[Federal Register Volume 59, Number 88 (Monday, May 9, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10914]
[[Page Unknown]]
[Federal Register: May 9, 1994]
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Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
Office of Community Services
_______________________________________________________________________
Request for Applications Under the Office of Community Services' Fiscal
Year 1994 Discretionary Grants Program; Notice
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Office of Community Services
[Program Announcement No. OCS-94-9]
Request for Applications Under the Office of Community Services'
Fiscal Year 1994 Discretionary Grants Program
AGENCY: Office of Community Services, Administration for Children and
Families, Department of Health and Human Services.
ACTION: Request for applications under the Office of Community
Services' Discretionary Grants Program.
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SUMMARY: The Administration for Children and Families, Office of
Community Services (OCS) announces that competing applications will be
accepted for new grants pursuant to the Secretary's discretionary
authority under section 681(a)(2) of the Community Services Block Grant
Act of 1981, as amended. This Program Announcement consists of seven
parts:
Part A covers information on legislative authorities and defines
terms used in the Program Announcement;
Part B lists the three program priority areas under which grants
will be made, describes the types of projects that will be considered
for funding under each priority area, and defines which organizations
are eligible to apply;
Part C provides details on application prerequisites, funds
available in each priority area, limitations on grant amounts, project
periods, who should benefit from the programs, and other application
requirements;
Part D describes the application procedures, including the
availability of forms, where and how to submit an application, the
criteria used in screening and evaluating applications, and compliance
with Federal requirements regarding the drug-free workplace and
debarment requirements in submitting the application;
Part E describes the contents of the application package and
receipt process;
Part F provides instructions for completing the SF-424 following
standard Federal guidelines as well as OCS specific requirements, and
describes how the project narrative should be ordered and presented;
and
Part G details post-award information and reporting requirements.
CLOSING DATES: The closing date for submission of applications is June
23, 1994.
FOR FURTHER INFORMATION CONTACT: Office of Community Services, Joseph
D. Reid, Acting Director, Division of Community Discretionary Programs,
Administration for Children and Families, 370 L'Enfant Promenade SW.,
Washington, DC 20447, Telephone (202) 401-9345.
Table of Contents
Part A--Preamble
1. Legislative Authority
2. Departmental Goals
3. Definition of Terms
Part B--Program Priority Areas
Part C--Application Prerequisites
1. Eligible Applicants
2. Availability of Funds
3. Project and Budget Periods
4. Mobilization of Resources
5. Program Beneficiaries
6. Number of Projects in Application
7. Multiple Submittals
8. Sub-contracting or Delegating Projects
9. Previous Performance and Current Grants
Part D--Application Procedures
1. Availability of Forms
2. Application Submission
3. Intergovernmental Review
4. Application Consideration
5. Criteria for Screening Applicants
6, 7 & 8. Criteria for Review and Evaluation of all Applications
Part E--Contents of Application and Receipt Process
1. Contents of Application
2. Acknowledgement of Receipt
Part F--Instructions for Completing Application Package
1. SF-424 Application for Federal Assistance
2. SF-424A Budget Information--Non-Construction Programs
3. SF-424B Assurances--Non-Construction
4. Restrictions on Lobbying Activities
5. Disclosure of Lobbying Activities
6. Project Narrative
Part G--Post Award Information and Reporting Requirements
Part A--Preamble
1. Legislative Authority
Section 681(a)(2) of the Community Services Block Grant Act, as
amended, authorizes the Secretary to make funds available to support
program activities of national or regional significance to alleviate
the causes of poverty in distressed communities.
2. Departmental Goals
This announcement is particularly relevant to the Departmental goal
of strengthening the American family and promoting self-sufficiency.
These programs have objectives of increasing the access of low-income
people to employment-related opportunities, improving job skills, and
improving the integration, coordination, and continuity of the various
HHS (and other Federal Departments') funded services potentially
available to families living in poverty.
3. Definition of Terms
For purposes of this Program Announcement the following definitions
apply:
--Affiliate: A private non-profit entity which has legal and/or
financial ties to a community development corporation, and which also
meets the statutory requirement that it be governed by a board
consisting of residents of the community and business and civic
leaders.
--Community development corporation: A private, locally initiated,
nonprofit entity, governed by a board consisting of residents of the
community and business and civic leaders, which has a record of
implementing economic development projects or whose Articles of
Incorporation and/or By-Laws indicate that it has a focus in the area
of economic development.
--Displaced worker: An individual who is in the labor market but has
been unemployed for six months or longer.
--Distressed community: A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
--Eligible applicant: (See appropriate Priority Area under part B.)
--Indian tribe: A tribe, band, or other organized group of Indians
recognized in the State in which it resides or which is considered by
the Secretary of the Interior to be an Indian tribe or an Indian
organization for any purpose. For the purpose of Priority Area 1.0
(Urban and Rural Community Economic Development) an Indian tribe or
Indian organization is ineligible unless the applicant organization is
a private non-profit community economic development corporation.
--Job Creation: Jobs that were not in existence prior to grant. (NOTE:
Do not confuse this with Job Placement which is putting a person in a
vacant job.)
--Migrant farmworker: An individual who works in agricultural
employment of a seasonal or other temporary nature who is required to
be absent from his/her place of permanent residence in order to secure
such employment.
--Rural: An area that is not within the outer boundary of a
metropolitan entity having a population of 25,000 or more and
contiguous communities with a population density of 100 persons or more
per square mile according to the latest decennial census. Such an area
may be located entirely within one State or made up of contiguous
interstate communities.
--Seasonal farmworker: Any individual employed in agricultural work of
a seasonal or other temporary nature who is able to remain at his/her
place of permanent residence while employed.
--Budget period: The interval of time into which a grant period of
assistance is divided for budgetary and funding purposes.
--Project period: The total time for which a project is approved for
support, including any approved extensions.
--Employment Education and Training Program: A program that provides
education and/or training to welfare recipients, at-risk youth, public
housing tenants, displaced workers, homeless and low-income individuals
and that has demonstrated organizational experience in education and
training for these populations (JOBS, JTPA, etc).
--Technical Assistance: A problem-solving event generally utilizing the
services of an expert. Such services may be provided on-site, by
telephone, or other communications. These services address specific
problems and are intended to assist with the immediate resolution of a
given problem or set of problems.
Part B--Program Priority Areas
The program priority areas of the Office of Community Services'
Discretionary Grants Program are as follows:
Priority Area
1.0 Urban and Rural Community Economic Development.
1.1 Urban and Rural Community Economic Development (Operational).
1.2 Urban and Rural Community Economic Development (HBCU Set-
Aside).
1.3 Urban and Rural Community Economic Development (Pre-
Developmental Set-Aside).
1.4 Technical Assistance (Set-Aside)
Priority Area
2.0 The Planning and Development of Rural Housing (including
rental housing for low-income individuals) and Community Facilities.
2.1 Rural Housing (including rental housing for low-income
individuals).
2.2 Rural Community Facilities Development (Water and Waste Water
Treatment Systems Development).
Priority Area
3.0 Assistance for Migrants and Seasonal Farmworkers.
3.1 Assistance for Migrants and Seasonal Farmworkers (General).
3.2 Assistance for Migrants and Seasonal Farmworkers (HBCU Set-
Aside).
Priority Area 1.0 Urban and Rural Community Economic Development
Eligible applicants are private, locally initiated, non-profit
community development corporations (or private non-profit affiliates of
such corporations) governed by a board consisting of residents of the
community and business and civic leaders which sponsor enterprises
providing employment and business development opportunities for low-
income residents of the community.
The purpose of this priority area is to encourage the creation of
projects intended to provide employment and business development
opportunities for low-income people through business, physical or
commercial development, and generally to improve the quality of the
economic and social environment of low-income residents, including
displaced workers, at-risk teenagers, individuals residing in public
housing, and individuals who are homeless, especially those with
developmental disabilities. It is intended to provide resources to
eligible applicants but also has the broader objectives of arresting
tendencies toward dependency, chronic unemployment, and community
deterioration in urban and rural areas. Sub-Priority Area 1.4 is
intended to provide technical assistance to current Office of Community
Services' grantees who are experiencing problems in urban and rural
community economic development projects.
To this end, the program also seeks to attract additional private
capital into distressed communities, including state enterprise zones,
and to build and/or expand the ability of local institutions to better
serve the economic needs of local residents.
Sub-Priority Area 1.1 Urban and Rural Community Economic Development
(Operational)
Funds will be provided to a limited number of private non-profit
community development corporations (or private non-profit affiliates of
such corporations) for business development activities at the local
level. Funding will be provided for specific projects and will require
the submission of business plans or developmental proposals that meet
the test of economic feasibility.
Projects must further the Departmental goals of strengthening
American families and promoting their self-sufficiency. OCS is
particularly interested in receiving applications that stress public-
private partnerships that are directed toward the development of
economic self-sufficiency through a focus on economic expansion.
Applicants located in State enterprise zones, i.e., an area in
which a legislative entity has enacted a program of tax and regulatory
relief to encourage business development, are urged to submit
applications. Such applicants may request funds for a business
development project or a project that demonstrates innovative ways to
create jobs in the poverty community.
Applications must show that the proposed project:
(1) Creates full-time permanent jobs. Seventy-five percent (75%)
of those jobs created must be filled by low-income residents of the
community and must also provide for career development
opportunities. Project emphasis should be on employment of
individuals who are unemployed or on public assistance, with
particular emphasis on at-risk teenagers, AFDC recipients who are
participating in the JOBS program, individuals residing in public
housing, and individuals who are homeless. While projected
employment in future years may be included in the application, it is
essential that the focus of employment projects concentrate on those
jobs created during the duration of the OCS project period; and/or
(2) Creates a significant number of business development
opportunities for low-income residents of the community or
significantly aids such residents in maintaining economically viable
businesses; and
(3) Provides for establishing the self-sufficiency of program
participants.
In the evaluation process, favorable consideration will be given to
applicants under this priority area who show the lowest cost-per-job
created. Unless there are extenuating circumstances, OCS will not fund
projects where the cost-per-job in OCS funds exceeds $15,000.
In addition, favorable consideration in the evaluation process will
be given to applicants who demonstrate their intention to coordinate
services with the local JOBS office and/or other employment education
and training offices that serve the proposed area. The JOBS or other
employment education and training offices should serve welfare
recipients, at-risk youth, public housing tenants, displaced workers,
homeless and low-income individuals (as defined by DHHS poverty
guidelines). Applicants should submit a written agreement from the JOBS
or other local employment education and training office that indicates
what actions will be taken to integrate/coordinate services that relate
directly to the project for which funds are being requested. The
agreement should include the goals and objectives (including target
groups) that the applicant and the employment education and training
office expect to reach through their collaboration. It should describe
the cooperative relationship, including specific activities and/or
actions each of these entities proposes to carry out in support of the
project, and the mechanism(s) to be used in coordinating those
activities if the project is funded by OCS. Documentation that
illustrates the organizational experience of the employment education
and training program should also be included.
Any applicant which proposes to use the requested OCS funds to make
an equity investment such as the purchase of stock, or a loan to a
business concern, including a wholly-owned subsidiary, or to make a
sub-grant with a portion of the OCS funds, must include in its
application a written agreement with the third party that commits the
latter to the following:
1. A minimum of 75% of the jobs to be created under the grant
will be for low-income individuals.
2. The grantee will have authority to screen applicants for jobs
to be filled by low-income individuals and to verify their
eligibility.
3. The grantee will have a seat on the Board of Directors of the
third party's firm if the grantee's investment equals 25% or more of
the firm's assets. (Not applicable to loans made to third parties.)
4. Reports will be made on a quarterly basis to the grantee on
the use of grant funds.
5. A procedure will be developed to assure that there are no
duplicative counts of jobs created.
6. Detailed information will be provided on how the grant funds
will be used by the third party by submitting a Source and Use of
Funds Statement. In addition, the agreement will provide details on
how the community development corporation will provide support and
technical assistance to the third-party in areas of recruitment and
retention of low-income individuals.
Any funds that are proposed to be used for training purposes must
be limited to providing specific job-related training to those poverty
level individuals who have been selected for employment in the grant
supported project.
OCS encourages applications that create linkages with community
organizations administering the JOBS program which will train and place
residents dependent on public assistance into jobs created by the
project funded under this priority area.
Projects which would result in the relocation of a business from
one geographic area to another with the possible displacement of
employees are discouraged.
OCS will not consider applications that propose to establish or
expand revolving loan funds, nor proposals that are geared towards the
establishment of Small Business Investment Corporations or Minority
Enterprise Small Business Investment Corporations.
OCS does not anticipate approving the funding of applications which
propose to sub-grant all or most of the grant activities to an
unrelated entity.
Applicants must be aware that projects funded under this priority
area must be operational by the end of the project period, i.e.,
businesses must be in place, and low-income individuals actually
employed in those businesses.
See Part F, 6, for special instructions on developing a work
program for this priority area.
Sub-Priority Area 1.2 Urban and Rural Community Economic Development
(HBCU Set-Aside)
For Fiscal Year 1994, a set-aside fund of $2,250,000 will be
included under this priority area for eligible applicants that submit
projects that will be carried out in conjunction with Historically
Black Colleges and Universities through contract or sub-grant. Such
projects must conform to the purposes, requirements and prohibitions
applicable to those submitted under Sub-Priority Area 1.1.
Any funds that are proposed to be used for training must be
directly related to the project and all individuals trained must be
placed in a newly created job or business.
These projects should reflect a significant partnership role for
the college or university, and the applicant in doing so will be
considered to have fulfilled the goals of the Public-Private
Partnerships evaluation criterion and will be granted the maximum
number of points in that category. Applications for these 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 under Sub-Priority Area 1.1.
See Part F, 6, for special instructions on developing a work
program for this priority area.
Sub-Priority Area 1.3 Urban and Rural Community Economic Development
(Pre-Developmental Set-Aside)
OCS intends in this priority area to provide funds to recently-
establishment private, locally initiated non-profit community
development corporations (or affiliates of such corporations) which
propose to undertake economic development activities in distressed
communities.
OCS recognizes that there are a number of newly-organized non-
profit community development corporations who have identified needs in
their communities but who have not had the staff or other resources to
develop projects to address those needs. This lack of resources also
might be affecting their ability to compete for funds, such as those
provided under OCS's Urban and Rural Community Development Program
(Operational Grants) since their limited resources would preclude them
from developing a comprehensive business plan and/or mobilizing
resources. OCS has an interest in providing support to these new
entities in order to enable them to become more firmly established in
their communities, thereby bringing technical expertise and new
resources to these previously unserved or underserved communities.
Therefore, OCS is setting aside $750,000 in Fiscal Year 1994 for grants
to private non-profit community development corporations which have
been in existence for no more than three years and have never received
OCS funding. From this sum, grants of up to $75,000 each will be made
to eligible applicants. These grants will be made for a period of one
year and will not require matching funds.
The grants will be pre-developmental grants under which CDCs or
their affiliates may incur costs to: (1) Evaluate the feasibility of
potential projects which address identified needs in the low-income
community and which conform to those projects and activities allowable
under Sub-Priority Areas 1.1 and 1.2; (2) develop a Business Plan
related to one of those projects; and (3) mobilize resources to be
contributed to projects, including the utilization of Historically
Black Colleges and Universities. Based on the availability of funds in
Fiscal Year 1996, OCS will consider establishing a set-aside to provide
operational funds to those organizations which received pre-
developmental grants. Grants might be for a maximum of $250,000 and
competition for those funds will be restricted to those organizations
receiving Fiscal Year 1994 pre-developmental grants. The Business Plan
developed as a result of the pre-developmental grants would be
submitted as part of the competitive application.
Each application for Fiscal Year 1994 funded under this Priority
Area must include the following as part of the project narrative in
Part IV of the SF-424.
1. Description of the impact area, i.e., a description of the low-
income area it proposes to address;
2. Analysis of need in the distressed community;
3. Project objectives and measurable impact, i.e., a discussion of
the types of projects that might be implemented to address the
identified needs and how the proposed projects relate to the
applicant's organizational goals and previous experience (if any); and
4. Implementation factors and quarterly work plans with specific
task timelines.
Sub-Priority Area 1.4 Technical Assistance
Funds will be awarded under this sub-priority area for the purpose
of providing technical assistance to grantees funded under the Office
of Community Services' Discretionary Grants Program. OCS recognizes
that there are grantees which encounter problems in attempting to
implement their projects. Some of the grantees lack staff capability or
resources to resolve these problems. Therefore, OCS intends to provide
funds to two private, non-profit, locally initiated community
development corporations which will allow these organizations to
provide assistance to other grantees. The grants would be for a maximum
of $250,000 with a grant period not to exceed 17 months. Requests for
assistance would be initiated by OCS with the concurrence of the
grantee to be assisted, or the request could be initiated by the
grantee with the concurrence of OCS. The requests should relate to
specific, identified problems. The assistance may be given on-site, by
telephone, or by other means of communication. Assistance will be
provided free of charge to the grantee by the technical assistance
provider.
Priority Area 2.0 The Planning and Development of Rural Housing
(Including Rental Housing for Low-Income Individuals) and Community
Facilities
Sub-Priority Area 2.1 Rural Housing (Including Rental Housing for Low-
Income Individuals)
Eligible applicants are States, public agencies or private non-
profit organizations, including Historically Black Colleges and
Universities.
The purpose of this priority area is to assist low-income residents
in rural communities by providing grants to eligible applicants to: (a)
Provide technical assistance to help low-income families and
individuals more effectively utilize existing local, State and Federal
housing assistance programs; and (b) develop innovative ways to meet
the housing needs of low-income people, e.g., the rehabilitation or
repair of existing substandard housing units for occupancy by low-
income residents, the conversion of non-residential buildings to low-
income residential use, and the purchase of homes by low-income people.
OCS encourages applications that will assist low-income homeowners
to improve their housing through self-help rehabilitation. These
applications should not include projects which can be funded through
other existing Federal programs.
OCS also encourages the submission of proposals with the aim of
assisting homeless families and those at risk of homelessness.
Innovative ways to address housing needs of homeless families is of
particular interest to OCS.
Projects should produce the following types of tangible
improvements and benefits related to housing conditions for rural poor
people: interior or exterior structural repairs including
weatherization and alternative energy systems; jobs created for local
unskilled residents while assuring quality work; technical assistance
and professional services related to housing and community planning by
community-based design and planning organizations. (Such projects
should be conducted with maximum use of voluntary services of
professional and community personnel, and development of innovative
housing strategies to help low-income rural residents acquire housing.)
Applications calling for new construction or gut rehabilitation
will only be considered if the application documents that there is
insufficient existing housing stock that can be economically
rehabilitated.
Funds will not be available for the repair or rehabilitation of
low-income rental housing unless the structure is either occupied by a
low-income owner or the properties to be repaired are (a) owned by a
private non-profit organization and (b) covered by a written agreement
which will ensure continued occupancy by low-income people for at least
three years after completion of repairs and rehabilitation.
OCS is particularly interested in receiving applications from such
entities as rural housing development corporations, cooperatives, and
other public and private organizations with proven accomplishments in
the area of rural housing.
See Part F, 6, for special instructions on developing a work
program for this priority area.
Sub-Priority Area 2.2 Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)
Funds will be provided under this priority area to help low-income
rural communities develop the capability and expertise to establish
and/or maintain affordable, adequate and safe water and waste water
treatment facilities.
Funds provided under this priority area may not be used for
construction of water and waste water treatment systems or for
operating subsidies for such systems, but other mobilized funds may be
used for these activities. Therefore, it is suggested that applicants
coordinate projects with the Farmers Home Administration (FmHA) and
other Federal and State agencies to ensure that funds for hardware for
local community projects are available.
Eligible applicants are public or private non-profit organizations,
including Historically Black Colleges and Universities. In accordance
with the authorizing legislation, funding priority will be given to
private non-profit organizations that, before the date of the enactment
of the Human Services Reauthorization Act of 1986, carried out such
programs under the authority found at section 681(1)(2)(D) of the
Community Services Block Grant Act.
See Part F.6, for special instructions on developing a work program
for this priority area.
Priority 3.0 Assistance for Migrants and Seasonal Farmworkers
Sub-Priority 3.1 Assistance for Migrants and Seasonal Farmworkers
(General)
Eligible applicants are States, public agencies and private non-
profit organizations, including Historically Black Colleges and
Universities.
The purpose of this priority area is to fund a limited number of
projects which focus exclusively on the problems and special needs of
migrants and seasonal farmworkers in order to improve their quality of
life and advance self-sufficiency.
OCS will entertain proposals that directly meet farmworker needs in
such areas as: Homelessness; crisis nutritional relief; the development
of self-help systems of food production; emergency health and social
services referral and assistance; home repair, rehabilitation, and
ownership; direct assistance to low-income farmworkers, including at-
risk teenagers, to improve their job skills for them to qualify for
long term and permanent full-time employment in agriculture; and/or
assistance to low-income farmworkers, including at-risk teenagers, who
wish to leave agricultural employment and find jobs in other lines of
work. Linkages with the local JOBS program are encouraged wherever
appropriate.
Applicants must provide quantifiable objectives for each of the
above activities which will be included in the project. OCS encourages
applicants to develop linkages with other public and private sector
service providers who also are working with migrant and seasonal
farmworkers or with issues affecting this target group.
For projects that relate to job skills and training, OCS will not
consider applications proposing to use funds exclusively for classroom
instruction. Placement in permanent jobs must be an integral activity
of any training project.
Applications submitted under this priority area must not contain
requests for OCS funding for projects that would duplicate Community
Services Block Grant funding or activities for which funding is
available from other Federal agencies such as the Department of Labor
and the Department of Agriculture's Women, Infants and Children (WIC)
program.
See Part F, 6, for special instructions on developing a work
program for this priority area.
Sub-Priority Area 3.2 Assistance for Migrants and Seasonal Farmworkers
(HBCU Set-Aside)
For Fiscal Year 1994, a fund of $300,000 will be set aside for
Historically Black Colleges and Universities to enable them to offer
continuing education to migrants and seasonal farmworkers and to
increase participant employment opportunities. Applicants must provide
quantifiable objectives for each of the activities which will be
included in the project. Applications which are not funded within this
set-aside due to the limited amount of funds available will also be
considered competitively within the larger pool of eligible applicants
under Sub-Priority Area 3.1.
See Part F, 6, for special instructions on developing a work
program for this priority area.
Part C--Application Prerequisites
1. Eligible Applicants
Priority areas included in this Program Announcement have differing
eligibility requirements. Therefore, eligible applicants are identified
in the individual priority area descriptions found in Part B, above.
2. Availability of Funds
a. FY 1994 Funds. The Office of Community Services expects to award
funds by September 30, 1994 for new grants. The maximum amount of funds
available for each Priority Area is summarized below:
------------------------------------------------------------------------
Fiscal year
Priority area 1994 funds
------------------------------------------------------------------------
1.0Urban and Rural Community Economic Development:........
1.1Urban and Rural Community Economic Development
(Operational)............................................ $18,733,000
1.2Urban and Rural Community Economic Development (HBCU
Set-Aside)............................................... 2,250,000
1.3Urban and Rural Community Economic Development (Pre-
Developmental Set-Aside)................................. 750,000
1.4Technical Assistance (Set Aside)....................... 500,000
2.0Planning and Development of Rural Housing and Community
Facilities Development................................... 5,460,000
3.0Assistance for Migrants and Seasonal Farmworkers.......
3.1Assistance for Migrants and Seasonal Farmworkers
(General)................................................ 2,647,000
3.2Assistance for Migrants and Seasonal Farmworkers (HBCU
Set-Aside)............................................... 300,000
------------------------------------------------------------------------
b. Grant Amounts. No more than the below stated amounts will be
granted for projects under the Priority Areas as indicated:
------------------------------------------------------------------------
Funding
Sub-priority area limit
------------------------------------------------------------------------
1.1......................................................... $700,000
1.2......................................................... 750,000
1.3......................................................... 75,000
1.4......................................................... 250,000
2.1......................................................... 250,000
2.2......................................................... 425,000
3.1......................................................... 250,000
3.2......................................................... 75,000
------------------------------------------------------------------------
3. Project and Budget Periods
For Sub-Priority Areas 1.1, and 1.2, applicants with projects
involving construction only, may request project and budget periods of
up to 36 months. Applicants for other economic development projects
under those priority areas and Sub-Priority Areas 1.4, 2.1, 3.1 and 3.2
may request project and budget periods of up to 17 months. For Sub-
Priority Area 2.2, grantees will be funded for a 12 month project
period. For Sub-Priority Area 1.3, applicants may request project and
budget periods of up to 12 months. By fully funding the projects in FY
94 funding stability in future years will be insured.
4. Mobilization of Resources
OCS encourages and strongly supports mobilization of resources
through public/private partnerships which can mobilize cash and/or
third-party in-kind contributions. (See Part D, Criteria VA.)
5. Program Beneficiaries
Projects proposed for funding under this Announcement must result
in direct benefits to low-income people as defined in the most recent
Annual Revision of Poverty Income Guidelines published by DHHS.
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, DC 20402.
No other government agency or privately-defined poverty guidelines
are applicable for the determination of low-income eligibility for
these OCS programs.
Note, however, that low-income individuals granted lawful temporary
resident status under Sections 245A or 210A of the Immigration and
Nationality Act, as amended by the Immigration Reform and Control Act
of 1986 (Public law 99-603) may not be eligible for direct or indirect
assistance based on financial need under this program for a period of
five years from the date such status was granted.
6. Number of Projects in Application
An application may contain only one project (except for Priority
Areas 1.3, 1.4, and 3.1 where applicants are researching various
opportunities, providing assistance to current OCS grantees, or having
a multi-faceted approach to Migrants' issues) and this project must be
identified as responding to one of the program priority areas stated in
this Announcement. Applications which are not in compliance with this
requirement will be ineligible for funding.
7. Multiple Submittals
There is no limit to the number of applications that can be
submitted under a specific program priority area as long as each
application contains a proposal for a different project. However, an
applicant will receive only one grant in any Priority Area.
8. Sub-Contracting or Delegating Projects
OCS does not fund projects where the role of the applicant is
primarily to serve as a conduit for funds to organizations other than
the applicant. The applicant must have a substantive role in the
implementation of the project for which funding is requested.
9. Previous Performance and Current Grants
Previous performance of applicants will be a determining factor in
the grant award decisions. Any applicant which has three or more active
OCS grants may only be funded under exceptional circumstances.
Part D--Application Procedures
1. Availability of Forms
Attachments B, C, and D contain all of the standard forms necessary
for the application for awards under these OCS programs. These forms
may be photocopied for the application.
Copies of the Federal Register containing this announcement are
available at most local libraries and Congressional District Offices
for reproduction. If copies are not available at these sources, they
may be obtained by writing or telephoning the office listed under the
section entitled
FOR FURTHER INFORMATION at the beginning of this announcement.
For purposes of this announcement, all applicants will use SF-424,
SF-424A, and SF-424B, regardless of the priority area governing the
project. Applications proposing construction projects will also present
all required financial data using SF-424A. Instructions for completing
the SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D.
Part F contains instructions for the project narrative and project
abstract. They will be submitted on plain bond paper along with the SF-
424 and related forms.
Attachment J provides a checklist to aid applicants in preparing a
complete application package for OCS.
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 and
debarment regulations set forth in Attachments E and F.
2. Application Submission
Applications must be submitted to ACF by the closing date. Refer to
Closing Date at the beginning of this document for the specific date.
Applications may be mailed to: Administration for Children and
Families, Office of Financial Management, Division of Discretionary
Grants, 370 L'Enfant Promenade SW., 6th Floor (OCS-94-9), Washington,
DC 20447.
Hand-delivered applications are accepted during normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the
established closing date at the below listed address: Administration
for Children and Families, Office of Financial Management, Division of
Discretionary Grants, 901 D Street SW., 6th Floor (OCS-94-9),
Washington, DC 20447.
An application will be considered to be received on time if sent on
or before the closing date as evidenced by a legible U.S. Postal
Service postmark or a legibly dated receipt from a commercial carrier.
Private metered postmarks will not be considered acceptable as proof of
timely mailing. Applications submitted by any means other than through
the U.S. Postal Service or commercial carrier shall be considered as
acceptable only if physically received at the above address before
close of business on or before the deadline date.
Note: Applicants should note that the U.S. Postal Service does
not uniformly provide a dated postmark. Before relying on this
method, applicants should check with their local post office. In
some instances packages presented for mailing after a pre-determined
time are postmarked with the next day's date. In other cases,
postmarks are not routinely placed on packages. Applicants are
cautioned to verify that there is a date on the package, and that it
is the correct date of mailing, before accepting a receipt.
Applications which have a postmark later than the closing date, or
which are hand-delivered after the closing date, will be returned to
the sender without consideration in the competition.
One signed original application and four copies are required. The
first page of the SF-424 must contain in the lower right-hand corner, a
designation indicating under which priority area funds are being
requested (See Part F, section 1, subsection 11).
3. Intergovernmental Review
This program is covered under Executive Order 12372,
Intergovernmental Review of Federal Programs, and 45 CFR part 100,
Intergovernmental Review of Department of Health and Human Services
Programs and Activities. Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alaska, Alabama, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,
Oklahoma, Oregon, Virginia, Pennsylvania, 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 seventeen jurisdictions need take no action regarding Executive
Order 12372. Applicants for projects to be administered by Federally-
recognized Indian Tribes are also exempt from the requirements of
Executive Order 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 60 days from the application
deadline date to comment on proposed new or competing continuation
awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to clearly differentiate between mere advisory comments and
those official State process recommendations which they intend to
trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Office of Financial Management, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor,
Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G of this announcement.
4. Application Consideration
Applications which meet the screening requirements in sections 5a
and b below will be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to program priority area guidelines and
evaluation criteria published in this announcement.
Applications submitted under all priority areas will be reviewed by
persons outside of the OCS unit which will be directly responsible for
programmatic management of the grant. The results of these reviews will
assist the Director and OCS program staff in considering competing
applications. Reviewers' scores will weigh heavily in funding decisions
but will not be the only factors considered. Applications generally
will be considered in order of the average scores assigned by
reviewers. However, highly ranked applications are not guaranteed
funding since the Director may also consider other factors deemed
relevant 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; geographic distribution; previous program
performance of applicants; compliance with grant terms under previous
DHHS grants; audit reports; investigative reports; and applicant's
progress in resolving any final audit disallowances on previous OCS or
other Federal agency grants. Applicants with three or more incomplete
grants at the time of review may be denied funding.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to ascertain the applicant's performance
record.
5. Criteria for Screening Applicants
a. Initial screening. All applications that meet the published
deadline for submission will be screened to determine completeness and
conformity to the requirements of this announcement. Only those
applications meeting the following requirements will be reviewed and
evaluated competitively. Others will be returned to the applicants with
a notation that they were unacceptable.
(1) 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 F and Attachments B, C, and D of this Program Announcement.
(2) A project narrative and a project abstract must also accompany
the standard forms.
(3) The SF-424 and the SF-424B must be signed by an official of the
organization applying for the grant who has authority to obligate the
organization legally.
(4) The application must be submitted for consideration under one
priority area only.
b. Pre-rating review. Applications which pass the initial screening
will be forwarded to reviewers and/or OCS staff prior to the
programmatic review to verify that the applications comply with this
Program Announcement in the following areas:
(1) Eligibility: Applicant meets the eligibility requirements for
the priority area under which funds are being requested. Proof of non-
profit status must be included in the Appendices of the Project
Narrative where applicable. Applicants must also be aware that the
applicant's legal name as required in SF-424 (Item 5) must match that
listed as corresponding to the Employer Identification Number (Item 6).
(2) Number of Projects: An application may contain only one project
(except for Priority Areas 1.3, 1.4, and 3.1 where applicants are
researching various opportunities, providing assistance to current OCS
grantees, or have a multi-faceted approach to Migrants' issues) and
this project must be identified as responding to one of the program
priority areas stated in this Announcement.
(3) Grant amount: The amount of funds requested does not exceed the
limits indicated in Part C, 2, b for the appropriate priority area.
(4) Written Agreement When Applicant Proposes to Make Equity
Investment, Loan, or Sub-Grant: (Sub-Priority Areas 1.1, and 1.2); The
application contains a written agreement signed by the applicant and
the third party which includes all of the elements required in Part B.
An application may be disqualified from the competition and
returned if it does not conform to one or more of the above
requirements.
c. Evaluation 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 evaluation and review process will use the following
criteria coupled with the specific requirements contained under each
program priority area as described in Part B.
Note: the following review criteria reiterate collection of
information requirements contained in Part F of this announcement.
These requirements are approved under OMB Control Number 0970-0062.
6. Criteria for Review and Evaluation of all Applications Except Sub-
Priority Areas 1.3 and 1.4
(a) Criterion I: Analysis of Need (Maximum: 5 points). The
application documents that the project addresses a vital need in a
distressed community and provides statistics and other data and
information in support of its contention.
(b) Criterion II: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 15 points)--(i) Organizational
Experience in Program Area (sub-rating: 0-5 points). Documentation
provided indicates that projects previously undertaken have been
relevant and effective and have provided permanent benefits to the low-
income population.
Organizations which propose providing training and technical
assistance have detailed competence in the specific program priority
area and as a deliverer with expertise in the fields of training and
technical assistance. If applicable, information provided by these
applicants also addresses related achievements and competence of each
cooperating or sponsoring organization.
Applicable to Sub-Priority Areas 1.1, and 1.2
The applicant has demonstrated the ability to implement major
activities in such areas as business development, commercial
development, physical development, or financial services; the ability
to mobilize dollars from sources such as the private sector
(corporations, banks, etc.), foundations, the public sector, including
State and local governments, or individuals; that it has a sound
organizational structure and proven organizational capability; and an
ability to develop and maintain a stable program in terms of business,
physical or community development activities that will provide needed
permanent jobs, services, business development opportunities, and other
benefits to community residents.
(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points). The application describes in brief resume form the experience
and skills of the project director who is not only well qualified, but
his/her professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description which indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. The applicant has adequate facilities and resources (i.e.
space and equipment) to successfully carry out the work plan. The
assigned responsibilities of the staff are appropriate to the tasks
identified for the project and sufficient time of senior staff will be
budgeted to assure timely implementation and cost effective management
of the project.
(c) Criterion III: Project Implementation (Maximum: 25 points). The
Work Plan, or Business Plan where appropriate, is both sound and
feasible. The project is responsive to the needs identified in the
Analysis of Need. It sets forth realistic quarterly time targets by
which the various work tasks will be completed. Critical issues or
potential problems that might impact negatively on the project are
defined and the project objectives can be reasonably attained despite
such potential problems.
(d) Criterion IV A: Significant and Beneficial Impact (Maximum: 30
points) (Applicable to Sub-Priority Areas 1.1, and 1.2)--(i)
Significant and Beneficial Impact (sub-rating: 0-15 points). The
application contains a full and accurate description of the proposed
use of the requested financial assistance. The proposed project will
produce permanent and measurable results that will reduce the incidence
of poverty in the community. The OCS grant funds, in combination with
private and/or other public resources, are targeted into low-income
communities, distressed communities, and/or designated enterprise
zones.
(ii) Cost-per-Job (sub-rating: 0-10 points). During the project
period the proposed project will create new, permanent jobs or maintain
permanent jobs for low-income residents at a cost-per-job below $15,000
in OCS funds.
Note: The maximum number of points will be given to those
applicants proposing cost-per-job estimates of $5,000 or less of OCS
requested funds. Higher cost-per-job estimates will receive
correspondingly fewer points.
(iii) Career Development Opportunities (sub-rating: 0-5 points).
The application documents that the jobs to be created for low-income
people have career development opportunities which will promote self-
sufficiency.
(e) Criterion IV B: Significant and Beneficial Impact (Maximum: 30
points) Applicable to Sub-Priority Areas 2.1, 2.2, 3.1 and 3.2)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. The proposed
project will produce permanent and measurable results that will reduce
the incidence of poverty in the areas targeted and significantly
enhance the self sufficiency of program participants. Results are
quantifiable in terms of program area expectations, e.g., number of
units of housing rehabilitated, agricultural and non-agricultural job
placements, etc. The OCS grant funds, in combination with private and/
or other public resources, are targeted into low-income and/or
distressed communities and/or designated enterprise zones.
(f) Criterion V: Public-Private Partnerships (Maximum: 20 points)--
(1) Mobilization of resources: (sub-rating: 15 points). The application
documents that the applicant will mobilize from public and/or private
sources cash and/or in-kind contributions valued at an amount equal to
the OCS funds requested. Applicants documenting that the value of such
contributions will be at least equal to the OCS funds requested will
receive the maximum number of points for this Criterion. Lesser
contributions will be given consideration based upon the value
documented. Applicants under Sub-Priority Area 1.2 who are proposing to
enter into a partnership with Historically Black Colleges and
Universities are deemed to have fully met this criterion and will
receive the maximum number of points if they document the participation
of the HBCU.
(2) Integration/coordination of services: (sub-rating: 5 points)
The applicant demonstrates a commitment to coordination with the local
JOBS office and/or other employment education and training program
(such as JTPA) to ensure that welfare recipients, at-risk youth,
displaced workers, public housing tenants, homeless and low-income
individuals will be trained and placed in the newly created jobs. The
applicant provides written agreement from the local JOBS or other
employment education and training office indicating what actions will
be taken to integrate/coordinate services that relate directly to the
project for which funds are being requested.
Specifically, the agreement should include: (1) The goals and
objectives that the applicant and the JOBS or other employment
education and training office expect to achieve through their
collaboration; (2) the specific activities/actions that will be taken
to integrate/coordinate services on an on-going basis; (3) the target
population that this collaboration will serve; (4) the mechanism(s) to
be used in integrating/coordinating activities; (5) how those
activities will be significant in relation to the goals and objectives
to be achieved through the collaboration; and (6) how those activities
will be significant in relation to their impact on the success of the
OCS-funded project.
The applicant should also provide documentation that illustrates
the organizational experience related to the employment education and
training program (refer to Criterion II for guidelines).
(g) Criterion VI: Budget Appropriateness and Reasonableness
(Maximum: 5 points). Funds requested are commensurate with the level of
effort necessary to accomplish the goals and objectives of the project.
The application includes a detailed budget break-down for each of the
budget categories in the SF-424A. The applicant presents a reasonable
administrative cost. The estimated cost to the government of the
project also is reasonable in relation to the anticipated results.
7. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.3
a. Criterion I: Organizational Capability and Capacity (Maximum: 20
Points)--(1) Organizational experience in program area (sub-rating: 5
Points). Where the applicant has a history of prior achievement in
economic development, the documentation must address the relevance and
effectiveness of projects undertaken, especially their cost
effectiveness and the relevance and effectiveness of any services and
the permanent benefits provided to the targeted population. Applicants
must also indicate why they feel that they can successfully implement
the project for which they are requesting funds.
(2) Management capacity (sub-rating: 5 points). Applicants must
fully detail their ability to implement sound and effective management
practices and if they have been recipients of other Federal or other
governmental grants, they must also detail that they have consistently
complied with financial and program progress reporting and audit
requirements. Applicants should submit any available documentation on
their management practices and progress reporting procedures along with
a statement by a Certified or Licensed Public Accountant as to the
sufficiency of the applicant's financial management system to protect
adequately any Federal funds awarded under the application submitted.
(3) Staffing (sub-rating: 5 points). The application must fully
describe (e.g., resumes) the experience and skills of key staff showing
that they are not only well qualified but that their professional
capabilities are relevant to the successful implementation of the
project.
(4) Staffing responsibilities (sub-rating: 5 points). The
application must describe how the assigned responsibilities of the
staff are appropriate to the tasks identified for the project.
b. Criterion II: Significant and Beneficial Impact (Maximum: 35
Points). The work plan funded under this announcement must show that
there is a clearly identified need in a low-income area which is not
being effectively addressed currently.
Project funds under this announcement must be used to develop a
Business Plan for a project which would produce permanent and
measurable results that will reduce the incidence of poverty in the
areas targeted and mobilize non-discretionary program dollars from
private sector individuals, public resources, corporations, and
foundations if the project is implemented. The project around which the
Business plan is developed with the use of OCS grant funds must be
targeted into low-income communities, and/or designated enterprise
zones, with the goals of increasing the economic conditions and social
self-sufficiency of residents. Activities must be designed to achieve
the specific Program Priority Area 1.3 objectives as defined in this
program announcement.
c. Criterion III: Project Implementation and Evaluation (Maximum:
30 Points). (1) Project implementation component (sub-rating: 25
points). The application must contain a detailed and specific work plan
that is both sound and feasible. It must set forth realistic quarterly
time targets by which the various work tasks will be completed. Because
quarterly time schedules are used by OCS as a key instrument to monitor
progress, failure to include these time targets may seriously reduce an
applicant's point score in this criterion. It must define critical
issues or potential problems that might impact negatively on the
project and it must indicate how the project objectives will be
attained notwithstanding any such potential problems.
(2) Evaluation component (sub-rating: 5 points). All proposals
should include a self-evaluation component. The evaluation data
collection and analysis procedures should be specifically oriented to
assess the degree to which the stated goals and objectives are
achieved. Qualitative and quantitative measures reflective of the
scheduling and task delineation in (1) above should be used to the
maximum extent possible. This component should indicate the ways in
which the potential grantee would integrate qualitative and
quantitative measures of accomplishment and specific data into its
program progress reports that are required by OCS from all grantees.
d. Criterion IV: Budget Appropriateness and Reasonableness
(Maximum: 15 points). Each applicant should carefully review the
requirements of Program Sub-Priority Area 1.3 and the budget submitted
must coincide with those requirements.
The proposal's request for funds must include a detailed budget
breakout for each of the pertinent budget categories in part III,
section B of the SF-424. (Please identify any positions for which less
than full-time funding is requested.)
8. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.4
(a) Criterion I: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 20 points)--(i) Organizational
Experience in Program Area (sub-rating: 0-10 points. Applicant has
documented the capability to provide leadership in solving long-term
and immediate problems locally and/or nationally in such areas as
business development, commercial development, organizational and staff
development, board training, and micro-entrepreneurship development.
Applicant must document a capability (including access to a network of
skilled individuals and/or organizations) in two or more of the
following areas: Business Management, including strategic planning and
fiscal management; Finance, including development of financial packages
and provision of financial/accounting services; and Regulatory
Compliance, including assistance with zoning and permit compliance.
Further, the applicant has the demonstrated ability to mobilize dollars
from sources such as the private sector (corporations, banks,
foundations, etc.) and the public sector, including state and local
governments. Applicant also demonstrates that it has a sound
organizational structure and proven organizational capability as well
as an ability to develop and maintain a stable program in terms of
business, physical or community development activities that have
provided permanent jobs, services, business development opportunities,
and other benefits to poverty community residents.
Applicants must indicate why they feel that their successful
experiences would be of assistance to existing grantees which are
experiencing difficulties in implementing their projects.
(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points). The application describes in brief resume form the experience
and skills of the project director who is not only well qualified, but
who has professional capabilities relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description which indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. The applicant has adequate facilities and resources (i.e.
space and equipment) to successfully carry out the work plan. The
assigned responsibilities of the staff are appropriate to the tasks
identified for the project and sufficient time of senior staff will be
budgeted to assure timely implementation and cost effective management
of the project.
(b) Criterion II: Work Program (Maximum: 30 points). Based upon the
applicant's knowledge and experience related to OCS's Discretionary
Grants Program (particularly community economic development), the
application should demonstrate in some specificity a thorough
understanding of the problems a grantee may encounter in implementing a
successful project. The application should include a strategy for
assessing the specific nature of the problems, outlining a course of
action and identifying the resources required to resolve the problems.
(c) Criterion III: Significant and Beneficial Impact (Maximum: 30
points). Project funds under this sub-priority area must be used for
the purpose of providing technical assistance directly or by a contract
with a third party, to other OCS funded grantees. Applicants must
document how the success or failure of the assistance provided will be
documented.
Applicants must demonstrate an ability to disseminate results on
the kinds of assistance provided and successful strategies that they
may have developed to serve grantees during the grant period.
Applicants must state whether the results of the project will be
included in a handbook, a progress paper, an evaluation report or a
general manual and why the particular methodology chosen would be most
effective in assisting other grantees.
d. Criterion IV: Public-Private Partnerships (15 points). The
applicant demonstrates that it has worked with local, regional, state
or national offices to ensure that welfare recipients, at-risk youth,
displaced workers, public housing tenants, homeless and low-income
individuals have been trained and placed in newly created jobs.
Applicant should demonstrate how it will design a comprehensive
strategy which makes use of other available resources to resolve
typical and recurrent grantee problems.
e. Criterion V: Budget Appropriateness and Reasonableness (Maximum:
5 points). Applicant documents that the funds requested are
commensurate with the level of effort necessary to accomplish the goals
and objectives of the project. The application includes a detailed
budget break-down for each of the appropriate budget categories in the
SF-424A. The estimated cost to the government of the project also is
reasonable in relation to the anticipated results.
Part E--Contents of Application and Receipt Process
1. Contents of Application
Each application, whether involving construction or not, should
include one original and four additional copies of the following:
a. A signed Application for Federal Assistance (SF-424);
b. Budget Information-Non-Construction Programs (SF-424A);
c. A signed Assurances-Non-Construction Programs (SF-424B);
d. A Project Abstract
e. A Project Narrative consisting of the following elements
preceded by a consecutively numbered Table of Contents that will
describe the project in the following order:
(i) Eligibility Confirmation;
(ii) Analysis of Need (except for Sub-Priority 1.4);
(iii) Organizational Experience and Staff Responsibilities;
(iv) Work Program (including Executive Summary);
(v) Appendices, including By-Laws; Articles of Incorporation; proof
of non-profit status where applicable; resumes; written agreements re
grants, coordination with JOBS, etc.; Single Point of Contact comments,
where applicable; certification regarding anti-lobbying activities; and
a disclosure of lobbying activities.
The application package should not exceed 50 pages for applications
submitted under sub-priority areas 1.1, and 1.2. and 30 pages for all
applications submitted under the other sub-priority areas.
Applications should be two holed punched at the top center and
fastened with a compressor slide paper fastener or a binder clip. The
submission of bound applications, or applications enclosed in binders,
is especially discouraged.
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8 1/2 X 11 inch paper only.
They must not include colored, oversized or folded materials. Do not
include organizational brochures or other promotional materials,
slides, films, clips, etc. in the proposal. They will be discarded, if
included.
2. Acknowledgement of Receipt
All applicants will receive an acknowledgement notice 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. The identification number and
the program priority area letter code 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 F--Instructions for Completing Application Package
(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 for all priority areas described in
this announcement.)
It is suggested that you reproduce the SF-424 and SF-424A, and type
your application on the copies. If an item on the SF-424 cannot be
answered or does not appear to be related or relevant to the assistance
requested, write NA for Not Applicable.
Prepare your application in accordance with the standard
instructions given in Attachments B and C corresponding to the forms,
as well as the OCS specific instructions set forth below:
1. SF-424 Application for Federal Assistance Item
1. For the purposes of this announcement, all projects are
considered Applications; there are no Pre-Applications. Also for the
purposes of this announcement, construction projects are those which
involve major renovations or new construction. All others are
considered non-construction. Check the appropriate box under
Application.
5. and 6. The legal name of the applicant must match that listed as
corresponding to the Employer Identification Number. Where the
applicant is a previous Department of Health and Human Services
grantee, enter the Central Registry System Employee Identification
Number (PIN/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.
7. If the applicant is a non-profit corporation, enter N in the box
and specify non-profit corporation in the space marked Other. Proof of
non-profit status, such as IRS determination or appropriate sections of
the Articles of Incorporation, or By-laws, must be included as an
appendix to the project narrative.
8. For the purposes of this announcement, all applications are New.
9. Enter DHHS-ACF/OCS.
10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this announcement is 93.570. The title is CSBG
Discretionary Awards.
11. The following letter program priority area designations must be
used:
UR--for Sub-Priority Area 1.1. Urban and Rural Community Economic
Development (Operational)
HB--for Sub-Priority Area 1.2. Urban and Rural Community Economic
Development (HBCU Set-Aside)
PD--for Sub-Priority Area 1.3. Urban and Rural Community Economic
Development (Pre-Developmental Set-Aside)
UT--for Sub-Priority Area 1.4. Technical Assistance (Set-Aside)
RH--for Sub-Priority Area 2.1. Rural Housing Repairs and Rehabilitation
(including rental housing for low-income individuals).
RF--for Sub-Priority Area 2.2. Rural Community Facilities Development
(Water and Waste Water Treatment Systems Development)
MS--for Sub-Priority Area 3.1. Assistance for Migrants and Seasonal
Farmworkers (General)
HM--for Sub-Priority Area 3.2 Assistance for Migrants and Seasonal
Farmworkers (HBCU Set-Aside)
2. SF-424A--Budget Information--Non-Construction Programs
See Instructions accompanying this form as well as the instructions
set forth below:
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS discretionary funds only, and Non-Federal
will include mobilized funds from all other sources--applicant, state,
local, and other. Federal funds other than requested OCS discretionary
funding should be included in Non-Federal entries.
The budget forms in SF-424A are only to be used to present grant
administrative costs and major budget categories. Financial data that
is generated as part of a project Business Plan or other internal
project cost data must be separate and should appear as part of the
project Business Plan or other project implementation data.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (mobilized) funds. Section B contains entries for
Federal (OCS) funds only. Clearly identified continuation sheets in SF-
424A format should be used as necessary.
Section A--Budget Summary
Lines 1-4
Col. (a):
Line 1 Enter CSBG Discretionary;
Col. (b):
Line 1 Enter 93.570;
Col. (c) and (d):
Applicants should leave columns (c) and (d) blank.
Col. (e)-(g):
For line 1, enter in columns (e), (f) and (g) the appropriate
amounts needed to support the project for the budget period.
Line 5 Enter the figures from Line 1 for all columns completed as
required, (c), (d), (e), (f), and (g).
Section B--Budget Categories
Allowability of costs are governed by applicable cost principles
set forth in 45 CFR parts 74 and 92. Columns (1) and (5):
In OCS applications, it is only necessary to complete Columns (1)
and (5).
Column 1: Enter the total requirements for OCS Federal funds by the
Object Class Categories of this section:
Personnel-Line 6a: Enter the total costs of salaries and wages of
applicant/grantee staff only. Do not include costs of consultants or
personnel costs of delegate agencies or of specific project(s) or
businesses to be financed by the applicant.
Fringe Benefits--Line 6b: Enter the total costs of fringe benefits
unless treated as part of an approved indirect cost rate which is
entered on line 6j. Provide a breakdown of amounts and percentages that
comprise fringe benefit costs.
Travel--Line 6c: Enter total costs of all travel by employees of
the project. Travel costs for the Executive Director or Project
Director to attend a two day national workshop in Washington, DC should
be included. Do not enter costs for consultant's travel. Provide
justification for requested travel costs.
Equipment--Line 6d: Enter the total costs of all non-expendable
personal property to be acquired by the project. Non-expendable
personal property means tangible non-expendable personal property
having a useful life of more than one year and an acquisition cost of
$5,000 or more per unit.
Supplies--Line 6e: Enter the total costs of all tangible personal
property (supplies) other than that included on line 6d.
Contractual--Line 6f: Enter the total costs of all contracts,
including (1) procurement contracts (except those which belong on other
lines such as equipment, supplies, etc.) and (2) contracts with
secondary recipient organizations including delegate agencies and
specific project(s) or businesses to be financed by the applicant. Also
include any contracts with organizations for the provision of technical
assistance. Do not include payments to individual service contractors
on this line. If available at the time of application, attach a list of
contractors indicating the name of the organization, the purpose of the
contract and the estimated dollar amount of the award.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, the applicant/grantee must submit
Sections A and B of this form (SF-424A), completed for each delegate
agency by agency title, along with the required supporting
information referenced in the applicable instructions. The total
costs of all such agencies will be part of the amount shown on Line
6f. Provide back-up documentation identifying name of contractor,
purpose of contract and major cost elements.
Construction--Line 6g: Enter the costs of renovation, repair, or
new construction. Provide narrative justification and breakdown of
costs.
Other-Line 6h: Enter the total of all other costs. Such costs,
where applicable, may include but are not limited to insurance, food,
medical and dental costs (noncontractual), fees and travel paid
directly to individual consultants, space and equipment rentals,
printing and publication, computer use, training costs, including
tuition and stipends, training service costs including wage payments to
individuals and supportive service payments, and staff development
costs.
Total Direct Charges--Line 6i: Show the total of Lines 6a through
6h.
Indirect Charges--Line 6j: Enter the total amount of indirect
costs. This line should be used only when the applicant currently has
an indirect cost rate approved by the Department of Health and Human
Services or another Federal agency or is awaiting such approval. With
the exception of local governments, applicants should enclose a copy of
the current rate agreement if it was negotiated with a Federal agency
other than the Department of Health and Human Services.
If the applicant organization is in the process of initially
developing or renegotiating a rate, it should immediately, upon
notification that an award will be made, develop a tentative indirect
cost rate proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the pertinent DHHS Guide
for Establishing Indirect Cost Rates, and submit it to the appropriate
DHHS Regional Office.
It should be noted that when an indirect cost rate is requested,
those costs included in the indirect cost pool should not be also
charged as direct costs to the grant.
Totals--Line 6k: Enter the total amounts of Lines 6i and 6j. The
total amount shown in Section B, Column (5), Line 6k, should be the
same as the amount shown in Section A, Line 5, Column (e).
Program Income--Line 7: Enter the estimated amount of income, if
any, expected to be generated from this project. Separately show
expected program income generated from OCS support and income generated
from other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Column 5: Carry totals from Column 1 to Column 5 for all line
items.
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant is applying. 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 the non-Federal resources on a separate sheet and
describe whether it is a grantee-incurred cost or a third-party 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
Public-Private Partnerships criterion.
Except in unusual situations, this documentation must be in the
form of letters of commitment from the organization(s)/individuals from
which funds will be received.
Line 8:
Column (a): Enter the project title.
Column (b): Enter the amount of contributions to be made by the
applicant to the project.
Column (c): Enter the State contribution. If the applicant is a State
agency, enter the non-Federal funds to be contributed by the State
other than the applicant.
Column (d): Enter the amount of cash and in-kind contributions to be
made from all other sources.
Column (e): Enter the total of columns (b), (c), and (d). Lines 9, 10,
and 11 should be left blank.
Line 12: Carry the total of each column of Line 8, (b) through (e).
The amount in Column (e) should be equal to the amount on Section A,
Line 5, column (f).
Section D--Forecasted Cash Needs
Line 13: Enter the amount of Federal (OCS) cash needed for this
grant by quarter. During the budget period for grants which are more
than twelve (12) months, submit a separate sheet for each additional
twelve (12) months or portion thereof.
Line 14: Enter the amount of cash from all other sources needed by
quarter during the budget period.
Line 15: Enter the total of Lines 13 and 14.
Section E--Budget Estimates of Federal Funds Needed for Balance of
Project(s)
Completion not required.
Section F--Other Budget Information
Line 21: Use this space and continuation sheets as necessary to
fully explain and justify the major items included in the budget
categories shown in Section B. Include sufficient detail to facilitate
determination of allowability, relevance to the project, and cost
benefits. Particular attention must be given to the explanation of any
requested direct cost budget item which requires explicit approval by
the Federal agency. Budget items which require identification and
justification shall include, but not be limited to, the following:
A. Salary amounts and percentage of time worked for those key
individuals who are identified in the project narrative;
B. Any foreign travel;
C. A list of all equipment and estimated cost of each item to be
purchased wholly or in part with grant funds which meet the definition
of nonexpendable personal property provided on Line 6d, Section B. Need
for equipment must be supported in program narrative.
D. Contractual: Major items or groups of smaller items; and
E. Other: group into major categories all costs for consultants,
local transportation, space, rental, training allowances, staff
training, computer equipment, etc. Provide a complete breakdown of all
costs that make up this category.
Line 22. Enter the type of HHS or other Federal agency approved
indirect cost rate (provisional, predetermined, final or fixed) that
will be in effect during the funding period, the estimated amount of
the base to which the rate is applied and the total indirect expense.
Also, enter the date the rate was approved, where applicable. Attach a
copy of the rate agreement if it was negotiated with a Federal agency
other than the Department of Health and Human Services.
Line 23. Provide any other explanations and continuation sheets
required or deemed necessary to justify or explain the budget
information.
3. SF-424B Assurances-Non-Construction--All applicants, whether or
not project involves construction, must fill out, sign and date form
found at Attachment D.
4. Restrictions on Lobbying Activities--Certification for
Contracts, Grants, Loans, and Cooperative Agreements: Fill out, sign
and date form found at Attachment H.
5. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and
date form found at Attachment H, if applicable.
6. Project Abstract
The project abstract is a brief summary of the project to include
specific benefits such as number of jobs to be created, especially jobs
for low-income individuals. The abstract must not exceed 150 characters
(including words, spaces and punctuation) on a separate sheet of plain
paper headed by the applicant's name as shown in item 5 of the SF 424
and the priority area number as shown by you at the bottom of the SF
424.
7. Project Narrative
The project narrative must address the specific concerns mentioned
under the relevant priority area description in Part B. The narrative
should provide information on how the application meets the evaluation
criteria in Part D, Section 5 c of this Program Announcement and should
follow the format below:
a. Eligibility confirmation. This section must explain how the
applicant has complied with each of the basic requirements listed in
Part D, 5b(1)-(5), i.e., (1) that the applicant meets the eligibility
requirements for the sub-priority area under which funds are being
requested; (2) an application submitted under subpriority areas 1.1,
1.2, 2.1, 2.2, or 3.2 contains only one project; (3) the amount of
funds requested does not exceed the limits indicated in Part C, Section
2, b for the appropriate sub-priority area; (4) (Sub-Priority Areas
1.1, and 1.2) if an applicant proposes to use OCS funds for an equity
investment, a loan, or a sub-grant, the application contains a written
agreement signed by the applicant and the third party which includes
all of the elements required in Part B. An application may be
disqualified from the competition and returned if it does not conform
to one or more of the above requirements.
b. Analysis of need. The application should include a description
of the target area and population to be served as well as a discussion
of the nature and extent of the problem to be solved. It should also
include documentation supportive of its needs assessment such as
employment statistics, housing statistics, etc.
c. Organizational experience and staff responsibilities. (i)
Organizational experience. Each applicant must document competence in
the specific program priority area under which an application is
submitted.
Documentation must be provided which addresses the relevance and
effectiveness of projects previously undertaken in the specific
priority area for which funds are being requested and especially their
cost effectiveness, the relevance and effectiveness of any services
provided, and the permanent benefits provided to the low-income
population. Organizations which propose providing training and
technical assistance must detail their competence in the specific
program priority area and as a deliverer with expertise in the fields
of training and technical assistance. If applicable, information
provided by these applicants must also address related achievements and
competence of each cooperating or sponsoring organization.
Applicable to Sub-Priority Areas 1.1, 1.2 and 1.4
Applicants in these priority areas must also document a firmly
established and quantifiable performance record that shows the
following:
--The ability to implement major activities such as business
development, commercial development, physical development, or financial
services;
--Successful working relationships within the community including
public officials, financial institutions, corporations, other community
organizations and residents;
--A sound asset base and organizational structure in terms of (a) net
worth, (b) management stability, and (c) organizational capability;
--An ability to develop and maintain a stable program in terms of
business, physical or community development activities that will
provide needed permanent jobs, services, business development
opportunities and other benefits to community residents, and impact on
community-wide economic problems and needs;
--Sound administrative and fiscal systems and controls, and the ability
to establish and maintain partnerships with the private sector in such
forms as financial support, volunteerism or executives on loan.
(ii) Staff Skills, Resources and Responsibilities. The application
must fully describe (e.g. a resume or position description) the
experience and skills of the proposed project director showing that the
individual is not only well qualified but that his/her professional
capabilities are relevant to the successful implementation of the
project.
The application must include statements regarding who will have the
responsibilities of the chief executive officer, who will be
responsible for grant coordination with OCS, and how the assigned
responsibilities of the staff are appropriate to the tasks identified
for the project. It must show clearly that sufficient time of senior
staff will be budgeted to assure timely implementation and cost
effective management of the project.
d. Work program. The application must contain a detailed and
specific work program, or Business Plan where appropriate, (to include
an Executive Summary) that is both sound and feasible. (For those
applicants submitting proposals under Sub-Priority Areas 1.1, and 1.2,
the Business Plan will be accepted in lieu of the work program.) The
Executive Summary should not exceed five pages. This summary must
address the program principles within this announcement and document
that the proposed project will have national or regional significance.
The work program will be evaluated according to Criteria III, IV, and V
set forth in Part D of this announcement: Project Implementation,
Significant and Beneficial Impact, and Public-Private Partnerships.
Projects funded under this announcement must be designed to produce
permanent and measurable results that will reduce the incidence of
poverty in the areas targeted. The OCS grant funds, in combination with
private and/or other public resources, must be targeted into low-income
communities, distressed communities, and/or designated enterprise
zones. Projects must be designed to achieve the specific program
priority area objectives defined in this Program Announcement.
It must set forth realistic quarterly time targets by which the
various work tasks will be completed. It must identify critical issues
or potential problems that might impact negatively on the project and
it must indicate how the project objectives will be attained despite
such potential problems.
If an applicant is proposing a project which will affect a property
listed in, or eligible for inclusion in the National Register of
Historic Places, it must identify this property in the narrative and
explain how it has complied with the 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 guidance.) 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 may result in the application being
ineligible for funding consideration.
Applicable to Sub-Priority Areas 1.1, and 1.2
Applications submitted under Sub-Priority Areas 1.1, and 1.2 which
propose to use the requested OCS funds to make an equity investment or
a loan to a business concern, including a wholly-owned subsidiary, or
to make a sub-grant with a portion of the OCS funds, must include a
written agreement between the community development corporation and the
recipient of the grant funds which contains all of the elements listed
in Part B under the appropriate Priority Area.
Applications submitted under Sub-Priority Areas 1.1, and 1.2 must
include a complete Business Plan where it is appropriate to the
project/venture. An application that does not include a Business Plan
where one is appropriate may be disqualified and returned to the
applicant.
In some cases a Business Plan may not be required under the
Priority Areas. All applicants under the Priority Areas, however, must
nevertheless submit the information which is required in Sections 7
through 10, as set forth below.
The Business Plan is one of the major components that will be
evaluated by OCS to determine the feasibility of an economic
development project. It must be well prepared and address all the major
issues noted herein.
The following guidelines show what should be included in order to
produce a complete and professional Business Plan which makes an
orderly presentation of the facts necessary to be judged responsive to
the program announcement.
Because the guidelines were written to cover a variety of
possibilities, rigid adherence to them is not possible nor even
desirable for all projects. For example, a plan for a service business
would not require a discussion of manufacturing nor product design.
The Business Plan should include the following:
1. The business and its industry. This section should describe the
nature and history of the business and provide some background on its
industry.
a. The Business: as a legal entity; the general business category;
b. Description and Discussion of Industry: Current status and
prospects for the industry;
2. Products and Services: This section deals with the following:
a. Description: Describe in detail the products or services to be
sold;
b. Proprietary Position: Describe proprietary features if any of
the product, e.g. patents, trade secrets;
c. Potential: Features of the product or service that may give it
an advantage over the competition;
3. Market Research and Evaluation: This section should present
sufficient information to show that the product or service has a
substantial market and can achieve sales in the face of competition;
a. Customers: Describe the actual and potential purchasers for the
product or service by market segment.
b. Market Size and Trends: State the size of the current total
market for the product or service offered;
c. Competition: An assessment of the strengths and weaknesses of
competitive products and services;
d. Estimated Market Share and Sales: Describe the characteristics
of the product or service that will make it competitive in the current
market;
4. Marketing Plan: The marketing plan should detail the product,
pricing, distribution, and promotion strategies that will be used to
achieve the estimated market share and sales projections. The marketing
plan must describe what is to be done, how it will be done and who will
do it. The plan should address the following topics--Overall Marketing
Strategy, Packaging, Service and Warranty, Pricing, Distribution and
Promotion.
5. Design and Development Plans: If the product, process or service
of the proposed venture requires any design and development before it
is ready to be placed on the market, the nature and extent and cost of
this work should be fully discussed. The section should cover items
such as Development Status and Tasks, Difficulties and Risks, Product
Improvement and New Products, and Costs.
6. Manufacturing and Operations Plan: A manufacturing and
operations plan should describe the kind of facilities, plant location,
space, capital equipment and labor force (part and/or full time and
wage structure) that are required to provide the company's product or
service.
7. Management Team: The management team is the key in starting and
operating a successful business. The management team should be
committed with a proper balance of technical, managerial and business
skills, and experience in doing what is proposed. This section must
include a description of: the key management personnel and their
primary duties; compensation and/or ownership; the organizational
structure; Board of Directors; management assistance and training
needs; and supporting professional services.
8. Overall Schedule: A schedule that shows the timing and
interrelationships of the major events necessary to launch the venture
and realize its objectives. Prepare, as part of this section, a month-
by-month schedule that shows the timing of such activities as product
development, market planning, sales programs, and production and
operations. Sufficient detail should be included to show the timing of
the primary tasks required to accomplish each activity.
9. Critical Risks and Assumptions: The development of a business
has risks and problems and the Business Plan should contain some
explicit assumptions about them. Accordingly, identify and discuss the
critical assumptions in the Business Plan and the major problems that
will have to be solved to develop the venture. This should include a
description of the risks and critical assumptions relating to the
industry, the venture, its personnel, the product's market appeal, and
the timing and financing of the venture.
10. Community Benefits: The proposed project must contribute to
economic, community and human development within the project's target
area. A section that describes and discusses the potential economic and
non-economic benefits to low-income members of the community must be
included as well as a description of the strategy that will be used to
identify and hire individuals being served by public assistance
programs and how linkages with community agencies/organizations
administering the JOBS program will be developed. The following project
benefits must be described:
Economic
--Number of permanent jobs that will be created for low-income people
during the grant period;
--Number of jobs to be created for low- income people that will have
career development opportunities and a description of those jobs
--number of jobs that will be filled by individuals on public
assistance;
--Ownership opportunities created for poverty-level project area
residents;
--Specific steps to be taken to promote the self-sufficiency of program
participants. Other benefits which might be discussed are:
Human Development
--New technical skills development and associated career opportunities
for community residents;
--Management development and training.
Community Development
--Development of community's physical assets;
--Provision of needed, but currently unsupplied, services or products
to community;
--Improvement in the living environment.
11. The Financial Plan: The Financial Plan is basic to the
development of a Business Plan. Its purpose is to indicate the
project's potential and the timetable for financial self-sufficiency.
In developing the Financial Plan, the following exhibits must be
prepared for the first three years of the business' operation:
a. Profit and Loss Forecasts--quarterly for each year;
b. Cash Flow Projections--quarterly for each year;
c. Pro forma balance sheets--quarterly for each year;
d. Initial sources of project funds;
e. Initial uses of project funds; and
f. Any future capital requirements and sources.
Applicable to Sub-Priority Area 1.4 Only
Applicants in this priority area must document its experience and
capability to provide assistance and leadership in two or more of the
following areas:
--Business/Development;
--Micro-Entrepreneurship Development;
--Commercial Development;
--Organizational and Staff Development;
--Board Training;
--Business Management, including Strategic Planning and Fiscal
Management;
--Finance, including Business Packaging and Financial/Accounting
Services, and/or
--Regulatory Compliance including Zoning and Permit Compliance
The applicant must document staff competence or the accessibility
of third party resources with proven competence. If the work program
requires the significant use of third party (consultant/contractor)
resources, those resources should be identified and resumes of the
individuals or key organizational staff provided. Resumes of the
applicant's staff, who are to directly provide assistance, should also
be included. The applicant must document successful experience in the
mobilization of resources (both cash and in-kind) from private and
public sources. The applicant must also clearly state how the
information learned from this project may be disseminated to other
interested grantees.
Applicable to Sub-Priority Area 2.1 Only
Each applicant must include a full discussion of the project
including the following information:
--Basic Housing Data for Targeted Area. Information on the number of
sub-standard housing units available to low-income people in the target
area, deficiencies of the housing units to be repaired, i.e., lack of
or inadequate plumbing, upgrading of electrical systems, etc., new
construction inventory, property values, rents and mortgage rates.
While specific census data may be included, this information must be
project specific. Applicants must show that other Federal programs do
not exist to address the rehabilitation needs of the targeted area.
--Priorities. Provide a rationale for the strategies and priorities for
which OCS support is requested.
--Participant Application Process. A description of the participant
application process including: (a) Verification of participant need and
income eligibility, (b) proposed diagnostic repair forms and contract
bid procedures (where applicable), and (c) completion verification and
quality workmanship assurance procedures.
--Types of Work to be Performed. The quantitative and qualitative
measures in the work plan should reflect the types of work to be
performed, e.g. (a) technical assistance and training for each proposed
organization/community; and/or (b) repairs or rehabilitation or
construction work, noting which types of work will be done in order to
bring properties up to minimum housing standards, inspection procedures
and construction schedules.
Applications proposing to repair or rehabilitate low-income rental
housing (see Part B, Sub-Priority Area 2.1, regarding restrictions)
must state the current rents for the units in question as well as what
rents will be charged for the rehabilitated units. Applicants should
also state the number of low-income residents who will be helped to
purchase or acquire adequate housing.
--Job Creation. Data regarding the number of direct jobs that will be
created in the proposed project, noting the number of low-income
residents that will be trained and/or placed in these jobs.
--Public-Private Partnership. A description of the degree of
involvement by private sector individuals, corporations, and
foundations in the implementation of the project and the amount of
dollars which will be mobilized.
Applicable to Sub-Priority Area 2.2
Each applicant must include a full discussion of how the proposed
use of funds will enable low-income rural communities to develop the
capability and expertise to establish and maintain affordable, adequate
and safe water and waste water systems. Applicants must also discuss
how they will disseminate information about water and waste water
programs serving rural communities, and how they will better coordinate
Federal, State, and local water and waste water program financing and
development to assure improved service to rural communities.
Among the benefits that merit discussion under this sub-priority
area are: The number of rural communities to be provided with technical
and advisory services; the number of rural poor individuals who are
expected to be directly served by applicant-supported improved water
and waste water systems; the decrease in the number of inadequate water
systems related to applicant activity; the number of newly-established
and applicant-supported treatment systems (all of the above may be
expressed in terms of equivalent connection units); the increase in
local capacity in engineering and other areas of expertise; and the
amount of non-discretionary program dollars expected to be mobilized.
Applicable to Sub-Priority Areas 3.1 and 3.2
Each applicant must include a full discussion of the proposed
project and how it will address one or more farmworker needs as
described in Part B.
Among the benefits which merit discussion under these priority
areas are: The number of farmworkers who are expected to improve their
agricultural skills and thus improve their agricultural employment
situation; the number of farmworkers and/or their dependents who will
be afforded an opportunity to continue their formal education; the
number of farmworkers/families who will receive crisis nutritional
relief, emergency health and social services referrals and assistance,
and assistance in the development of self-help systems of food
production; the number of farmworkers who are expected to gain longer
term or permanent private sector employment in areas outside
agriculture; the number of farmworkers who will receive help in the
areas of housing; the number of housing units to be repaired or
rehabilitated; the degree and kind of such help; the amount of non-
Discretionary program dollars expected to be mobilized, and the degree
of private sector involvement that will be utilized in developing and
carrying out projects funded under this Announcement.
Part G--Post Award Information and Reporting Requirements
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which provides the amount of Federal funds approved
for use in the project, the budget period for which support is
provided, the terms and conditions of the award, the total project
period for which support is contemplated, and the total financial
participation from the award recipient.
General Conditions and Special Conditions (where the latter are
warranted) which will be applicable to grants, are subject to the
provisions of 45 CFR parts 74 and 92.
Grantees will be required to submit semi-annual progress and
financial reports (SF-269) as well as a final progress and financial
report.
Grantees are subject to the audit requirements in 45 CFR parts 74
and 92 and OMB Circular A-128 or A-133. If an applicant will not be
requesting indirect costs, it should anticipate in its budget request
the cost of having an audit performed at the end of the grant period.
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes new prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or subgrantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of nonappropriated
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 nonappropriated 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.
Attachment I indicates the regulations which apply to all
applicants/grantees under the Discretionary Grants Program.
Dated: April 26, 1994.
Donald Sykes,
Director, Office of Community Services.
Attachment A
1994 Poverty Income Guidelines for all States (Except Alaska and Hawaii
and the District of Columbia
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $7,360
2.......................................................... 9,840
3.......................................................... 12,320
4.......................................................... 14,800
5.......................................................... 17,280
6.......................................................... 19,760
7.......................................................... 22,240
8.......................................................... 24,720
------------------------------------------------------------------------
For family units with more than 8 members, add $2,480 for each
additional member.
Poverty Income Guidelines for Alaska
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $9,200
2.......................................................... 12,300
3.......................................................... 15,400
4.......................................................... 18,500
5.......................................................... 21,600
6.......................................................... 24,700
7.......................................................... 27,800
8.......................................................... 30,900
------------------------------------------------------------------------
For family units with more than 8 members, add $3,100 for each
additional member.
Poverty Income Guidelines for Hawaii
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $8,470
2.......................................................... 11,320
3.......................................................... 14,170
4.......................................................... 17,020
5.......................................................... 19,870
6.......................................................... 22,720
7.......................................................... 25,570
8.......................................................... 28,420
------------------------------------------------------------------------
For family units with more than 8 members, add $2,850 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
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BILLING CODE 4184-01-C
Attachment F--Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined as
the primary participant in accordance with 45 CFR Part 76, certifies to
the best of its knowledge and believe that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
by any Federal Department or agency;
(b) have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of
Federal or State antitrust 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 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 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or local)
terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification. The
certification or explanation will be considered in connection with the
Department of Health and Human Services (HHS) determination whether to
enter into this transaction. However, failure of the prospective
primary participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
The prospective primary participant agrees that by submitting this
proposal, it will include the clause entitled ``Certification Regarding
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower
Tier Covered Transaction.'' provided below without modification in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions (To Be Supplied to
Lower Tier Participants)
By signing and submitting this lower tier proposal, the prospective
lower tier participant, as defined in 45 CFR Part 76, certifies to the
best of its knowledge and belief that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this
transaction by any federal department or agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall attach
an explanation to this proposal.
The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transactions,'' without modification in
all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
Attachment G--Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and Administration,
P.O. Box 3278, Little Rock, Arkansas 72203, Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research, 1400
Tenth Street, Sacramento, California 95814, Telephone (916) 323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of Local
Government, 1313 Sherman Street, Room 520, Denver, Colorado 80203,
Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903, Telephone
(302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street, N.W., Suite 500,
Washington, DC 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting, The
Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W., Atlanta, Georgia 30334, Telephone (404) 656-
3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the Governor,
107 Stratton Building, Springfield, Illinois 62706, Telephone (217)
782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,
Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local Government,
1024 Capitol Center Drive, Frankfort, Kentucky 40601, Telephone (502)
564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities and
Development, 100 Cambridge Street, Room 1803, Boston, Massachusetts
02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce, Lansing,
Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson, Mississippi
39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber, 2\1/
2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603) 271-
2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-0803,
Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J. Jaskolka,
State Review Process, Division of Community Resources, CN 814, Room
609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025.
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone (505)
827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin., N.C.
State Clearinghouse, 116 W. Jones Street, Raleigh, North Carolina
27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental Assistance,
Office of Management and Budget, 600 East Boulevard Avenue, Bismarck,
North Dakota 58505-0170, Telephone (710) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management, 30
East Broad Street, 34th Floor, Columbus, Ohio 43266-0411, Telephone
(614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose Street,
Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning.
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services, Office
of the Governor, 1205 Pendleton Street, Room 477, Columbia, South
Carolina 29201, Telephone (803) 734-0494
South Dakota
Ms. Susan Comer, State Clearinghouse Coordinator, Office of the
Governor, 500 East Capitol, Pierre, South Dakota 57501, Telephone (605)
773-3213
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN: Carolyn
Wright, Room 116 State Capitol, Salt lake City, Utah 84114, Telephone
(801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy Research &
Coordination, Pavilion Office Building, 109 State Street, Montpelier,
Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department of
Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building, 4th
Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to: Linda Clarke, Telephone (809) 774-
0750.
Attachment 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 any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with awarding of any Federal contract,
the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriate funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the require statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
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BILLING CODE 4184-01-C
Attachment I
The following DHHS regulations apply to all applicants/grantees
under the Discretionary Grants Program:
Title 45 of the Code of Federal Regulations:
Part 16--Procedures of the Department Grant Appeals Board
Part 74--Administration of Grants (non-governmental)
Part 74--Administration of Grants (state and local governments and
Indian Tribal affiliates):
Sections 74.62(a) Non-Federal Audits
74.173 Hospitals
74.174(b) Other Nonprofit Organizations
74.304 Final Decisions in Disputes
74.710 Real Property, Equipment and Supplies
74.715 General Program Income
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension form 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--Nondiscrimination on the basis of sex in the admission of
individuals to training programs
Part 84--Non-discrimination on the Basis of Handicap in Programs
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial Assistance
Part 92--Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments (Federal Register, March 11,
1988)
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human
Services Programs and Activities
Attachment J--Checklist for Use in Submitting OCS Grant Applications
(Optional)
The application should contain:
1. A completed, signed SF-424, ``Application for Federal
assistance''. The letter code for the priority area e.g., UR) should be
in the lower right hand corner.
2. A completed ``Budget Information--Non-Construction'' (SF-424A);
3. A signed ``Assurance--Non-Construction'' (SF-424A);
4. A Project Abstract
5. A Project Narrative beginning with a Table of Contents that
describes the project in the following order:
(a) Eligibility Confirmation
(b) Analysis of Need (except for Sub-Priority 1.4)
(c) Organizational Experience and Staff Responsibilities
(d) Work Program (including Executive Summary)
6. Appendices, including By-Laws; Articles of Incorporation, proof
of non-profit status where applicable; resumes, written agreements re
grants, coordination with JOBS, etc.; Single Point of Contact comments
(where applicable); certification regarding anti-lobbying activities;
and a disclosure of lobbying activities.
7. A signed copy of ``Certification Regarding Anti-Lobbying
Activities.
8. A completed ``Disclosures of Lobbying Activities'', if
appropriate; and
9. A self-addressed mailing label which can be affixed to a notice
to acknowledge receipt of application.
The application should not exceed a total of 50 pages for
applications submitted under sub-priority areas 1.1 and 1.2 and 30
pages for all applications submitted under the other subpriority areas.
It should include one original and four identical copies, printed on
white 8\1/2\ by 11 inch paper only. Applications should be two holed
punched at the top center and fastened with a compressor slide paper
fastener or a binder clip. All pages should be numbered.
[FR Doc. 94-10914 Filed 5-6-94; 8:45 am]
BILLING CODE 4184-01-P
