career potential in work
that can be meaningful and satisfying in terms of human needs. On
February 11, 1994 President Clinton issued Executive Order 12898:
``Federal Actions To Address Environmental Justice in Minority
Populations and Low-Income Populations'', calling on each Federal
Department and Agency to ``develop an agency-wide environmental justice
strategy * * * that identifies and addresses disproportionately high
and adverse human health or environmental effects of its programs * *
*''. The Draft Environmental Justice Strategy of the Department of
Health and Human Services includes the following Strategy:
*Make the development and support of community-based projects
that create environmentally-related jobs and career opportunities
for low-income and minority residents a high priority for all the
Department's programs that deal with job training, job and economic
development, job support services and welfare reform.
By the same token, there is a growing realization that long term
survival on the planet will only be possible if we develop a
sustainable economy which husbands resources and eliminates waste.
The President's Council on Sustainable Development (PCSD) was
established by President Clinton and charged with a mandate to
develop specific policy recommendations for a national strategy for
sustainable development that can be implemented by the public and
private sectors.
The Council has written: ``* * * sustainable development means a
program of domestic economic and political reform that * * * yields
broad-based economic progress accomplished in a manner that protects
and restores the quality of the natural environment, improves the
quality of life for individuals and broadens the prospects for
future generations. It means, in other words, maintaining economic
growth while producing the absolute minimum of pollution, repairing
the environmental damages of the past, using far fewer non-renewable
resources, producing much less waste, and extending the opportunity
to live in a pleasant and healthy environment to the whole
population.''
The Council's Sustainable Communities Task Force suggests that:
``General principles of community sustainability include social
equity, racial justice, population stabilization, improved quality
of life, participation of stakeholders invested in the outcome,
elimination of waste, reduced consumption, encouragement of local
self-reliance, recognition of local ecosystem assets and
limitations, urban rehabilitation and clean-up, and improved public
health.''
Applicants seeking to identify additional resources and/or persons
within their communities who can provide guidance and expertise in the
areas of environmental justice and sustainable community development
may wish to contact one of the following offices for information and
assistance:
Sustainable Communities Task Force, President's Council on Sustainable
Development, 730 Jackson Place NW., Washington, DC 20503, Contact:
Angela Park (202) 408-5342, Information on local and national
organizations involved with Sustainable Community Development.
Rural Development Administration, U.S. Department of Agriculture AG
3202, Washington, DC 20250-3202, Contacts: Stanley Zimmerman, (202)
690-2514, szim@rurdev.usda.gov, Information and resources on Rural
Economic and Community Development.
Cooperative State Research Service, U.S. Department of Agriculture, 370
L'Enfant Promenade, SW., 3rd Floor, Washington, DC 20250-2260, Contact:
Dr. Dan Kugler (202) 401-6861, Deputy Administrator for Special
Programs, Information on New Uses and Markets for Agricultural
Products, Sustainable Agriculture, and Aquaculture.
Office of Community Planning and Development, HUD, 451 7th Street SW.,
Room 7244, Washington, DC 20410, Contact: Andy Euston, Leader for
Sustainable Community Development Explorations (202) 708-1911,
Information on Sustainable Community Development; referral to local and
regional resources.
Office of Assistant to the Secretary for Labor Relations, HUD, 451 7th
Street SW., Room 7118, Washington, DC 20410, Contact: Richard S. Allan,
Deputy Assistant, (202) 708-0370, Information on training for lead
abatement and toxic materials, handling and disposal, and Project Step-
Up.
Office of Lead Paint Abatement and Poisoning Prevention, HUD, 451 7th
Street SW., Room B133, Washington, DC 20410, Contact: Dorothy Allen
(202) 755-1771, Information on funded lead abatement projects and
resources and T/TA available.
Regional and State Planning Branch, Office of Policy Planning and
Evaluation, U.S. Environmental Protection Agency, 401 M Street SW.,
Washington, DC 20460, Contact: Deborah Martin, Branch Chief, (202) 260-
2729, Environmental planning and assistance in understanding and
assessing environmental risks.
Energy-Efficiency and Renewable Energy Clearinghouse, U.S. Department
of Energy, Write: EREC, PO Box 3048, Merrifield, VA 22116, Call Toll-
Free: 1-800-523-2929, Publications, source lists, bibliographies;
detailed technical responses on energy efficiency and renewables;
business assistance, referrals to associations, labs, state energy
offices, and special interest groups.
Attachment B: Outline of Business Plan
The Business Plan should include the following:
1. The business and its industry. This section should describe the
nature and history of the business and provide some background on its
industry.
a. The Business: as a legal entity; the general business category;
b. Description and Discussion of Industry: Current status and
prospects for the industry;
2. Products and Services: This section deals with the following:
a. Description: Describe in detail the products or services to be
sold;
b. Proprietary Position: Describe proprietary features of any of
the products, e.g. patents, trade secrets; and
c. Potential: Features of the product or service that may give it
an advantage over the competition.
3. Market Research and Evaluation: This section should present
sufficient information to show that the product or service has a
substantial market and can achieve sales in the face of competition;
a. Customers: Describe the actual and potential purchasers for the
product or service by market segment.
b. Market Size and Trends: State the size of the current total
market for the product or service offered;
c. Competition: An assessment of the strengths and weaknesses of
competitive products and services;
d. Estimated Market Share and Sales: Describe the characteristics
of the product or service that will make it competitive in the current
market.
4. Marketing Plan: The marketing plan should detail the product,
pricing, distribution, and promotion strategies that will be used to
achieve the estimated market share and sales projections. The marketing
plan must describe what is to be done, how it will be done and who will
do it. The plan should address the following topics--Overall Marketing
Strategy, Packaging, Service and Warranty, Pricing, Distribution and
Promotion.
5. Design and Development Plans: If the product, process or service
of the [[Page 18686]] proposed venture requires any design and
development before it is ready to be placed on the market, the nature
and extent and cost of this work should be fully discussed. The section
should cover items such as Development Status and Tasks, Difficulties
and Risks, Product Improvement and New Products, and Costs.
6. Manufacturing and Operations Plan: A manufacturing and
operations plan should describe the kind of facilities, plant location,
space, capital equipment and labor force (part and/or full time and
wage structure) that are required to provide the company's product or
service.
7. Management Team: The management team is the key in starting and
operating a successful business. The management team should be
committed with a proper balance of technical, managerial and business
skills, and experience in doing what is proposed. This section must
include a description of: the key management personnel and their
primary duties; compensation and/or ownership; the organizational
structure; Board of Directors; management assistance and training
needs; and supporting professional services.
8. Overall Schedule: A schedule that shows the timing and
interrelationships of the major events necessary to launch the venture
and realize its objectives. Prepare, as part of this section, a month-
by-month schedule that shows the timing of such activities as product
development, market planning, sales programs, and production and
operations. Sufficient detail should be included to show the timing of
the primary tasks required to accomplish each activity.
9. Critical Risks and Assumptions: The development of a business
has risks and problems and the Business Plan should contain some
explicit assumptions about them. Accordingly, identify and discuss the
critical assumptions in the Business Plan and the major problems that
will have to be solved to develop the venture. This should include a
description of the risks and critical assumptions relating to the
industry, the venture, its personnel, the product's market appeal, and
the timing and financing of the venture.
10. Community Benefits: The proposed project must contribute to
economic, community and human development within the project's target
area. A section that describes and discusses the potential economic and
non-economic benefits to low-income members of the community must be
included as well as a description of the strategy that will be used to
identify and hire individuals being served by public assistance
programs and how linkages with community agencies/organizations
administering the JOBS program will be developed. The following project
benefits must be described:
Economic
--Number of permanent jobs that will be created for low-income people
during the grant period;
--Number of jobs to be created for low-income people that will have
career development opportunities and a description of those jobs;
--Number of jobs that will be filled by individuals on public
assistance;
--Ownership opportunities created for poverty-level project area
residents;
--Specific steps to be taken to promote the self-sufficiency of program
participants.
Other benefits which might be discussed are:
Human Development
--New technical skills development and associated career opportunities
for community residents;
--Management development and training.
Community Development
--Development of community's physical assets;
--Provision of needed, but currently unsupplied, services or products
to community;
--Improvement in the living environment.
11. The Financial Plan: The Financial Plan is basic to the
development of a Business Plan. Its purpose is to indicate the
project's potential and the timetable for financial self-sufficiency.
In developing the Financial Plan, the following exhibits must be
prepared for the first three years of the business' operation:
a. Profit and Loss Forecasts-quarterly for each year;
b. Cash Flow Projections-quarterly for each year;
c. Pro forma balance sheets-quarterly for each year;
d. Initial sources of project funds;
e. Initial uses of project funds; and
f. Any future capital requirements and sources.
Attachment C
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1995 Poverty Income Guidelines for All States (Except Alaska and Hawaii)
and the District of Columbia
1.......................................................... $7,470
2.......................................................... 10,030
3.......................................................... 12,590
4.......................................................... 15,150
5.......................................................... 17,710
6.......................................................... 20,270
7.......................................................... 22,830
8.......................................................... 25,390
For family units with more than 8 members, add $2,560 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
Poverty Income Guidelines for Alaska
------------------------------------------------------------------------
1.......................................................... 9,340
2.......................................................... 12,540
3.......................................................... 15,740
4.......................................................... 18,940
5.......................................................... 22,140
6.......................................................... 25,340
7.......................................................... 28,540
8.......................................................... 31,740
For family units with more than 8 members, add $3,200 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
Poverty Income Guidelines for Hawaii
------------------------------------------------------------------------
1.......................................................... 8,610
2.......................................................... 11,550
3.......................................................... 14,490
4.......................................................... 17,430
5.......................................................... 20,370
6.......................................................... 23,310
7.......................................................... 26,250
8.......................................................... 29,190
For family units with more than 8 member, add $2,940 for each additional
member. (The same increment applies to smaller family sizes also, as can
be seen in the figures above.)
------------------------------------------------------------------------
BILLING CODE 4184-01-M
[[Page 18687]]
[GRAPHIC][TIFF OMITTED]TN12AP95.000
BILLING CODE 4184-01-C
[[Page 18688]]
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & 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 disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicants's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.
BILLING CODE 4184-01-M
[[Page 18689]]
[GRAPHIC][TIFF OMITTED]TN12AP95.001
[[Page 18690]]
[GRAPHIC][TIFF OMITTED]TN12AP95.002
BILLING CODE 4184-01-C
[[Page 18691]]
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) Through (g)
For new applications, leave Column (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function, or activity, fill in the total requirements for funds
(both Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h 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 Column (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 agency 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
of Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
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 costs) 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
[[Page 18692]] 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 personnel or organizational conflict of interest, or
personal gains.
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 nineteen statutes
or regulations specified in Appendix A of OPM's Standards of a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statues 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. 290dd-3 and 290ee-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. Sec. 3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or refinancing 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.O. 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 with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 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.
Will comply with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental quality
control measures under the National Environmental Policy Act of 1969
(P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
violating facilities pursuant to EO 11738; (c) protection of
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 (Clear Air)
Implementation Plans under Section 176(c) of the Clear Air Act of
1955, as amended (42 U.S.C. Sec. 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 systems.
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. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 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 assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 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
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 of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of authorized certifying official
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Title
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Applicant organization
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Date submitted
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Attachment F
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant defined
as the primary participant in accordance with 45 CFR part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) Have not within a 3-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 statute or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted or otherwise criminally or
civilly charged by a governmental entity (Federal, State of local)
with commission of any of the offenses enumerated in paragraph (1)
(b) of this certification; and
(d) Have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) 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.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction.'' provided below without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To be Supplied to Lower Tire Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR Part 76,
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 form
participation in this transaction by any federal department or
agency.
(b) Where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Esclusion--Lower Tier Covered Transactions. ``without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Attachment G
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor facility owned or
leased or contracted for by an entity and used routinely or
regularly for the provision of health, day care, education, or
library services to children under the age of 18, if the services
are funded by Federal programs either directly or through State or
local governments, by Federal grant, contract, loan, or loan
guarantee. The law does not apply to children's services provided in
private residences, facilities funded solely by Medicare or Medicaid
funds, and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for children's services and that all subgrantees shall
certify accordingly.
Attachment H
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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Signature
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Title
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Organization
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Date
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Attachment J
Certification Regarding Maintenance of Effort
The undersigned certifies that:
(1) Activities funded under this program announcement are in
addition to, and not in substitution for, activities previously
carried on without Federal assistance.
(2) Funds or other resources currently devoted to activities
designed to meeting the needs of the poor within a community, area,
or State have not been reduced in order to provide the required
matching contributions.
When legislation for a particular block grant permits the use of
its funds as match, the applicant must show that it has received a
real increase in its block grant allotment and must certify that
other anti-poverty programs will not be scaled back to provide the
match required for this project.
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Organization
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Authorized Signature
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Title
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Date
Attachment K--DHHS Regulations Applying to All Applicants/Grantees
Under the Demonstration Partnership Program
Title 45 of the Code of Federal Regulations:
Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (non-governmental)
Part 74--Administration of Grants (state and local governments and
Indian Tribal affiliates):
Sections 74.62(a) Non-Federal Audits
74.173 Hospitals
74.174(b) Other Nonprofit Organizations
74.304 Final Decisions in Disputes
74.710 Real Property, Equipment and Supplies
74.715 General Program Income
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal
Assistance through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Non-discrimination on the basis of sex in the admission of
individuals to training programs
Part 84--Non-discrimination on the Basis of Handicap in Programs
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
Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, PO Box 3278, Little Rock, Arkansas 72203, Telephone
(501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street, NW., Suite 500,
Washington, DC 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse,
Intergovernmental Affairs Policy Unit,
Executive Office of the Governor,
Office of Planning and Budgeting,
The Capitol,
Tallahassee, Florida 32399-0001,
Telephone (904) 488-8441
Georgia
Mr. Charles H. Badger, Administrator,
Georgia State Clearinghouse,
254 Washington Street, SW.,
Atlanta, Georgia 30334,
Telephone (404) 656-3855
Illinois
Steve Klokkenga,
State Single Point of Contact,
Office of the Governor,
107 Stratton Building,
Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell,
Budget Director, State Budget Agency,
212 State House,
Indianapolis, Indiana 46204,
Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann,
Division of Community Progress,
Iowa Department of Economic Development,
200 East Grand Avenue,
Des Moines, Iowa 50309,
Telephone (515) 281-3725
Kentucky
Ronald W. Cook,
Office of the Governor,
Department of Local Government,
1024 Capitol Center Drive,
Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson,
State Planning Office,
State House Station #38,
Augusta, Maine 04333,
Telephone (207) 289-3261
Maryland
Ms. Mary Abrams,
Chief, Maryland State Clearinghouse,
Department of State Planning,
301 West Preston Street,
Baltimore, Maryland 21201-2365,
Telephone (301) 225-4490
Massachusetts
Karen Arone,
State Clearinghouse,
Executive Office of Communities and Development,
100 Cambridge Street, Room 1803,
Boston, Massachusetts 02202,
Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director,
Michigan Department of Commerce,
Lansing, Michigan 48909,
Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer,
Office of Federal Grant Management and Reporting,
301 West Pearl Street,
Jackson, Mississippi 39203,
Telephone (601) 960-2174
Missouri
Ms. Lois Pohl,
Federal Assistance Clearinghouse,
Office of Administration,
PO Box 809,
Room 430, Truman Building,
Jefferson City, Missouri 65102,
Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Please direct correspondence and questions to:
[[Page 18698]] Andrew J. Jaskolka, State Review Process, Division of
Community Resources, CN 814, Room 609, Trenton, New Jersey 08625-
0803, Telephone (609) 292-9025
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, Fax (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to:
Review Coordinator, Office of Strategic Planning
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, PO. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, Attn:
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research and Coordination, Pavilion Office Building, 109 State
Street, Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, PO Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, PO Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, PO. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to:
Linda Clarke, Telephone (809) 774-0750
Attachment M--Checklist for Use in Submitting OCS Grant Applications
(Optional)
The application should contain:
1. Proposal abstract--250 words or less.
2. Table of Contents.
3. A completed, signed SF-424, ``Application for Federal
Assistance.'' The letter code for the priority area should be in the
lower right-hand corner of the page.
4. A completed SF-424A, ``Budget Information--Non-
Construction''.
5. Narrative budget justification.
6. A signed SF-424B, ``Assurances--Non-Construction''.
7. Attachments E and F concerning drug free workplace and
debarment regulations.
8. Certification regarding Environmental Tobacco Smoke.
9. A signed copy of ``Certification Regarding Anti-lobbying
Activities'' (Attachment H).
10. A completed Disclosure of Lobbying Activities, if applicable
(Attachment I).
11. A Project Narrative not to exceed twenty pages, which
includes all of the elements described in Part IV.
12. Appendices, including:
--Maintenance of Effort Certification (Attachment J)
--Letter signed by State CSBG Director certifying eligibility
--Partnership Agreements signed by the partners
--Single Point of Contact comments, if applicable and available
--Resumes and/or position descriptions
--A Business Plan if appropriate or required (see Program Sub-
Element IIb in Part IV)
--Letters of match commitment or letters of intent
--Statement regarding worker safety, if appropriate (see Part III,
discussion of Program Priority Area 1.0)
[FR Doc. 95-8833 Filed 4-11-95; 8:45 am]
BILLING CODE 4184-01-M
