[Federal Register Volume 62, Number 88 (Wednesday, May 7, 1997)]
[Notices]
[Pages 24934-24962]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11752]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-97-03]
Request for Applications Under the Office of Community Services'
Fiscal Year 1997 Job Opportunities for Low-Income Individuals Program
AGENCY: Administration for Children and Families (ACF), DHHS.
ACTION: Announcement of availability of funds and request for
applications under the Office of Community Services' FY 1997 Job
Opportunities for Low-Income Individuals (JOLI) Program.
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SUMMARY: The Administration for Children and Families (ACF), Office of
Community Services (OCS), announces that, based on availability of
funds, competing applications will be accepted for new grants pursuant
to the Secretary's discretionary authority under section 505 of the
Family Support Act of 1988, as amended.
CLOSING DATE: The closing date for receipt of applications is July 7,
1997. (See Part V B. Application Submission)
FOR FURTHER INFORMATION CONTACT: Office of Community Services,
Administration for Children and Families, 370 L'Enfant Promenade S.W.,
Washington, D.C. 20447; Contact: Nolan Lewis (202) 401-5282, Richard
Saul (202) 401-9341, Michelle Brookens (202) 401-1466.
A copy of the Federal Register containing this Announcement is
available for reproduction at most local libraries and Congressional
District O'ffices. It is also available on the Internet through GPO
Access at the following web address: http://www.access.gpo.gov/
su__docs/aces/aces140.html
If this Program Announcement is not available at these sources it
may be obtained by telephoning the office listed under FOR FURTHER
INFORMATION CONTACT above.
The Catalog of Federal Domestic Assistance number for OCS programs
covered under this Announcement is 93.593. The title is ``Job
Opportunities for Low-Income Individuals Program''.
Part I--Preamble
A. Legislative Authority
Section 505 of the Family Support Act of 1988, Public Law 100-485,
as amended, authorizes the Secretary of HHS to enter into agreements
with non-profit organizations (including community development
corporations) for the purpose of conducting projects designed to create
employment and business opportunities for certain low-income
individuals.
The Personal Responsibility and Work Opportunity Reconciliation Act
of 1996, Public Law 104-193, reauthorized Section 505 of the Family
Support Act of 1988. The Act also amends certain subsections of Section
505 of the Family Support Act of 1988 to be effective July 1, 1997.
B. Definition of Terms
For purposes of this Program Announcement the following definitions
apply:
--Budget Period: The interval of time into which a multi-year period of
assistance (project period) is divided for budgetary and funding
purposes.
--Community-Level Data: Key information to be collected by each grantee
that will allow for a national-level analysis of common features of
JOLI projects. This includes data on the population of the target area,
including the percentage of TANF recipients and others on public
assistance, and the percentage whose incomes fall below the poverty
line; the unemployment rate; the number of new business starts and
business closings; and a description of the major employers and average
wage rates and employment opportunities with those employers.
--Community Development Corporation: A private, locally initiated,
nonprofit entity, governed by a board consisting of residents of the
community and business, civic leaders, and/or public officials which
has a record of implementing economic development projects or whose
Articles of Incorporation and/or By-Laws indicate that it has as a
principal purpose, planning, developing, or managing community economic
development projects.
--Hypothesis: An assumption made in order to test its validity. It
should assert a cause-and-effect relationship between a program
intervention and its expected result. Both the intervention and result
must be measured in order to confirm the hypothesis. For example, the
following is a hypothesis: ``Eighty hours of classroom training in
small business planning will be sufficient for participants to prepare
a successful loan application.'' In this example, data would be
obtained on the number of hours of training actually received by
participants (the intervention), and the quality of loan applications
(the result), to determine the validity of the hypothesis (that eighty
hours of training is sufficient to produce the result).
--Intervention: Any planned activity within a project that is intended
to produce changes in the target population and/or the environment and
that can be formally evaluated. For example, assistance in the
preparation of a business plan and loan package are planned
interventions.
--Job Creation: To bring about, by activities and services funded under
this program, new jobs, that is, jobs that were not in existence before
the start of the project. These activities can include self-employment/
micro-enterprise training, the development of new business ventures or
the expansion of existing businesses.
--Non-profit Organization: Any organization (including a community
development corporation) exempt from taxation under section 501(a) of
the Internal Revenue Code of 1986 by reason of paragraph (3) or (4) of
section 501(c) of such code.
--Non-traditional employment for women or minorities: Employment in an
industry or field where women or minorities currently make-up less than
ten percent of the work force.
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--Outcome Evaluation: An assessment of project results as measured by
collected data which define the net effects of the interventions
applied in the project. An outcome evaluation will produce and
interpret findings related to whether the interventions produced
desirable changes and their potential for replicability. It should
answer the question, Did this program work?
--Private employers: Third-party private non-profit organizations or
third-party for-profit businesses operating or proposing to operate in
the same community as the applicant and which are proposed or potential
employers of project participants.
--Process Evaluation: The ongoing examination of the implementation of
a program. It focuses on the effectiveness and efficiency of the
program's activities and interventions (for example, methods of
recruiting participants, quality of training activities, or usefulness
of follow-up procedures). It should answer questions such as: Who is
receiving what services?, and are the services being delivered as
planned? It is also known as formative evaluation because it gathers
information that can be used as a management tool to improve the way a
program operates while the program is in progress. It should also
identify problems that occurred and how they were dealt with and
recommend improved means of future implementation. It should answer the
question: ``How was the program carried out?'' In concert with the
outcome evaluation, it should also help explain, ``Why did this program
work/not work?''
--Program Participant/Beneficiary: Any individual eligible to receive
Temporary Assistance for Needy Families under Title I of the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996 (Part A
of Title IV of the Social Security Act) and any other individual whose
income level does not exceed 100 percent of the official poverty line
as found in the most recent Annual Revision of Poverty Income
Guidelines published by the Department of Health and Human Services.
(See Attachment A.)
--Project Period: The total time 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.
C. Purpose
The purpose of this program is to demonstrate and evaluate ways of
creating new employment and business opportunities for certain low-
income individuals through the provision of technical and financial
assistance to private employers in the community, self-employment/
micro-enterprise programs and/or new business development programs. A
low-income individual eligible to participate in a project conducted
under this program is any individual eligible to receive Temporary
Assistance for Needy Families (TANF) under Part A of Title IV of the
Social Security Act, as amended, or any other individual whose income
level does not exceed 100 percent of the official poverty line. (See
Attachment A) Within these categories, emphasis should be on
individuals who are receiving TANF or its equivalent under State
auspices; those who are unemployed; those residing in public housing or
receiving housing assistance; and those who are homeless.
Part II--Background Information and Program Requirements
A. Eligible Applicants
Organizations eligible to apply for funding under this program are
any non-profit organizations (including community development
corporations) that are exempt from taxation under Section 501(a) of the
Internal Revenue Code of 1986 by reason of paragraph (3) or (4) of
section 501(c) of such Code. Applicants must provide documentation of
their tax exempt status. The applicant can accomplish this by providing
a copy of the applicant's listing in the Internal Revenue Service's
(IRS) most recent list of tax-exempt organizations described in section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate. Failure to provide evidence of Section
501(c) (3) or (4) tax exempt status will result in rejection of the
application.
B. Project and Budget Periods
The Personal Responsibility and Work Opportunity Reconciliation Act
of 1996, Public Law 104-193, reauthorized and modified Section 505 of
the Family Support Act of 1988, the JOLI authorizing legislation. Among
the modifications effected was the deletion of sub-section (e) which
had legislatively mandated project duration. Applicants are therefore
free to apply for projects of from one to five years duration,
depending on the proposed work program and the applicant's assessment
of the time required to achieve the proposed project goals. OCS has
made the programmatic determination that the nature of job creation and
career development projects which meet the funding criteria set forth
in this Announcement is such that it is not feasible to divide funding
into 12-month increments, and that completion of the entire project is
in each case necessary to achieve the purposes of the JOLI program.
Consequently, budget periods for grants under this Announcement may be
up to three years. Given the limited funds available for the JOLI
program, applicants should make a realistic assessment of the time and
funds needed to achieve the goals set forth in their proposal, and
design a work program and budget accordingly. The grant request should
be for an amount needed to implement that part of the project plan
supported by OCS funds, taking into consideration other cash and in-
kind resources mobilized by the applicant in support of the proposed
project. (See Paragraph D, below, Mobilization of Resources, and Part
IV, Element VI, Budget Appropriateness and Reasonableness.)
Where an applicant proposes an overall project plan which goes
beyond the initial budget period, it may be approved for a project
period of up to five years, provided that no project may be funded for
a total amount of more than $500,000 to carry out the same work plan in
the same target area. Where the initial project period is funded for an
amount less than $500,000, funding for the balance of the project
period beyond the initial budget period may be requested in the future,
as a continuation grant, for an amount that, when added to the initial
grant will not exceed $500,000. Applications for such continuation
grants will be entertained in subsequent years on a non-competitive
basis, subject to: (1) the availability of funds, (2) satisfactory
progress of the grantee in carrying out the work program, achieving
project goals, and fulfilling the undertakings of
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the originally funded application and grant conditions, including the
actual dedication to the project of mobilized resources identified in
the original application, and (3) determination that this would be in
the best interest of the government.
C. Availability of Funds and Grant Amounts
Approximately $5,500,000 is available in FY 1997 for new grants
pursuant to this Announcement. The 1996 amendments to the JOLI
authorizing legislation also deleted the limitation on number of grants
to be made in any one Fiscal Year. Thus the Office of Community
Services expects to award approximately 10 to 20 grants by September
30, 1997, based on the amounts requested and contingent on the
availability of funds. Grants of up to $500,000 in OCS funds for a
budget period of up to three years will be awarded to selected
organizations under this program in FY 1997.
D. Mobilization of Resources
OCS will give favorable consideration in the review process to
applicants who mobilize cash and/or third-party in-kind contributions
for direct use in the project. The firm commitment of these resources
must be documented and submitted with the application in order to be
given credit in the review process under the Public-Private
Partnerships program element. Except in unusual situations, this
documentation must be in the form of letters of commitment from the
organization(s)/individual(s) from which resources will be received.
Even though there is no matching requirement for the JOLI Program,
grantees will be held accountable for any match, cash or in-kind
contribution proposed or pledged as part of an approved application.
(See Part IV, Element V. and Part VI, B. Instructions for Completing
the SF-424A, Section C, Non-Federal Resources)
E. Program Participants/Beneficiaries
Projects proposed for funding under this Announcement must result
in direct benefits to low-income people as defined in the most recent
Annual Revision of Poverty Income Guidelines published by DHHS and
individuals eligible to receive TANF under Part A of Title IV of the
Social Security Act, as amended.
Attachment A to this Announcement is an excerpt from the guidelines
currently in effect. Annual revisions of these guidelines are normally
published in the Federal Register in February or early March of each
year. Grantees will be required to apply the most recent guidelines
throughout the project period. These revised guidelines also may be
obtained at public libraries, Congressional offices, or by writing the
Superintendent of Documents, U.S. Government Printing Office,
Washington, D.C. 20402. They also are accessible on the OCS Electronic
Bulletin Board for reading and/or downloading. (See For Further
Information at beginning of this Announcement.)
No other government agency or privately-defined poverty guidelines
are applicable for the determination of low-income eligibility for this
program.
F. Prohibition and Restrictions on the Use of Funds
The use of funds for new construction or the purchase of real
property is prohibited. Costs incurred for rearrangement and alteration
of facilities required specifically for the grant program are allowable
when specifically approved by ACF in writing.
If the applicant is proposing a project which will affect a
property listed in, or eligible for inclusion in the National Register
of Historic Places, it must identify this property in the narrative and
explain how it has complied with the provisions of section 106 of the
National Historic Preservation Act of 1966 as amended. If there is any
question as to whether the property is listed in or eligible for
inclusion in the National Register of Historic Places, the applicant
should consult with the State Historic Preservation Officer. (See
Attachment D: SF-424B, Item 13 for additional guidelines.) The
applicant should contact OCS early in the development of its
application for instructions regarding compliance with the Act and data
required to be submitted to the Department of Health and Human
Services. Failure to comply with the cited Act will result in the
application being ineligible for funding consideration.
G. Multiple Submittals
Due to the limited amount of funds available under this program,
only one proposal from an eligible applicant will be funded by OCS from
FY 1997 JOLI funds pursuant to this Announcement (Program areas 1.0 and
2.0).
H. Re-funding
OCS will not re-fund a previously funded grantee to carry out the
same work plan in the same target area.
I. Sub-Contracting or Delegating Projects
An applicant will not be funded where the proposal 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.
J. Maintenance of Effort
The application must include an assurance that activities funded
under this Program Announcement are in addition to, and not in
substitution for, activities previously carried out without Federal
assistance. (See Part VII-A 9. and Attachment M)
Part III--Application Requirements and Priority Areas
A. Program Focus
The Congressional Conference Report on the FY 1992 appropriations
for the Department of Labor, Health and Human Services, and Education
and related agencies directed the ACF to require economic development
strategies as part of the application process to ensure that highly
qualified organizations participate in the demonstration [H.R. Conf.
Rep. No. 282, 102d Cong., 1st Sess. 39 (1991)].
Priority will be given to applications proposing to serve those
areas containing the highest percentage of individuals receiving
Temporary Assistance to Needy Families (TANF) under Title IV-A of the
Social Security Act, as amended.
While projected employment in future years may be included in the
application, it is essential that the focus of the project concentrate
on the creation of new full-time, permanent jobs and/or new business
development opportunities for TANF recipients and other low-income
individuals during the duration of the grant project period. OCS is
particularly interested in receiving proposals in two areas:
1. Local Initiative
In the spirit of ``local initiative'' OCS looks forward to
innovative proposals that grow out of the experience and creativity of
applicants and the needs of their clientele and communities.
Applicants should include strategies which seek to integrate
projects financed and jobs created under this program into a larger
effort of broad community revitalization which will promote job and
business opportunities for eligible program participants and impact the
overall economic environment.
OCS will only fund projects that create new employment and/or
business opportunities for eligible program participants. That is, new
full-time permanent jobs through the expansion
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of a pre-identified business or new business development, or by
providing opportunities for self-employment. In addition, projects
should enhance the participants' capacities, abilities and skills and
thus contribute to their progress toward self-sufficiency.
2. Some Suggested Areas That Can Provide Jobs and Careers for TANF
Recipients In Response to Welfare Reform
With national Welfare Reform a reality, and many States already
implementing ``welfare-to-work'' programs, the need for well-paying
jobs with career potential for TANF recipients becomes ever more
pressing. In this context, the role of JOLI as a vehicle for exploring
new and promising areas of employment opportunity for the poor is more
important than ever.
Within the JOLI Program framework of job creation through new or
expanding businesses or self-employment, OCS would welcome proposals
offering business or career opportunities to eligible participants in a
variety of fields. For instance, these might include Day Care, and
transportation which are not only opportunities for employment, but
when not available can be serious barriers to employment for TANF
recipients; Environmental Justice initiatives involving activities such
as toxic waste clean-up, water quality management, or Brownfields
remediation; health-related jobs such as Home Health Aides or medical
support services; and non-traditional jobs for women and minorities.
B. Creation of Jobs and Employment Opportunities
The requirement for creation of new, full-time permanent employment
opportunities (jobs) applies to all applications. OCS has determined
that the creation of non-traditional job opportunities for women or
minorities in industries or activities where they currently make up
less than ten per cent of the work force (see definitions) meets the
requirements of the JOLI legislation for the creation of new employment
opportunities. OCS continues to solicit other JOLI applications to
propose the creation of jobs through the expansion of existing
businesses, the development of new businesses, or the creation of
employment opportunities through self-employment/microenterprise
development.
Proposed projects must show that the jobs and/or business/self
employment opportunities to be created under this program will
contribute to achieving self-sufficiency among the target population.
The employment opportunities should provide hourly wages that exceed
the minimum wage and also provide benefits such as health insurance,
child care, and career development opportunities.
C. Cooperative Partnership Agreement With the Designated Agency
Responsible for the Temporary Assistance for Needy Families (TANF)
Program
A formal, cooperative relationship between the applicant and the
designated State agency responsible for administering the Temporary
Assistance for Needy Families (TANF) program (as provided for under
title IV-A of the Social Security Act), as amended, in the area served
by the project is a requirement for funding. The application must
include a signed, written agreement between the applicant and the
designated State agency responsible for administering the TANF program,
or a letter of commitment to such an agreement within 6 months of a
grant award (contingent only on receipt of OCS funds). The agreement
must describe the cooperative relationship, including specific
activities and/or actions each of these entities propose to carry out
over the course of the grant period in support of the project.
The agreement, at a minimum, must cover the specific services and
activities that will be provided to the target population. (See
Attachment I for a list of the State IV-A agencies administering TANF)
D. Third-Party Project Evaluation
Proposals must include provision for an independent,
methodologically sound evaluation of the effectiveness of the
activities carried out with the grant and their efficacy in creating
new jobs and business opportunities. There must be a well defined
Process Evaluation, and an Outcome Evaluation whose design will permit
tracking of project participants throughout the proposed project
period. The evaluation must be conducted by an independent evaluator,
i.e., a person with recognized evaluation skills who is
organizationally distinct from, and not under the control of, the
applicant. It is important that each successful applicant have a third-
party evaluator selected, and performing at the very latest by the time
the work program of the project is begun, and if possible before that
time so that he or she can participate in the final design of the
program, in order to assure that data necessary for the evaluation will
be collected and available.
E. Economic Development Strategy
As noted above, the Congress, in the Conference Report on the FY
1992 appropriation, directed ACF to require economic development
strategies as part of the application process for JOLI to ensure that
highly qualified organizations participate in the demonstration.
Accordingly, applicants must include in their proposal an explanation
of how the proposed project is integrated with and supports a larger
economic development strategy within the target community. Where
appropriate, applicants should document how they were involved in the
preparation and planned implementation of a comprehensive community-
based strategic plan, such as that required for applying for
Empowerment Zones/Enterprise Community (EZ/EC) status, to achieve both
economic and human development in an integrated manner, and how the
proposed project supports the goals of that plan. (See Part IV, Sub-
Element III(b).)
F. Training and Support for Micro-Business Development
In the case of proposals for creating self-employment micro-
business opportunities for eligible participants, the applicant must
detail how it will provide training and support services to potential
entrepreneurs. The assistance to be provided to potential entrepreneurs
must include, at a minimum: (1) Technical assistance in basic business
planning and management concepts, (2) assistance in preparing a
business plan and loan application, and (3) access to business loans.
G. Support for Noncustodial Parents
Last November, the Office of Community Services and the Office of
Child Support Enforcement, both in the Administration for Children and
Families, signed a Memorandum of Understanding (MOU) to foster and
enhance partnerships between OCS grantees and local Child Support
Enforcement (CSE) agencies. (See Attachment N for the list of CSE State
Offices that can identify local CSE agencies) In the words of the MOU:
The purpose of these partnerships will be to develop and
implement innovative strategies in States and local communities to
increase the capability of low-income parents and families to
fulfill their parental responsibilities. Too many low-income parents
are without jobs or resources needed to support their children. A
particular focus of these partnerships will be to assist low-income,
noncustodial parents of children receiving Temporary Assistance for
Needy
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Families to achieve a degree of self-sufficiency that will enable
them to provide support that will free their families of the need
for such assistance.'' Accordingly, a rating factor and a review
criterion have been included in this Program Announcement which will
award two points to applicants who have entered into partnership
agreements with their local CSE agency to provide for referrals to
their project in accordance with provisions of the OCS-OCSE MOU.
(See Part IV, Sub-Element III(c))
H. Technical Assistance to Employers
Technical assistance should be specifically addressed to the needs
of the private employer in creating new jobs to be filled by eligible
individuals and/or to the individuals themselves in areas such as job-
readiness, literacy and other basic skills training, job preparation,
self-esteem building, etc. Financial assistance may be provided to the
private employer as well as to the individual.
If the technical and/or financial assistance is to be provided to
pre-identified businesses that will be expanded or franchised, written
commitments from the businesses to create the planned jobs must be
included with the application.
I. Applicant Experience and Cost-per-Job
In the review process, favorable consideration will be given to
applicants with a demonstrated record of achievement in promoting job
and enterprise opportunities for low-income people. Favorable
consideration also will be given to those applicants who show the
lowest cost-per-job created for low-income individuals. For this
program, OCS views $15,000 in OCS funds as the maximum amount for the
creation of a job and, unless there are extenuating circumstances, will
not fund projects where the cost-per-job in OCS funds exceeds this
amount. Only those jobs created and filled by low-income people will be
counted in the cost-per-job formula. (See Part IV, Sub-Element III(d).)
J. Loan Funds
The creation of a revolving loan fund with funds received under
this program is an allowable activity. However, OCS encourages the use
of funds from other sources for this purpose. Points will be awarded in
the review process to those applicants who leverage funds from other
sources. (See Part IV, Element V.) Loans made to eligible beneficiaries
for business development activities must be at or below market rate.
Note: Interest accrued on revolving loan funds may be used to
continue or expand the activities of the approved project.
K. Dissemination of Project Results
Applications should include a plan for disseminating the results of
the project after expiration of the grant period. Applicants may budget
up to $2,000 for dissemination purposes. Final Project Reports should
include a description of dissemination activities with copies of any
materials produced.
L. General Projects 1.0 and Community Development Corporations Set-
Aside 2.0
The Office of Community Services expects to award approximately $5
million by September 30, 1997 for new grants under this announcement:
$4 million for General Projects 1.0, and $1 million set-aside for
Community Development Corporations 2.0. (For definition of Community
Development Corporation, See Part I, Section B.)
The same purposes, requirements and prohibitions are applicable to
proposals submitted under both General Projects 1.0. and Community
Development Corporations Set-Aside 2.0.
Applications for the set-aside funds which are not funded due to
the limited amount of funds available will also be considered
competitively within the larger pool of eligible applicants.
Part IV--Application Elements and Review Criteria
Applications which pass the pre-rating review will be assessed and
scored by reviewers. Each reviewer will give a numerical score for each
application reviewed. These numerical scores will be supported by
explanatory statements on a formal rating form describing major
strengths and weaknesses under each applicable criterion published in
the Announcement.
The in-depth assessment and review process will use the following
criteria coupled with the specific requirements described in Part III.
Scoring will be based on a total of 100 points.
The ultimate goals of the projects to be funded under the JOLI
Program are: (1) To achieve, through project activities and
interventions, the creation of employment opportunities for TANF
recipients and other low-income individuals which can lead to economic
self-sufficiency of members of the communities served; (2) to evaluate
the effectiveness of these interventions and of the project design
through which they were implemented; and (3) thus to make possible the
replication of successful programs. As noted here, 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 evaluate 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 30 letter-sized pages of 12 c.p.i. type or equivalent on a single
side will not be reviewed for funding. Applicants should prepare and
assemble their project description using the following outline of
required project elements. They should, furthermore, build their
project concept, plans, and application description upon the guidelines
set forth for each of the project elements.
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 30 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 new
employment or business opportunities for AFDC recipients and other low
income individuals that can lead to a transition from dependency to
economic self-sufficiency;
(3) Propose a realistic budget and time frame for the project that
will support the successful implementation of the work plan to achieve
the project's goals in a timely and cost effective manner; and
(4) Provide for the testing and evaluation of the project design,
implementation, and outcomes so as to make possible replication of a
successful program.
Element I: Organizational Experience in Program Area and Staff Skills,
Resources and Responsibilities
(Total Weight of 0-20 points in proposal review.)
Sub Element I(a). Agency's Experience and Commitment in Program Area
(Weight of 0-10 points in proposal review)
Applicants should cite their organization's capability and relevant
experience in developing and operating programs which deal with poverty
problems similar to those to be addressed by the proposed project. They
[[Page 24939]]
should also cite the organization's experience in collaborative
programming and operations which involve evaluations and data
collection. Applicants should identify agency executive leadership in
this section and briefly describe their involvement in the proposed
project and provide assurance of their commitment to its successful
implementation.
The application should include documentation which briefly
summarizes two similar projects undertaken by the applicant agency and
the extent to which the stated and achieved performance targets,
including permanent benefits to low-income populations, have been
achieved. The application should note and justify the priority that
this project will have within the agency including the facilities and
resources that it has available to carry it out.
It is suggested that applicants use no more than 2 pages for this
Sub-Element.
Note: The maximum number of points will be given only to those
organizations with a demonstrated record of achievement in promoting
job creation and enterprise opportunities for low-income people.
Sub Element I(b). Staff Skills, Resources and Responsibilities
(Weight of 0-10 points in proposal review)
The application must identify the two or three individuals who will
have the key responsibility for managing the project, coordinating
services and activities for participants and partners, and for
achieving performance targets. The focus should be on the
qualifications, experience, capacity and commitment to the program of
the Executive Officials of the organization and the key staff persons
who will administer and implement the project. The person identified as
Project Director should have supervisory experience, experience in
finance and business, and experience with the target population.
Because this is a demonstration project within an already-established
agency, OCS expects that the key staff person(s) would be identified,
if not hired.
The application must also include a resume of the third party
evaluator, if identified or hired; or the minimum qualifications and a
position description for the third-party evaluator, who must be a
person with recognized evaluation skills who is organizationally
distinct from, and not under the control of, the applicant. (See
Element IV, Project Evaluation, below, for fuller discussion of
Evaluator qualifications.)
Actual resumes of key staff and position descriptions should be
included in an Appendix to the proposal.
It is suggested that applicants use no more than 3 pages for this
Sub-Element.
Element II. Project Theory, Design, and Plan
(Total Weight of 0-30 points in proposal review.)
OCS seeks to learn from the application why and how the project as
proposed is expected to lead to the creation of new employment
opportunities for low-income individuals which can lead to significant
improvements in individual and family self-sufficiency.
Applicants are urged to design and present their project in terms
of a conceptual cause-effect framework. In the following paragraphs a
framework is described that suggests a way to present a project so as
to show the logic of the cause-effect relations between project
activities and project results. Applicants don't have to use the exact
language described; but it is important to present the project in a way
that makes clear the cause-effect relationship between what the project
plans to do and the results it expects to achieve.
Sub-Element II(a). Description of Target Population, Analysis of Need,
and Project Assumptions
(Weight of 0-10 points in application review.)
The project design or plan should begin 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 population to be served; about the current services available to
that population, 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 project participants.
In other words, the underlying assumptions of the program are the
applicant's analysis of the needs and problems to be addressed by the
project, and the applicant's theory of how its proposed interventions
will address those needs and problems to achieve the desired result.
Thus a strong application is based upon a clear description of the
needs and problems to be addressed and a persuasive understanding of
the causes of those problems.
In this sub-element of the proposal the applicant must precisely
identify the target population to be served. The geographic area to be
impacted should then be briefly described, citing the percentage of
residents who are low-income individuals and TANF recipients, as well
as the unemployment rate, and other data that are relevant to the
project design.
The application should include an analysis of the identified
personal barriers to employment, job retention and greater self-
sufficiency faced by the population to be targeted by the project.
(These might include such problems as illiteracy, substance abuse,
family violence, lack of skills training, health or medical problems,
need for childcare, lack of suitable clothing or equipment, or poor
self-image.) Application also includes an analysis of the identified
community systemic barriers which the project will seek to overcome.
These might include lack of jobs (high unemployment rate); lack of
public transportation; lack of markets; unavailability of financing,
insurance or bonding; inadequate social services (employment service,
child care, job training); high incidence of crime; inadequate health
care; or environmental hazards (such as toxic dumpsites or leaking
underground tanks). Applicants should be sure not to overlook the
personal and family services and support that might be needed by
project participants after they are on the job which will enhance job
retention and advancement. If the jobs to be created by the proposed
project are themselves designed to fill one or more of the needs, or
remove one or more of the barriers so identified, this fact should be
highlighted in the discussion (e.g. jobs in childcare, health care, or
transportation).
It is suggested that applicants use no more than 4 pages for this
Sub-Element.
Sub-Element II(b). Project Strategy and Design: Interventions,
Outcomes, and Goals
(Weight of 0-10 points in proposal review.)
The work plan must describe the proposed project activities, or
interventions, and explain how they are expected to result in outcomes
which will meet the needs of the program participants and assist them
to overcome the identified personal and systemic barriers to
employment, job retention and self-sufficiency. In other words, what
will the project staff do with the resources provided to the project
and how will what they do (interventions) assist in the creation of
employment and business opportunities for program participants in the
face of the needs and problems that have been identified.
The underlying assumptions concerning client needs and the theory
of how they can be effectively
[[Page 24940]]
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.
The applicant should describe the major activities, or
interventions, which are to be carried out to address the needs and
problems identified in Sub-Element II(a); and should discuss the
immediate changes, or outcomes, which are expected to result. These are
the results expected from each service or intervention immediately
after it is provided. For example, a job readiness training program
might be expected to result in clients having increased knowledge of
how to apply for a job, improved grooming for job interviews, and
improved job interview skills; or business training and training in
bookkeeping and accounting might be expected to result in project
participants making an informed decision about whether they were suited
for entrepreneurship.
At the next level are the intermediate outcomes which result from
these immediate changes. Often an intermediate project outcome is the
result of several immediate changes resulting from a number of related
interventions such as training and counseling. Intermediate outcomes
should be expressed in measurable changes in knowledge, attitudes,
behavior, or status/condition. In the above examples, the immediate
changes achieved by the job readiness program, coupled with technical
assistance to an employer in the expansion of a business could be
expected to lead to intermediate outcomes of creation of new job
openings and the participant applying for a job with the company. The
acquisition of business skills, coupled with the establishment of a
loan fund, could be expected to result in the actual decision to go
into a particular business venture or seek the alternative track of
pursuing job readiness and training.
Finally, the application should describe how the achievement of
these intermediate outcomes will be expected to lead to the attainment
of the project goals: Employment in newly created jobs, new careers in
non-traditional jobs, successful business ventures, or employment in an
expanded business, depending on the project design. Applicants must
remember that if the major focus of the project is to be the
development and start-up of a new business or the expansion of an
existing business, then a Business Plan which follows the outline in
Attachment L to this announcement must be submitted as an Appendix to
the Proposal.
Applicants don't have to use the exact terminology described above,
but it is important to describe the project in a way that makes clear
the expected cause-and-effect relationship between what the project
plans to do--the activities or interventions, the changes that are
expected to result, and how those changes will lead to achievement of
the project goals of new employment opportunities and greater self-
sufficiency. The competitive review of this Sub-Element will be based
on the extent to which the application makes a convincing case that the
activities to be undertaken will lead to the projected results.
It is suggested that applicants use no more than 4 pages for this
Sub-Element.
Sub-Element II(c). Work Plan
(Weight of 0-10 points in proposal review)
Once the project strategy and design framework 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, staff, 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.
Applicant may be able to use a simple Gantt or time line chart to
convey the work plan in minimal space.
It is suggested that applicants use no more than 3 pages for this
Sub-Element.
Element III. Significant and Beneficial Impact
(A total weight of 0-20 points in proposal review.)
Sub-Element III(a). Quality of Jobs/Business Opportunities
(Weight of 0-10 points in proposal review.)
The proposed project is expected to produce permanent and
measurable results that will reduce the incidence of poverty in the
community and lead welfare recipients from welfare dependency toward
economic self-sufficiency. Results are expected to be quantifiable in
terms of: The creation of permanent, full-time jobs; the development of
business opportunities; the expansion of existing businesses; or the
creation of non-traditional employment opportunities. In developing
business opportunities and self-employment for TANF recipients and low-
income individuals the applicant proposes, at a minimum, to provide
basic business planning and management concepts, and assistance in
preparing a business plan and loan package.
The application should document that:
--The business opportunities to be developed for eligible participants
will contribute significantly to their progress toward self-
sufficiency; and/or
--Jobs to be created for eligible participants will contribute
significantly to their progress toward self-sufficiency. For example,
they should provide salaries that exceed the minimum wage, plus
benefits such as health insurance, child care and career development
opportunities.
It is suggested that applicants use no more than 3 pages for this
Sub-Element.
Sub-Element III(b). Community Empowerment Consideration
(Weight of 0--3 points in proposal review.)
Special consideration will be given to applicants who are located
in areas which are characterized by conditions of extreme 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 violence, gang activity or drug use.
Applicants should document that in response to these conditions they
have been involved in the preparation and planned implementation of a
comprehensive community-based strategic plan to achieve both economic
and human development in an integrated manner; and how the proposed
project will support the goals of that plan.
It is suggested that applicants use no more than 2 pages for this
Sub-Element.
Sub-Element III(c). Support for Noncustodial Parents
(Weight of 0-2 points in proposal review.)
Applicants who have entered into partnership agreements with local
Child Support Enforcement Agencies to develop and implement innovative
[[Page 24941]]
strategies to increase the capability of low-income parents and
families to fulfill their parental responsibilities; and specifically,
to this end, to provide for referrals to the funded projects of
identified income eligible families and noncustodial parents
economically unable to provide child support, will also receive special
consideration.
To receive the full credit of two points, applicants should include
as an attachment to the application, a signed letter of agreement with
the local CSE Agency for referral of eligible noncustodial parents to
the proposed project.
It is suggested that applicants use no more than 1 page for this
Sub-Element.
Sub-Element III(d). Cost-per-Job
(Weight of 0-5 points in proposal review)
The Application should document that during the project period the
proposed project will create new, permanent jobs through business
opportunities or non-traditional employment opportunities for low-
income residents at a cost-per-job below $15,000 in OCS funds. The cost
per job should be calculated by dividing the total amount of grant
funds requested (e.g. $420,000) by the number of jobs to be created
(e.g. 60) which would equal the cost-per-job ($7,000)). If any other
calculations are used, include the methodology and rationale in this
section. In making calculations of cost-per-job, only jobs filled by
low-income project participants may be counted. (See Part III, Section
I.)
Note: Except in those instances where independent reviewers
identify extenuating circumstances related to business development
activities, the maximum number of points will be given only to those
applicants proposing cost-per-job created estimates of $5,000 or
less of OCS requested funds. Higher cost-per-job estimates will
receive correspondingly fewer points.
It is suggested that applicants use no more than 1 page for this
Sub-Element.
Element IV. Project Evaluation
(Weight of 0-15 points in the proposal review)
Sound evaluations are essential to the JOLI 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 the project activities, or interventions,
achieved the expected outcomes and goals of the project, and what those
outcomes were (the Outcome Evaluation). Together, the Process and
Outcome Evaluations should answer the question ``why did this program
work/not work?''.
Applicants are not being asked to submit a complete and final
Evaluation Plan as part of their proposal; but they must include:
(1) A well thought through 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 it is important that each successful applicant
have a third-party evaluator selected and performing at the very latest
by the time the work program of the project is begun, and if possible
before that time so that he or she can participate in the final design
of the program, and in order to assure that data necessary for the
evaluation will be collected and available. Plans for selecting an
evaluator should be included in the application narrative. A third-
party evaluator must have knowledge about and have experience in
conducting process and outcome evaluations in the job creation field,
and have a thorough understanding of the range and complexity of the
problems faced by the target population.
The competitive procurement regulations (45 CFR Part 74, Sections
74.40-74.48, esp. 74.43) apply to service contracts such as those for
evaluators.
It is suggested that applicants use no more than 3 pages for this
proposal Element, plus the Resume or Position Description for the
evaluator, which should be in an Appendix.
Element V. Public-Private Partnerships
(Weight of 0-10 points in the proposal review.)
The proposal should briefly describe the public-private
partnerships which will contribute to the implementation of the
project. Where partners' contributions to the project are a vital part
of the project design and work program, the narrative should describe
undertakings of the partners, and a partnership agreement, specifying
the roles of the partners and making a clear commitment to the
fulfilling of the partnership role, must be included in an Appendix to
the Proposal. The firm commitment of mobilized resources must be
documented and submitted with the Application in order to be given
credit under this Element. The application should meet the following
criteria:
--All JOLI applications must include a signed cooperative partnership
agreement with the designated State Agency responsible for
administering the TANF Program, or a letter of commitment to such an
agreement within six months of a grant award, contingent only on
receipt of OCS funds. This cooperative partnership agreement must fully
describe the activities and services to be provided which must clearly
relate to the objectives of the proposed project.
--The application should provide documentation that public and/or
private sources of cash and/or third-party in-kind contributions will
be available, in the form of letters of commitment from the
organization(s)/individual(s) from which resources will be received.
Applications that can document dollar for dollar contributions equal to
the OCS funds and demonstrate that the partnership agreement clearly
relates to the objectives of the proposed project, will receive the
maximum number of points for this criterion. Lesser contributions will
be given consideration based upon the value documented. (Note: Even
though there is no matching requirement for
[[Page 24942]]
the JOLI Program, grantees will be held accountable for any match, cash
or in-kind contribution proposed or pledged as part of an approved
application. (See Part II, D. Mobilization of Resources)
--Partners involved in the proposed project should be responsible for
substantive project activities and services. Applicants should note
that partnership relationships are not created via service delivery
contracts.
It is suggested that applicants use no more than 4 pages for this
Proposal Element.
Element VI. Budget Appropriateness and Reasonableness
(Weight of 0-5 points in proposal review.)
Applicants are required to submit Federal budget forms with their
proposals to provide basic applicant and project information (SF 424)
and information about how Federal and other project funds will be used
(424A). (See Part VI) Immediately following the completed Federal
budget forms, (Attachments B, C and D) applicants must submit a Budget
Narrative, or explanatory budget information which includes a detailed
budget break-down for each of the budget categories in the SF-424A.
This Budget Narrative is not considered a part of the Project
Narrative, and does not count as part of the thirty pages; but rather
is included in the application following the budget forms. (Attachments
B, C, and D)
The duration of the proposed project and the funds requested in the
budget must be commensurate with the level of effort necessary to
accomplish the goals and objectives of the project. The budget
narrative should briefly explain how grant funds will be expended and
show the appropriateness of the Federal funds and any mobilized
resources to accomplish project purposes within the proposed timeframe.
The estimated cost to the government of the project should be
reasonable in relation to the project's duration and to the anticipated
results, and include reasonable administrative costs, if an indirect
cost rate has not been negotiated with the cognizant Federal agency.
Resources in addition to OCS grant funds are encouraged both to
augment project resources and to strengthen the basis for continuing
partnerships to benefit the target community. The amounts of such
resources, their appropriateness to the project design, and the
likelihood that they will continue beyond the project time frame will
be taken into account in judging the application. As noted in Element
V, above, even though there is no matching requirement for the JOLI
Program, grantees will be held accountable for any match, cash or in-
kind contribution proposed or pledged as part of an approved
application.
Applicants should include funds in the project budget for travel by
Project Directors and Chief Evaluators to attend two national
evaluation workshops in Washington, D.C. (See Part VIII, Evaluation
Workshops.)
THE SCORE FOR THIS ELEMENT WILL BE BASED ON THE BUDGET FORM (SF-
424A) AND THE ASSOCIATED DETAILED BUDGET NARRATIVE.
Part V--Application Procedures and Selection Process
A. Availability of Forms
Attachment C contains all of the standard forms necessary for the
application for awards under this OCS program. These forms may be
photocopied for the application. This Announcement and the attachments
to it contain all of the instructions required for submittal of
applications.
Copies of the Federal Register containing this Announcement are
available at most local libraries and Congressional District Offices
for reproduction. This Announcement is also accessible on the Internet
through GPO Access at the web address listed at the beginning of this
Announcement under FOR FURTHER INFORMATION CONTACT.
If copies are not available at these sources, you may write or
telephone the office listed at the beginning of this Announcement under
the same heading.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace, debarment
regulations and the Certification Regarding Environmental Tobacco
Smoke, set forth in Attachments E, F and J.
Part IV contains instructions for the substance and development of
the project narrative. Part VII, Section A describes the contents and
format of the application as a whole.
B. Application Submission
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern Time Zone) on the date indicated at the beginning of this
Announcement under ``Closing Date''. Applications received after 4:30
p.m. on that date will be classified as late. Applications once
submitted are considered final and no additional materials will be
accepted.
Number of Copies: One signed original application and four copies
should be submitted at the time of initial submission. (OMB-0970-0062)
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services,
Administration for Children, and Families, Office of Program Support,
Division of Discretionary Grants, 370 L'Enfant Promenade, SW., Mail
Stop 6C-462, Washington, DC 20447; Attention: Application for JOLI
Program. Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the applications
are received on or before the deadline time and date.
Applications hand carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8 a.m. and 4:30 p.m., at the U.S. Department of
Health and Human Services, Administration for Children and Families,
Division of Discretionary Grants, ACF Mail Room, 2nd Floor Loading
Dock, Aerospace Center, 901 D Street, SW., Washington, DC 20024,
between Monday and Friday (excluding Federal holidays). (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadline: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc.,
widespread disruption of the mails, or when it is anticipated that many
of the applications will come from rural or remote areas. However, if
ACF does not extend the deadline for all applicants, it may not waive
or extend the deadline for any applicants.
C. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public Law 104-13, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
Program Announcements. An agency may not conduct or sponsor, and a
[[Page 24943]]
person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number. This Program
Announcement does not contain information collection requirements
beyond those approved for ACF grant announcements/applications under
OMB Control Number OMB-0970-0062.
D. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Program and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska, Colorado,
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, 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 twenty-three jurisdictions need take no action
regarding E.O. 12372. Applicants for projects to be administered by
Federally-recognized Indian Tribes are also exempt from the
requirements of E.O. 12372. Otherwise, applicants should contact their
SPOCs as soon as possible to alert them of the prospective applications
and receive any necessary instructions. Applicants must submit any
required material to the SPOCs as soon as possible so that the program
office can obtain and review SPOC comments as part of the award
process. It is imperative that the applicant submit all required
materials, if any, to the SPOC and indicate the date of this submittal
(or the date of contact if no submittal is required) on the Standard
Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has sixty (60) days from the
application deadline to comment on proposed new or competing
continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to differentiate clearly between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Mail Stop 6C-462, Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G to this Announcement.
E. Application Consideration
Applications that meet the screening requirements below will be
reviewed competitively. Such applications will be referred to reviewers
for numerical scoring and explanatory comments based solely on
responsiveness to the guidelines and evaluation criteria published in
this Announcement.
Applications will be reviewed by persons outside of the OCS unit.
The results of these reviews will assist the Director and OCS program
staff in considering competing applications. Reviewers' scores will
weigh heavily in funding decisions, but will not be the only factors
considered. Applications generally will be considered in order of the
average scores assigned by reviewers. However, highly ranked
applications are not guaranteed funding since other factors are taken
into consideration, including, but not limited to, the timely and
proper completion of projects funded with OCS funds granted in the last
five (5) years; comments of reviewers and government officials; staff
evaluation and input; the amount and duration of the grant requested
and the proposed project's consistency and harmony with OCS goals and
policy; geographic distribution of applications; previous program
performance of applicants; the limitations on project continuation or
refunding (see Part II, Section H); the number of previous JOLI grants
made to applicant; compliance with grant terms under previous HHS
grants, including the actual dedication to program of mobilized
resources as set forth in project applications; audit reports;
investigative reports; and applicant's progress in resolving any final
audit disallowances on previous OCS or other Federal agency grants.
In grant programs where non-Federal reviewers are used to evaluate
applications, applicants may omit, from the application copies which
will be made available to the non Federal reviewers, the specific
salary rates or amounts for individuals identified in the application
budget. Rather, only summary information is required.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to verify the applicant's performance
record and the documents submitted.
F. Criteria for Screening Applications
All applications that meet the published deadline requirements as
provided in this Program Announcement will be screened for completeness
and conformity with the requirements. Only complete applications that
meet the requirements listed below will be reviewed and evaluated
competitively. Other applications will be returned to the applicants
with a notation that they were unacceptable and will not be reviewed.
The following requirements must be met by all applications:
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 C and D, of this Program Announcement.
b. A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be limited to 30
pages, typewritten on one side of the paper only with one-inch margins
and type face no smaller than 12 characters per inch (cpi) or
equivalent. The Budget Narrative, Charts, exhibits, resumes, position
descriptions, letters of support, Cooperative Agreements, and Business
Plans (where required) are not counted against this page limit. IT IS
STRONGLY RECOMMENDED THAT APPLICANTS FOLLOW THE FORMAT AND CONTENT FOR
THE NARRATIVE SET OUT IN PART IV.
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.
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).
d. Application must contain documentation of the ]applicant's tax
exempt status as required under Part II, Section A.
Part VI--Instructions for Completing the SF-424
(Approved by the Office of Management and Budget under Control Number
0970-0062.)
The standard forms attached to this Announcement shall be used to
apply for funds under this Program Announcement.
[[Page 24944]]
It is suggested that you reproduce single-sided copies of the SF-
424 and SF-424A, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms (Attachments B and C) as modified by the OCS specific
instructions set forth below:
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
A. SF-424--Application for Federal Assistance
Top of Page. Please enter the single priority area number under
which the application is being submitted (1.0 or 2.0). An application
should be submitted under only one priority area.
Where the applicant is a previous Department of Health and Human
Services grantee, enter the Central Registry System Employee
Identification Number (CRS/EIN) and the Payment Identifying Number, if
one has been assigned, in the Block entitled Federal Identifier located
at the top right hand corner of the form (third line from the top).
Item 1. For the purposes of this Announcement, all projects are
considered Applications; there are no Pre-Applications.
Item 7. Enter N in the box and specify non-profit corporation on
the line marked Other.
Item 9. Name of Federal Agency--Enter HHS-ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this Announcement is 93.593. The title is ``Job
Opportunities for Low-Income Individuals Program''.
Item 11. In addition to a brief descriptive title of the project,
indicate the priority area for which funds are being requested. Use the
following letter designations:
JO--General Project
JS--Community Development Corporation Set-Aside
Item 13. Proposed Project--The ending date should be based on the
requested project period, not to exceed five years (60 months).
Item 15a. This amount should be no greater than $500,000.
Item 15b-e. These items should reflect both cash and third-party,
in-kind contributions for the three year budget period requested.
B. SF-424A--Budget Information--Non-Construction Programs
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS funds only, and Non-Federal will include
mobilized funds from all other sources--applicant, state, local, and
other. Federal funds other than requested OCS funding should be
included in ``Non-Federal'' entries.
Sections A, B, and C of SF-424A should reflect budget estimates for
each year of the budget period for which funding is being requested
(one, two, or three years, as appropriate).
Section A--Budget Summary
You need only fill in lines 1 and 5 (with the same amounts) Col.
(a): Enter Job Opportunities for Low-Income Individuals Program. Col.
(b): Catalog of Federal Domestic Assistance number is 93.593.
Col. (c) and (d): Not relevant to this program.
Column (e)-(g): Enter the appropriate amounts (column e should not
be more than $500,000.)
Section B--Budget Categories
(Note that the following information supersedes the instructions
provided with the Form SF-424A in Attachment C.) Columns (1)-(5): For
each of the relevant Object Class Categories:
Column 1: Enter the OCS grant funds for the first year;
Column 2: Enter the OCS grant funds for the second year (where
appropriate);
Column 3: Enter the OCS grant funds for the third year (where
appropriate);
Column 4: Leave blank.
Column 5: Enter the total federal OCS grant funds for the total
budget period by Class Categories, showing a total budget of not more
than $500,000.
Note: With regard to Class Categories, only out-of-town travel
should be entered under Category c. Travel. Local travel costs
should be entered under Category h. Other. Equipment costing less
than $5000 should be included in Category e. Supplies.
Section C--Non-Federal Resources
This section is to record the amounts of ``non-Federal'' resources
that will be used to support the project. ``Non-Federal'' resources
mean other than the OCS funds for which the applicant is applying.
Therefore, mobilized funds from other Federal programs, such as the Job
Training Partnership Act program, should be entered on these lines.
Provide a brief listing of these ``non-Federal'' resources on a
separate sheet and describe whether it is a grantee-incurred cost or a
third-party cash or in-kind contribution. The firm commitment of these
resources must be documented and submitted with the application in
order to be given credit in the review process under the Public-Private
Partnerships program element.
Except in unusual situations, this documentation must be in the
form of letters of commitment from the organization(s)/individual(s)
from which resources will be received. (Note: Even though there is no
matching requirement for the JOLI Program, grantees will be held
accountable for any match, cash or in-kind contribution proposed or
pledged as part of an approved application. (See Part IV, Element V.)
This Section should be completed in accordance with the
instructions provided.
Sections D, E, and F may be left blank.
A supporting Budget Narrative must be submitted providing details
of expenditures under each budget category, and justification of dollar
amounts which relate the proposed expenditures to the work program and
goals of the project. (See Part IV, Element VI)
C. SF-424B Assurances-Non-Construction
All applicants must fill out, sign, date and return the
``Assurances'' with the application. (See Attachment D.)
Part VII--Contents of Application and Receipt Process
A. Contents of Application
Each application submission should include a signed original and
four additional copies of the application. Each application should
include the following in the order presented:
1. Table of Contents;
2. 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.)
3. Budget Information-Non-Construction Programs--(SF-424A);
4. A narrative budget justification for each object class category
required under Section B, SF-424A;
[[Page 24945]]
5. Certifications and Assurance Required for Non-construction
Programs, as follows:
Applicants requesting financial assistance for a non-construction
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs''. Applicants must sign and return the Standard
Form 424B with their applications.
Applicants must provide a certification concerning Lobbying. Prior
to receiving an award in excess of $100,000, applicants shall furnish
an executed copy of the lobbying certification. Applicants must sign
and return the certification with their application.
Applicants must make the appropriate certification of their
compliance with the Drug-Free Workplace Act of 1988. By signing and
submitting the applications, applicants are providing the certification
and need not mail back the certification with the applications.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification with the
applications. Copies of the certifications and assurance are located at
the end of this Announcement.
6. Certification Regarding Environmental Tobacco Smoke--Signature
on the application attests to the applicants intent to comply with the
requirements of the Pro-Children Act of 1994 (no signature required on
form).
7. An Executive Summary--not to exceed 300 words;
8. A Project Narrative of no more than 30 pages, consisting of the
Elements described in Part IV of this Announcement set forth in the
order there presented; preceded by a consecutively numbered Table of
Contents (not to be counted as part of the 30 pages).
9. Appendices--proof of non-profit tax-exempt status as outlined in
Part II, Section A; proof that the organization is a community
development corporation, if applying under the CDC Set-aside;
commitments from officials of businesses that will be expanded or
franchised, where applicable; partnership agreement with the designated
State TANF agency and CSE agency; Single Point of Contact comments, if
applicable; resumes and position descriptions; a Business Plan, where
required; and the Maintenance of Effort Certification (See Part II-J
and Attachment M).
The total number of pages for the narrative portion of the
application package must not exceed 30 pages, excluding Appendices and
Narrative Table of Contents.
Pages should be numbered sequentially throughout, including
Appendices, beginning with the SF 424 as Page 1.
The application may also contain letters that show collaboration or
substantive commitments to the project by organizations other than the
designated TANF agency. Such letters are not part of the narrative and
should be included in the Appendices. These letters are, therefore, not
counted against the 30 page limit.
B. Application Format
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8 \1/2\ X 11 inch paper only.
Applications must not include colored, oversized or folded materials.
Applications should not include organizational brochures or other
promotional materials, slides, films, clips, etc. in the proposal. Such
materials will not be reviewed and will be discarded if included.
Applications must not be bound or enclosed in loose-leaf binder
notebooks. Preferably, applications should be two-holed punched at the
top center and fastened separately with a compressor slide paper
fastener, or a binder clip.
C. Acknowledgement of Receipt
Applicants who meet the initial screening criteria outlined in Part
V, Section E, 1, will receive within ten days after the deadline date
for submission of applications, 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
notice. This mailing label should reflect the mailing address of the
authorizing official who is applying on behalf of the organization.
This number and the program letter code, i.e., JO or JS, must be
referred to in all subsequent communications with OCS concerning the
application. If an acknowledgement is not received within three weeks
after the deadline date, please notify ACF by telephone (202) 401-9234.
Part VIII--Post Award Information and Reporting Requirements
A. Notification of Grant Award
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which provides the amount of Federal funds approved
for use in the project, the project and budget period for which support
is provided, the terms and conditions of the award, and the total
project period for which support is contemplated.
B. Attendance at Evaluation Workshops
Project directors and chief evaluators will be required to attend
two national evaluation workshops in Washington, DC. A three-day
program development and evaluation workshop will be scheduled shortly
after the effective date of the grant. They also will be required to
attend, as presenters, the final three-day evaluation workshop on
utilization and dissemination to be held at the end of the project
period. Project budgets must include funds for travel to and attendance
at these workshops. (See Part IV, Element VI, Budget Appropriateness
and Reasonableness.)
C. Reporting Requirements
Grantees will be required to submit semi-annual program progress
and financial reports (SF 269) as well as a final program progress and
financial report within 90 days of the expiration of the grant. An
annual evaluation report will be due 30 days after each twelve months.
A written policies and procedures manual based on the findings of the
process evaluation should be submitted along with the first annual
evaluation report. A final evaluation report will be due 90 days after
the expiration of the grant.
D. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR parts 74
(non-profit organization) and OMB Circular A-133.
E. Prohibitions and Requirements with regard to Lobbying
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or
[[Page 24946]]
$150,000 for loans) the law requires recipients and their subtier
contractors and/or subgrantees (1) to certify that they have neither
used nor will use any appropriated funds for payment to lobbyists, (2)
to submit a declaration setting forth whether payments to lobbyists
have been or will be made out of non-appropriated funds and, if so, the
name, address, payment details, and purpose of any agreements with such
lobbyists whom recipients or their subtier contractors or subgrantees
will pay with the non-appropriated funds and (3) to file quarterly up-
dates about the use of lobbyists if an event occurs that materially
affects the accuracy of the information submitted by way of declaration
and certification. The law establishes civil penalties for
noncompliance and is effective with respect to contracts, grants,
cooperative agreements and loans entered into or made on or after
December 23, 1989. See Attachment H, for certification and disclosure
forms to be submitted with the applications for this program.
F. Applicable Federal Regulations
Attachment K indicates the regulations which apply to all
applicants/grantees under the Job Opportunities for Low-Income
Individuals Program.
Dated: May 1, 1997.
Donald Sykes,
Director, Office of Community Services.
Attachment A
------------------------------------------------------------------------
Poverty
Size of family unit guidelines
------------------------------------------------------------------------
1997 Poverty Income Guidelines for the 48 Contiguous States and the
District of Columbia
1....................................................... $7,890
2....................................................... 10,610
3....................................................... 13,330
4....................................................... 16,050
5....................................................... 18,770
6....................................................... 21,490
7....................................................... 24,210
8....................................................... 26,930
For family units with more than 8 members, add $2,720 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
1997 Poverty Income Guidelines for Alaska
------------------------------------------------------------------------
1....................................................... 9,870
2....................................................... 13,270
3....................................................... 16,670
4....................................................... 20,070
5....................................................... 23,470
6....................................................... 26,870
7....................................................... 30,270
8....................................................... 33,670
For family units with more than 8 members, add $3,400 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
1997 Poverty Income Guidelines for Hawaii
------------------------------------------------------------------------
1....................................................... 9,070
2....................................................... 12,200
3....................................................... 15,330
4....................................................... 18,460
5....................................................... 21,590
6....................................................... 24,720
7....................................................... 27,850
8....................................................... 30,980
For family units with more than 8 members, add $3,130 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-P
[[Page 24947]]
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BILLING CODE 4184-01-C
[[Page 24948]]
Instructions for the SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
This is 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
spaces(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use of 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 of 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 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 allowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 24949]]
[GRAPHIC] [TIFF OMITTED] TN07MY97.002
[[Page 24950]]
[GRAPHIC] [TIFF OMITTED] TN07MY97.003
BILLING CODE 4184-01-C
[[Page 24951]]
Instructions for the SF 424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
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 function 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 of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g).
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the total 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 in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k, should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals in Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount of Line 5. Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of the
Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment D--Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send
[[Page 24952]]
comments regarding the burden estimate or any other aspect of this
collection of information, including suggestions for reducing this
burden, to the Office of Management and Budget, Paperwork Reduction
Project (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
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 duty 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
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award: and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 CFR 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (Pub. L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (19 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. Sec. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (Pub. L. 92-255), as amended, relating to nondiscrimination on
the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act to 1970
(Pub. L. 91-616), as amended, relating to nondiscrimination on the
basis on the basis of alcohol abuse or alcoholism; (g) Secs. 523 and
527 of the Public Health Service Act of 1919 (42 U.S.C. 290 dd-3 and
290 ee-3), as amended, relating to confidentiality of alcohol and
drug abuse patient records; (h) Title VIII of the Civil Rights At of
1968 (42 U.S.C. Sec. 360 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; an (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirement of
Titles II and III of the Uniform Relocation Assistance an Real
Property Acquisition Policies Act of 1970 (Pub .L. 91-646 which
provide for fair and equitable treatment of person 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 purpose regardless of Federal
participation in purchases.
8. Will comply, as applicable, 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. Secs. 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 (Pub. L. 93-234) which requires recipients in a special
flood hazard area to participate in the program and to purchase
flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 ( 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
action to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended. (P.L. 93-523); and (h) protection of endangered species
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the award 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 of 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
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984 or
OMB Circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal Laws, executive orders, regulations and policies governing
this program.
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted
Attachment E
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central pint is: Division of Grants Managment and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements (Instructions
for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which
[[Page 24953]]
reliance is placed when the agency awards the grant. If it is later
determined that the grantee knowingly rendered a false
certification, or otherwise violates the requirements of the Drug-
Free Workplace Act, the agency, in addition to any other remedies
available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.
3. For grantees other than individuals. Alternate I applies.
4. For grantees who are individuals. Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substances means a controlled substance in Schedule I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contenaere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distibuiton, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g.), volunteers, even if used to meet
a matching requirement; consultants or independent contractors not
on the grantee's payroll; or employees of sub recipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to an including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e), and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time} if there are workplaces on file that are not
identified here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[55 FR 21690, 21702, May 25, 1990]
Attachment F--Certification Regarding Debarment, Suspension, and Other
Responsibility Matter--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary
[[Page 24954]]
covered transaction, principal, proposal, and voluntarily excluded,
as used in this clause, have the meanings set out in the Definitions
and Coverage sections of the rules implementing Executive Order
12549. You may contact the department or agency to which this
proposal is being submitted for assistance in obtaining a copy of
those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principles is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
[[Page 24955]]
Attachment G--OMB State Single Point of Contact Listing; September 1996
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone: (916)
323-7480, FAX: (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact, Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. Dev., 717 14th Street, NW., Suite 500, Washington, DC 20005,
Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, SW., Room 40IJ, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Virginia Bova, State Single Point of Contact, Illinois Department of
Commerce and Community Affairs, James R. Thompson Center, 100 West
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312)
814-6028, FAX (312) 814-1800
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street, Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 767-4490, FAX: (410) 767-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869
Mississippi
Cathy Mallette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640,
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411. Please direct correspondence and
questions about intergovernmental review to: Linda Wise, Telephone:
(614) 466-0698, FAX: (614) 466-5400
Rhode Island
Daniel W. Varin, Associate Director, Department of Administration,
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083.
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, FAX: (803) 734-0385
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street, 6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,
FAX: (608) 267-6931
Wyoming
Sheryl Jeffries, State Single Point of Contact, Office of the
Governor, State Capitol, Room 124, Cheyenne, WY 82002, Telephone:
(307) 777-5930, FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, Office of Management and
Budget, Office
[[Page 24956]]
of the Governor, Saipan, MP 96950, Telephone: (670) 664-2256, FAX:
(670) 664-2272. Contact person: Ms. Jacoba T. Seman, Federal
Programs Coordinator, Telephone: (670) 664-2289, FAX: (670) 664-2272
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802. Please direct all questions and correspondence
about intergovernmental review to: Linda Clarke, Telephone: (809)
774-0750, FAX: (809) 776-0069
Attachment H--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
[[Page 24957]]
[GRAPHIC] [TIFF OMITTED] TN07MY97.004
BILLING CODE 4184-01-C
[[Page 24958]]
Attachment I--Department of Health & Human Services, Administration for
Children and Families, Office of Family Assistance, Washington, DC
20447
Jobs Program Directory
Alabama
Claire Ealy, Director, Office of Work and Training Services, Family
Assistance, S. Gordon Persons Building 50 Ripley Street, Montgomery,
Alabama 36130, (334) 242-1950 Fax, (334) 242-1086
Alaska
Val Horner, JOBS Program Officer, Division of Public Assistance,
Department of Health and Social Services, P.O. Box 110640, Juneau,
Alaska 99811-0640, (907) 465-5844 Fax (907) 456-5154
Arizona
Gretchen Evans, Administrator, JOBS/Food Stamp Employment and
Training Administration, Dept. of Economic Security, P.O. Box 6123-
710A, Phoenix, Arizona 85005, (602) 542-5954, Fax (602) 542-6310
Arkansas
Debbie Bousquet, Manager, Project SUCCESS, Department of Human
Services, P.O. Box 1437, Mail Slot 1230, Little Rock, Arkansas
72203, (501) 682-8264, Fax (501) 682-1469
California
William Jordan, Acting Chief, Employment & Immigrations Programs
Branch, Department of Social Services, 744 P Street M/S 6-700,
Sacramento, California 95814, (916) 657-3442, Fax (916) 654-1516
Colorado
Mary Kay Cook, Program Manager, New Directions/JOBS Coordinator,
Department of Human Services 1575 Sherman Street, Denver, Colorado
80203, (303) 866-2643, Fax (303) 866-5098
Connecticut
Nancy Wiggett, Program Manager, Planning Supervisor, Family Support
Team Department of Social Services 25 Sigourney Street, Hartford,
Connecticut 06106-5033, (860) 424-5329, Fax (860) 424-4966
Delaware
Rebecca Varella, Chief Administrator, Employment and Training,
Division of Social Services, P.O. Box 906, New Castle, Delaware
19720, (302) 577-4451, Fax (302) 577-4405
District of Columbia
Garland Hawkins, Acting Administrator, Bureau of Training and
Employment Department of Human Services 33 N Street N.E. Washington,
D.C. 20001, (202) 727-1293 Fax (202) 727-6589
Florida
Judith Moon, Project Director, Welfare Reform & Project
Independence, Department of Health and Rehabilitative Services, 1317
Winewood Boulevard, Building 45, Room 421 Tallahassee, Florida
32399-0700 (904) 922-9622 Fax (904) 488-2589
Georgia
Sylvia Elam, Chief, Employment Services Unit Division of Family and
Children Services Department of Human Resources 2 Peachtree Street
14th Floor, Room 318 Atlanta, Georgia 30303, (404) 657-3737, Fax
(404) 657-3755
Guam
Julia Berg, Administrator, Bureau of Economic Security, P.O. Box
2816, Agana, Guam 96910, (011-671) 734-7286,
Hawaii
Garry Kemp, Administrator, Self-Sufficiency & Support Services
Division, Department of Human Services 1001 Bishop Street, Suite
900, Honolulu, Hawaii 96813, (808) 586-7054, Fax (808) 586-5180
Idaho
Kathy James, Bureau Chief, Bureau of Family Self Support, Department
of Health and Welfare/FACS, P.O. Box 83720, 450 West State Street
7th Floor Boise, Idaho 83720-0036, (208) 334-6618, Fax (208) 334-
6664
Illinois
Karan Maxson, Administrator, Division of Planning and Community
Services, Department of Public Aid, 100 S. Grand, 2nd Floor,
Springfield, Illinois 62762, (217) 785-3300, Fax (217) 785-0875
Indiana
Jim Martin, Program Manager, IMPACT, Family Social Service
Administration 402 W. Washington, Room W 363 Indianapolis, Indiana
46204, (317) 232-2002, Fax (317) 232-4615
Iowa
Doug Howard, Coordinator, Employment and Training Programs,
Department of Human Services, Fifth Floor, Hoover State Office
Building, Des Moines, Iowa 50319, (515) 281-8629, Fax (515) 281-7791
Kansas
Phyllis Lewin, Director, Employment Preparation Services, Department
of Social and Rehabilitation Services, DSOB, 915 SW Harrison,
Topeka, Kansas 66612-1500, (913) 296-3349, Fax (913) 296-0146
Kentucky
Sharon Perry, Staff Assistant, Office for Families and Children,
Department of Social Insurance, Cabinet for Human Resources, 275 E.
Main Street, Frankfurt, Kentucky 40621, (502) 564-3703, Fax (502)
564-6907
Louisiana
John Jett, Director, Project Independence, Department of Social
Services, P.O. Box 94065, Baton Rouge, Louisiana 70804-9065, (504)
342-2511, Fax (504) 342-2536
Maine
Barbara Van Burgel, ASPIRE Coordinator, Bureau of Family
Independence, Department of Human Services, Statehouse Station, #11,
32 Winthrop Street, Augusta, Maine 04333, (207) 287-3309, Fax (207)
287-5096
Maryland
Charlene Gallion, Executive Director, Office of Project Independence
Management, Department of Human Resources, Room 714, 311 W. Saratoga
Street, Baltimore, Maryland 21201, (410) 767-7119, Fax (410) 333-
0832
Massachusetts
Dolores Lewis, Director, Employment Services Program, Department of
Transitional Assistance, 600 Washington Street, Boston,
Massachusetts 02111, (617) 348-5931, Fax (617) 727-9153
Michigan
Daniel Cleary, Director, Office of Employ. Policy Coord., Department
of Social Services, 235 S. Grand Avenue, Suite 504, P.O. Box 30037,
Lansing, Michigan 48909, (517) 335-0015, Fax (517) 335-6453
Minnesota
Bonnie Becker, Director, Self-Sufficiency Program, Department of
Human Services, 444 Lafayette Road, St. Paul, Minnesota 55155, (612)
296-2499, Fax (612) 296-1818
Mississippi
Richard Berry, Director, Office of JOBS, Mississippi Department of
Social Services, 750 North State Street, 5th Floor, Jackson,
Mississippi 39202, (601) 359-4854, Fax (601) 359-4860
Missouri
Denise Cross, Assistant Deputy Director of Welfare Reform, Income
Maintenance, Division of Family Services, P.O. Box 88, Jefferson
City, Missouri 65103, (573) 751-3124, Fax (573) 526-4837
Montana
Linda Currie, JOBS Program Specialist, Self-Sufficiency Team,
Department of Social and Rehabilitation Services, P.O. Box 4210,
Helena, Montana 59604, (406) 444-4099, Fax (406) 444-2547
Nebraska
Margaret Hall, Public Assistance Administrator, Public Assistance
Division, Department of Social Services, 301 Centennial Mall South,
P.O. Box 95026, Lincoln, Nebraska 68509, (402) 471-3121, Fax (402)
471-9455
Nevada
John Alexander, Employment & Training Coordinator, Nevada State
Welfare Division, Capitol Complex, 2527 North Carson Street, Carson
City, Nevada 89710 (702) 687-4143, Fax (702) 687-1079
New Hampshire
Arthur Chicaderis, JOBS Administrator, Employment Support Services,
Office of Economic Services, Division of Human Services, Department
of Health and Human Services, 6 Hazen Drive, Concord, New Hampshire
03301-6521, (603) 271-4249, Fax (603) 271-4637
New Jersey
Karen Highsmith, Acting Director, Division of Family Development,
Department of Human Services, CN 716, 6 Quakerbridge Plaza, Trenton,
New Jersey 08625, (609) 588-2411, Fax (609) 588-3391
New Mexico
Marise McFadden, Bureau Chief for Family Self-Sufficiency, Income
Support Division,
[[Page 24959]]
Human Services Department, P.O. Box 2348, Santa Fe, New Mexico
87500, (505) 827-7262, Fax (505) 827-7203
New York
Ms. Patricia A. Stevens, Deputy Commissioner, Department of Social
Services, Division of Temporary Assistance, 40 North Pearl Street,
Albany, New York 12243, (518) 474-9222, Fax (518) 474-9347
North Carolina
Pheon Beal, Assoc. Employment Programs Section, Department of Human
Resources, 325 North Salisbury Street, Raleigh, North Carolina
27611, (919) 733-2873, Fax (919) 715-5457
North Dakota
Gloria House, JOBS Administrator, Department of Human Services, 600
E. Boulevard, Bismarck, North Dakota 58505-0250, (701) 328-4005, Fax
(701) 328-1544
Ohio
Joel Rabb, Director, Bureau of Welfare Reform and JOBS, Department
of Human Services, State Office Tower, 31st Floor, 30 East Broad
Street, Columbus, Ohio 43266-0423, (614) 466-3196, Fax (614) 728-
2984
Oklahoma
Raymond Haddock, Division Administrator, Family Services Division,
Department of Human Services, P.O. Box 25352, Oklahoma City,
Oklahoma 73125,
(405) 521-3076, Fax (405) 521-4158
Oregon
Susan Smit, JOBS Services Manager, Department of Human Resources,
Adult and Family Services 500 Summer Street, N.E., Salem, Oregon
97310-1013, (503) 945-6115, Fax (503) 373-7200
Pennsylvania
David Florey, Director, Bureau of Employment and Training Program,
Department of Public Welfare, P.O. Box 2675, Harrisburg,
Pennsylvania 17105, (717) 787-8613, Fax (717) 787-6765
Puerto Rico
Myrta Monges, JOBS Director, Department of the Family,
Administration of Social Economic Development, Isla Grande, Building
#10, P.O. Box 11398, Santurce, Puerto Rico 00910, (809) 722-0045,
Fax (809) 722-0275
Rhode Island
Sherry Campanelli, Associate Director, Community Services,
Department of Human Services, 600 New London Avenue, Cranston, Rhode
Island 02920, (401) 464-2423, Fax (401) 464-1876
South Carolina
Hiram Spain, Director, Business Industrial Relations, Office of
Family Independence, P.O. Box 1520, Columbia, South Carolina 29202,
(803) 737-5916, Fax (803) 734-6093
South Dakota
Julie Osnes, Food Stamps Administrator, Office of Family
Independence, Department of Social Services, 700 Governors Drive,
Pierre, South Dakota 57501, (605) 773-3493, Fax (605) 773-6843
Tennessee
Wanda Moore, Director of Program Services, Department of Human
Services, 12th Floor, 400 Deadericks, Nashville, Tennessee 37248,
(615) 313-4866, Fax (615) 741-4165
Texas
Irma Bermea, Deputy Commissioner for, Customer Self Support, DHS,
P.O. Box 149030, MC E-309, Austin, Texas 78714-9030, (512) 450-4140,
Fax (512) 438-4318
Utah
Helen Thatcher, Assistant Director, Office of Family Support,
Department of Human Services 120 North 200 West, Salt Lake City,
Utah 84145-0500, (801) 538-8231, Fax (801) 538-4212
Vermont
Steve Gold, Director, REACH-UP Program, Department of Social
Welfare, State Office Building, 103 South Main Street, Waterbury,
Vermont 05676, (802) 241-2834
Virgin Islands
Ermin Boshulte, Director, Public Assistance Programs, Department of
Human Services, Financial Programs Division, Knud Hansen Complex--
Building A, 1303 Hospital Ground, Charlotte Amalie, V.I. 00802,
(809) 774-4673
Virginia
David Olds, Program Manager, Employment Services, Department of
Social Services, 730 E. Broad Street, 2nd Floor, Richmond, Virginia
23219-1849, (804) 692-1229, Fax (804) 692-2209
Washington
Liz Dunbar, Director, Division of Employment & Social Services,
Department of Social and Health Services, P.O. Box 45470, 1009
College Street S.E. Olympia, Washington 98504-5470, (360) 438-8400,
Fax (360) 438-8258
West Virginia
Sharon Paterno, Director, Office of Family Support, Department of
Health and, Human Resources, Building 6, State Capitol Office
Complex, Charleston, West Virginia 25305, (304) 558-5203, Fax (304)
558-3240
Wisconsin
J. Jean Rogers, Administrator, Division of Economic Support,
Department of Health and Social Services, P.O. Box 7935, 1 West
Wilson Street, Madison, Wisconsin 53707-7935, (608) 266-3035, Fax
(608) 261-6376
Wyoming
Ken Kaz, Welfare Reform Program Manager, Program and Policy
Division, Department of Family Services, Hathaway Building, Third
Floor, 2300 Capitol Avenue, Cheyenne, Wyoming 82002-0490, (307) 777-
5841, Fax (307) 777-3693
Attachment J--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 routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for the children's services and that all subgrantees
shall certify accordingly.
Attachment K--DHHS Regulations Applying to All Applicants/ Grantees
Under the Job Opportunities for Low-Income Individuals (JOLI) Program
Title 45 of the Code of Federal Regulations:
Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants and sub-grants to
entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal
Assistance through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Regulation for the Administration and Enforcement of
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap
in Programs or Activities Conducted by the Department of Health and
Human Services
Part 86 Nondiscrimination on the Basis of Sex in Education Programs
and Activities Receiving or Benefiting from Federal Financial
Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial
Assistance
Part 92--Uniform Administrative Requirements for Grants and
Cooperative Agreements to States and Local Governments (Federal
Register, March 11, 1988)
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human
Services Programs and Activities
[[Page 24960]]
Attachment L--Business Plan
The business plan is one of the major components that will be
evaluated by OCS to determine the feasibility of a jobs creation
project. A business plan must be included if, the applicant is
proposing to establish a new identificated business, or if the
applicant will be providing assistance to a private third-party
employer for the development or expansion of a pre-identified
business.
The following guidelines were written to cover a variety of
possibilities regarding the requirements of a business plan. Rigid
adherence to them is not possible nor even desirable for all
projects. For example, a business plan for a service business would
not require discussion of manufacturing nor product designs.
Therefore, the business plans should be prepared in accordance with
the following guidelines:
1. The business and its industry. This section should describe
the nature and history of the business and include background on its
industry.
a. The Business: as a legal entity; the general business
category;
b. Description and Discussion of Industry: Current status and
prospects for the industry.
2. Products and Services: This section deals with the following:
a. Description: Describe in detail the products or services to
be sold;
b. Proprietary Position: Describe proprietary features, if any,
of the product, e.g. patents, trade secrets; and,
c. Potential: Features of the product or service that may give
it an advantage over the competition.
3. Market Research and Evaluation: This section should present
sufficient information to show that the product or service has a
substantial market and can achieve sales in the face of competition;
a. Customers: Describe the actual and potential purchasers for
the product or service by market segment;
b. Market Size and Trends: State the size of the current total
market for the product or service offered;
c. Competition: An assessment of the strengths and weaknesses of
competitive products and services; and,
d. Estimated Market Share and Sales: Describe the
characteristics of the product or service that will make it
competitive in the current market.
4. Marketing Plan: The marketing plan must describe what is to
be done, how it will be done and who will do it. The marketing plan
should detail the product, pricing, distribution, and promotion
strategies that will be used to achieve the estimated market share
and sales projections. The plan should address the following
topics--Overall Marketing Strategy, Packaging, Service and Warranty,
Pricing, Distribution and Promotion.
5. Design and Development Plans: This section of the plan should
cover items such as Development Status, Tasks, Difficulties and
Risks, Product Improvement, New Products and Costs. If the product,
process or service of the proposed venture requires any design and
development before it is ready to be placed on the market, the
nature and extent and cost of this work should be fully discussed.
6. Manufacturing and Operations Plan: A manufacturing and
operations plan should describe the kind of facilities, plant
location, space, capital equipment and labor force (part and/or full
time and wage structure) that are required to provide the company's
product or service.
7. Management Team: This section must include a description of:
the key management personnel and their primary duties; compensation
and/or ownership; the organizational structure; Board of Directors;
management assistance and training needs; and, supporting
professional services. The management team is key in starting and
operating a successful business. The management team should be
committed with a proper balance of technical, managerial and
business skills, and experience in operating the proposed business.
8. Overall Schedule: This section must include a month-by-month
schedule that shows the timing of such major events, activities and
accomplishments involving product development, market planning,
sales programs, and production and operations. Sufficient detail
should be included to show the correlation between the timing of the
primary tasks required to accomplish each activity.
9. Critical Risks and Assumptions: This section should include a
description of the risks and critical assumptions/problems relating
to the industry, the venture, its personnel, the product's market
appeal, and the timing and financing of the venture. Identify and
discuss the critical assumptions/problems to overcome in the
Business Plan. Major problems must clearly identify problems to be
solved to develop the venture.
10. Community Benefits: The applicant should describe how the
proposed project will contribute to the local economy, community and
human economic development within the project's target area.
11. The Financial Plan: The Financial Plan is basic to the
development of a Business Plan. Its purpose is to indicate the
project's potential and the timetable for financial self-sufficiency
of the business. In developing the Financial Plan, the following
exhibits must be prepared for the first three years of 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.
12. Facilities. If rearrangement or alteration of existing
facilities is required to implement the project, the applicant must
describe and justify such changes and related costs.
Attachment M--Certification Regarding Maintenance of Effort
In accordance with the applicable program statute(s) and
regulation(s), the undersigned certifies that financial assistance
provided by the Administration for Children and Families, for the
specified activities to be performed under the Job Opportunities for
Low-Income Individuals Program by ____________________, will be in
addition to, and not in substitution for, comparable activities
previously carried on without Federal assistance.
----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Date
Attachment N--Updated--February 6, 1997
State Child Support Enforcement Agencies
Alabama
Philip Browning, Director, Department of Human Resources, Division
of Child Support, 50 Ripley Street, Montgomery, AL 36130-1801, Phone
(334) 242-9300, FAX: (334) 242-0606
Alaska
Glenda Straube, Director, Child Support Enforcement Division, 550
West 7th Avenue, 2nd Floor, Anchorage, AK 99501-6699, Phone (907)
269-6804, FAX: (907) 269-6868
American Samoa
Fainuulelei L. Ala'ilima-Uta, Assistant Attorney General, Office of
the Attorney General, P.O. Box 7, Pago Pago, American Samoa 96799,
Phone (684)633-7161 or 633-4163, FAX: (684) 633-1838
Arizona
Nancy Mendoza, IV-D Director, Division of Child Support Enforcement,
Department of Economic Security, P.O. Box 40458, Site Code 021A,
Phoenix, AZ 85067, (Street Address: 3443 N.Central Avenue, 4th
Floor, Phoenix, AZ 85012), Phone (602) 274-7646, FAX: (602) 274-8250
Arkansas
Ed Baskin, Administrator, Office of Child Support Enforcement,
Division of Revenue, P.O. Box 8133, 712 W. 3rd Street ZIP 72203,
Little Rock, AR 72203, Phone (501)682-6169, FAX (501) 682-6002
California
Leslie Frye, Chief, Office of Child Support, 744 P Street, Mail Stop
17-29, Sacramento, CA 95814, Phone (916) 654-1556, FAX: (916) 653-
8690
Colorado
Pauline Burton, Director, Division of Child Support Enforcement,
Department of Human Services, 1575 Sherman Street, 2nd floor,
Denver, CO 80203-1714, Phone (303) 866-5992, FAX: (303) 866-2214
Connecticut
Anthony DiNallo, Director, Bureau of Child Support Enforcement,
Department of Social Services, 25 Sigourney Street, Hartford, CT
06106, Phone (860) 424-5251, FAX: (860) 951-2996
Delaware
Barbara A. Paulin, Director, Division of Child Support Enforcement,
Department of Health and Social Services, Herman Hallaway Campus,
P.O. Box 904, New Castle, DE 19720, (Street Address: 1901
[[Page 24961]]
North Dupont Hwy), Phone (302) 577-4807, FAX: (302) 577-4873
District of Columbia
Lee Colhoun, Acting Director, Bureau of Paternity and Child Support
Enforcement, 800 9th St, S.W. 2nd floor, Washington, DC 20024-2480,
Phone (202) 645-7500, FAX: (202) 645-4123
Florida
Barry A. Gladden, Director, Child Support Enforcement Program,
Department of Revenue, P.O. Box 8030, Tallahassee, FL 32314-8030,
Street address: 325 West Gaines Street, Tallahassee, FL 32399-3150,
Phone (904) 922-9590, FAX: (904) 488-4401
Georgia
Robert Riddle, Director, Child Support Enforcement, Department of
Human Resources, (2 Peachtree Street, N.W., Suite 15-107,Zip 30303),
P.O. Box 38450, Atlanta, GA 30334-0450, Phone (404) 657-4081, FAX:
(404) 657-3326
Guam
Margot Bean, Deputy Attorney General, Child Support Enforcement
Unit, Department of Law, 238 Archbishop F.C. Flores Street, Suite
701, Pacific News Building, Agana, GU 96910, Phone (671) 475-3360 or
475-3363, FAX: (671) 477-6118, FIPS Code GU66010
Hawaii
Mike Meaney, Administrator, Child Support Enforcement Agency,
Department of Attorney General, 680 Iwi lei Road, Suite 490,
Honolulu, HI 96817, (P.O.Box 1860, Honolulu 96805-1860), Phone (808)
587-3698, FAX: (808) 587-3716
Idaho
Shannon Barnes, Chief, Bureau of Child Support Services, Department
of Health and Welfare, (450 West State Street,6th Floor Zip 83702),
P.O. Box 83720, Boise, ID 83720-0036, Phone (208) 334-5711, FAX:
(208) 334-0666
Illinois
Dianna Durham-McLoud, Administrator, Child Support Enforcement
Division, Illinois Department of Public Aid, 32 W. Randolph Street,
Rm 923, Chicago, Il 60601, Phone (217) 524-4602, FAX: (217) 524-4608
Indiana
Bryan Richards, Director, Child Support Bureau, 402 West Washington
Street, Rm W360, Indianapolis, IN 46204, Phone (317) 232-4877, FAX:
(317) 233-4925
Iowa
Jim Hennessey, Director, Bureau of Collections, Department of Human
Services, Hoover Building--5th Floor, Des Moines, IA 50319, Phone
(515) 281-5580, FAX: (515) 281-8854
Kansas
James Robertson, Administrator, Child Support Enforcement Program,
Department of Social & Rehabilitation Services, P.O. Box 497,
Topeka, KS 66601, (Street Address: 300 S.W. Oakley Street, Biddle
Bldg, Topeka, KS 66606), Phone (913) 296-3237, FAX (913) 296-5206
Kentucky
Steven P. Veno, Director, Division of Child Support Enforcement,
Cabinet for Human Resources, 275 East Main Street, Frankfort, KY
40621, Phone (502) 564-2285; ext. 404, FAX: (502) 564-5988
Louisiana
Gordon Hood, Director, Support Enforcement Services, Office of
Family Support, P.O. Box 94065, Baton Rouge, LA 70804-4065, (Street
Address: 618 Main Street, zip 70804), Phone (504) 342-4780, FAX:
(504) 342-7397
Maine
Colburn Jackson, Director, Division of Support Enforcement and
Recovery, Bureau of Income Maintenance, Department of Human
Services, State House Station 11 Whitten Road, Augusta, ME 04333,
Phone (207) 287-2886, FAX: (207) 287-5096
Maryland
Clifford Layman, Executive Director, Child Support Enforcement
Administration, 311 West Saratoga Street, Baltimore, MD 21201, Phone
(410) 767-7674 or 767-7358, FAX: (410) 333-8992
Massachusetts
Jerry J. Fay, Deputy Commissioner, Child Support Enforcement
Division, Department of Revenue, 141 Portland Street, Cambridge, MA
02139-1937, Phone (617) 577-7200, ext. 30482, FAX: (617) 621-4991
Michigan
Wallace Dutkowski, Director, Office of Child Support, Department of
Social Services, P.O. Box 30478, Lansing, MI 48909-7978, (Street
Address: 7109 W. Saginaw Hwy., Lansing, MI 30478), Phone (517) 373-
7570, FAX: (517) 373-4980
Minnesota
Laura Kadwell, Director, Office of Child Support Enforcement,
Department of Human Services, 444 Lafayette Road, 4th floor, St
Paul, MN 55155-3846, Phone (612) 297-8232, FAX: (612) 297-4450
Mississippi
Richard Harris, Director, Division of Child Support Enforcement,
Department of Human Services, P.O. Box 352, Jackson, MS 39205,
(Street Address: 750 N. State Street, Jackson, MS 39202), Phone
(601) 359-4861, FAX: (601) 359-4415
Missouri
Teresa Kaiser, Director, Division of Child Support Enforcement,
Department of Social Services, (227 Metro Drive), P.O. Box 1527,
Jefferson City, MO 65102-1527, Phone (573) 751-1374, FAX: (573) 751-
8450
Montana
Mary Ann Wellbank, Administrator, Child Support Enforcement
Division, Department of Social and Rehabilitation Services, P.O. Box
202943, Helena, MT 59620, (Street Address: 3075 N. Montana Ave.,
Suite 112, Helena, MT 59620), (406) 442-7278, FAX: (406) 442-1370
Nebraska
Daryl D. Wusk, CSE Administrator, Child Support Enforcement Office,
Department of Social Services, P.O. Box 95026, Lincoln, NE 68509,
(Street Address: 301 Centennial Mall South, 5th Floor, Lincoln, NE
68509), Phone (402) 471-9390, FAX: (402) 471-9455
Nevada
Leland Sullivan, Chief, Child Support Enforcement Program, Nevada
State Welfare Division, 2527 North Carson Street, Capitol complex,
Carson City, NV 89710, Phone (702) 687-4744, FAX: (702) 684-8026
New Hampshire
William H. Mattil, Administrator, Office of Child Support, Office of
Program Support, Health and Human Services Building, 6 Hazen Drive,
Concord, NH 03301, Phone (603) 271-4878, FAX: (603) 271-4787
New Jersey
Karen Highsmith, Director, Bureau of Child Support and Paternity
Programs, Division of Family Development, Department of Human
Services, CN 716, Trenton, NJ 08625-0716, Phone (609) 588-2402, FAX:
(609) 588-3369
New Mexico
Ben Silva, Director, Child Support Enforcement Bureau, Department of
Human Services, P.O. Box 25109, Santa Fe, NM 87504, (Street Address:
2025 S. Pacheco, Santa Fe, NM 87504), Phone (505) 827-7200, FAX:
(505) 827-7285
New York
Robert Doar, Director, Office of Child Support Enforcement,
Department of Social Services, P.O. Box 14, Albany, NY 12260-0014,
(Street Address: One Commerce Plaza, Albany, NY 12260), Phone (518)
474-9081, FAX: (518) 486-3127
North Carolina
Michael Adams, Chief, Child Support Enforcement Section, Division of
Social Services, Department of Human Resources, 100 East Six Forks
Road, Raleigh, NC 27609-7750, Phone (919) 571-4120 ext. 306, FAX:
(919) 571-4126
North Dakota
William Strate, Director, Child Support Enforcement Agency,
Department of Human Services, P.O. Box 7190, Bismarck, ND 58507-
7190, (Street Address: 1929 North Washington Street, Bismarck, ND
58507-7190), Phone (701) 328-3582, FAX: (701) 328-5497
Ohio
Loretta Adams, Deputy Director, Office of Family Assistance and
Child Support Enforcement, Department of Human Services, 30 East
Broad Street, 31st Floor, Columbus, OH 43266-0423, Phone (614) 752-
6561, FAX: (614) 752-9760
Oklahoma
Herbert Jones, Acting Administrator, Child Support Enforcement
Division, Department of Human Services, P.O. Box 53552, Oklahoma
City, OK 73125, (Street Address:
[[Page 24962]]
2409 N. Kelley Avenue, Annex Building, Oklahoma City, OK 73111),
Phone (405) 522-5871, FAX: (405) 522-2753
Oregon
Phil Yarnell, Director, Oregon Child Support Program, Adult and
Family Services Division, Department of Human Resources, P.O. Box
14170, Salem, OR 97309, (Street Address: 260 Liberty Street N.E.,
Salem, OR 97310), Phone (503) 986-6148, FAX: (503) 986-6154
Pennsylvania
John F. Stuff, Director, Bureau of Child Support Enforcement,
Department of Public Welfare, P.O. Box 8018, Harrisburg, PA 17105,
(Street Address: 1303 North 7th Street, Harrisburg, PA 17102), Phone
(717) 783-8729, FAX: (717) 787-4936
Puerto Rico
Miguel Verdiales, Administrator, Administration for Child Support,
Department of Social Services, P.O. Box 3349, San Juan, PR 00902,
Phone (787) 767-1886, FAX: (787) 282-8324
Rhode Island
John F. Murphy, Administrator, Department of Administration,
Division of Taxation-Child Support Enforcement, 77 Dorrance Street,
Providence, RI 02903, Phone (401) 277-2966, FAX: (401) 277-2887
South Carolina
Larry J. McKeown, Director, Child Support Enforcement Division,
Department of Social Services, P.O. Box 1469, Columbia, SC 29202-
1469, (Street Address: 3150 Harden Street, Columbia, SC 29202-1469),
Phone (803) 737-5870, FAX: (803) 737-6032
South Dakota
Terry Walter, Program Administrator, Office of Child Support
Enforcement, Department of Social Services, 700 Governor's Drive,
Pierre, SD 57501-2291, Phone (605) 773-3641, FAX: (605) 773-6834
Tennessee
Joyce D. McClaran, Director, Child Support Services, Department of
Human Services, Citizens Plaza Building, 12th Floor, 400 Deadrick
Street, Nashville, TN 37248-7400, Phone (615) 313-4879, FAX: (615)
741-4165
Texas
David Vela, Director, Child Support Division, Office of the Attorney
General, P.O. Box 12017, Austin, TX 78711-2017, (Street Address:
5500 East Oltorf, Rm 37, Austin, TX 78704), Phone (512) 460-6000
ext. 2700, FAX: (512) 479-6478
Utah
James Kidder, Director, Bureau of Child Support Services, Department
of Human Services, P.O. Box 45011, Salt Lake City, UT 84145-0011,
(515 East, 100 South, Salt Lake City, UT 84145-0011), Phone (801)
536-8911, FAX: (801) 536-8509
Vermont
Jeffery Cohen, Director, Office of Child Support, 103 South Main
Street, Waterbury, VT 05671-1901, Phone (802) 241-2319, FAX: (802)
244-1483
Virgin Islands
Aurjul Wilson, Director, Paternity and Child Support Division,
Department of Justice, GERS Building, 2nd Floor, 48B-50C
Krondprindsens Gade, St. Thomas, VI 00802, Phone (809) 775-3070,
FAX: (809) 775-3808
Virginia
Joseph S. Crane, Interim Director, Division of Child Support
Enforcement,Department of Social Services, 730 East Broad Street,
Richmond, VA 23219, Phone (804) 692-1501, FAX: (804) 692-1543
Washington
Meg Sollenberger, Director, Division of Child Support, DSHS, P.O.
Box 9162, Olympia, WA 98507-9162, (Street Address: 712 Pear St., SE,
Olympia, WA 98507), Phone (360) 586-3520, FAX: (360) 586-3274
West Virginia
Jeff Matherly, Acting Director, Child Support Enforcement Division,
Department of Health & Human Resources, Building 6, Room 817, State
Capitol Complex, Charleston, WV 25305, Phone (304) 558-3780, FAX:
(304) 558-2059
Wisconsin
Mary Southwick, Director, Bureau of Child Support, Division of
Economic Support, P.O. Box 7935, Madison, WI 53707-7935, (Street
Address: 1 West Wilson Street, Room 382, Madison, WI 53707), Phone
(608) 266-9909, FAX: (608) 267-2824
Wyoming
James Mohler, Program Manager, Child Support Enforcement Program,
Department of Family Services, Hathaway Building, 2300 Capital
Avenue, Cheyenne, WY 82002-0710, Phone (307) 777-6948, FAX: (307)
777-3693
[FR Doc. 97-11752 Filed 5-6-97; 8:45 am]
BILLING CODE 4184-01-P
