[Federal Register Volume 62, Number 123 (Thursday, June 26, 1997)]
[Notices]
[Pages 34458-34479]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16774]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS 97-09]
Request for Applications Under the Office of Community Services'
Fiscal Year 1997 Training, Technical Assistance, and Capacity-Building
Program
AGENCY: Office of Community Services, ACF, DHHS.
ACTION: Request for Applications Under the Office of Community
Services' Training, Technical Assistance and Capacity-Building Program.
-----------------------------------------------------------------------
SUMMARY: The Office of Community Services (OCS) announces that
competing applications will be accepted for new grants pursuant to the
Secretary's authority under section 674(a) of the Community Services
Block Grant Act of 1981, as amended, the Human Services Amendments of
1994, (Pub. L. 103-252). This Program Announcement consists of seven
parts. Part A covers information on the legislative authority and
defines terms used in the Program Announcement. Part B describes the
purposes and Priority Areas that will be considered for funding, and
describes which organizations are eligible to apply in each Priority
Area. Part C provides details on application prerequisites, anticipated
amounts of funds available in each Priority Area, tentative numbers of
grants to be awarded, etc. Part D provides information on application
procedures including the availability of forms, where to submit an
application, criteria for initial screening of applications, and
project evaluation criteria. Part E provides guidance on the content of
an application package and the application itself. Part F provides
instructions for completing an application. Part G details post-award
requirements.
CLOSING DATE: The closing time and date for receipt of applications is
4:30 p.m., Eastern time zone, on August 11, 1997. Applications received
after 4:30 p.m. on that date will be classified as late. Postmarks and
other similar documents do not establish receipt of an application.
Detailed application submission instructions including addresses where
applications must be received are found in Part D of this Announcement.
FOR FURTHER INFORMATION CONTACT: Margaret Washnitzer, Director,
Division of State Assistance, Office of Community Services,
Administration for Children and Families, 370 L'Enfant Promenade, SW.,
Washington, DC. 20447 (202) 401-9343. This Program Announcement is
accessible on the OCS Electronic Bulletin Board for downloading through
a computer modem by calling 1-800-627-8886. For assistance in accessing
the Bulletin Board, A Guide to Accessing and Downloading is available
from Ms. Minnie Landry at (202) 401-5309.
Part A--Preamble
1. Legislative Authority
Under section 674(a)(1) and (2) of the Community Services Block
Grant (CSBG) Act of 1981, as amended by the Human Services Amendments
of 1994, Pub. L. 103-252, the Secretary of Health and Human Services is
authorized to utilize a percentage of appropriated funds for training,
technical assistance, planning, evaluation, and data collection
activities related to programs or projects carried out under this
subtitle. To carry out the above activities, the Secretary is
authorized to
[[Page 34459]]
make grants, or enter into contracts or cooperative agreements with
eligible entities or with organizations or associations whose
membership is composed of CSBG-eligible entities or agencies that
administer programs for CSBG-eligible entities.
The process for determining the technical assistance, training and
capacity-building activities to be carried out under this referenced
section shall (a) ensure that the needs of community action agencies
and programs relating to improving program quality, including financial
management practices, are addressed to the maximum extent feasible; and
(b) incorporate mechanisms to ensure responsiveness to local needs,
including an ongoing procedure for obtaining input from the community
action, State and national networks. A major step to improve program
quality and management of programs within the Community Services
Network has been the thrust of the CSBG Task Force on Monitoring and
Assessment. The Task Force has taken a comprehensive approach to
monitoring including establishing national goals and outcome measures,
reviewing data needs relevant to these outcome measures, and assessing
technical assistance and training provided toward capacity building
within the Community Services Network.
2. Definitions of Terms
For purposes of this Program Announcement the following definitions
apply:
Eligible entity means any organization which was officially
designated as a community action agency (CAA) or a community action
program under section 673(1) of the Community Services Block Grant Act
(CSBG), and meets all the requirements under section 675(c)(3) of the
CSBG Act. All ``eligible entities'' are current recipients of Community
Services Block Grant funds, including Migrant and Seasonal Farmworker
programs which received CSBG funding in the previous fiscal year (FY
1996). In cases where eligible entity status is unclear, final
determination will be made by OCS/ACF.
Performance Measure is a tool used to objectively assess how a
program is accomplishing its mission through the delivery of products,
services, and activities.
Outcome Measures are indicators which focus on the direct results
one wants to have on customers.
Results-Oriented Management is an approach to monitoring and
assessment that identifies measures of program success that are
targeted to outcome measures.
Training is an educational activity or event which is designed to
impart knowledge, understanding, or increase the development of skills.
Such training activities may be in the form of assembled events such as
workshops, seminars, conferences or programs of self-instructional
activities.
Technical assistance is an activity, generally utilizing the
services of an expert (often a peer), aimed at enhancing capacity,
improving programs and systems, or solving specific problems. Such
services may be provided proactively to improve systems or as an
intervention to solve specific problems. Services may be provided on-
site, by telephone, or other communications systems.
State means all of the States and the District of Columbia. Except
where specifically noted, for purposes of this Program Announcement, it
also means Territory.
Territory refers to the Commonwealth of Puerto Rico, the American
Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern
Mariana Islands, and the Republic of Palau.
Local service providers are the approximately 1,144 local public or
private non-profit agencies that receive Community Services Block Grant
funds from States to provide services to, or undertake activities on
behalf of, low-income people.
Nationwide refers to the scope of the technical assistance,
training, data collection, or other capacity-building projects to be
undertaken with grant funds. Nationwide projects must provide for the
implementation of technical assistance, training or data collection for
all or a significant number of States, and the local service providers
who administer CSBG funds.
Statewide refers to training, technical assistance and other
capacity-building activities undertaken with grant funds and available
to one or more community action agencies in a State, as needed and
appropriate.
Community Services Network refers to the various organizations
involved in planning and implementing programs funded through the
Community Services Block Grant or providing training, technical
assistance or support to them. The network includes local community
action agencies, other eligible entities, State CSBG offices and their
national association, CAA State, regional and national associations,
and related organizations which collaborate and participate with
community action agencies and other eligible entities in their efforts
on behalf of low-income people.
Program technology exchange refers to the process of sharing expert
technical and programmatic information, models, strategies and
approaches among the various partners in the Community Services
Network. This may be done through written case studies guides,
seminars, technical assistance, and other mechanisms.
Capacity-building refers to activities that assist community action
agencies and programs to improve or enhance their overall or specific
capability to plan, deliver, manage and evaluate programs efficiently
and effectively to produce results. This may include upgrading internal
financial management or computer systems, establishing new external
linkages with other organizations, improving board functioning, adding
or refining a program component or replicating techniques or programs
piloted in another local community, or other cost effective
improvements.
Part B--Purposes/Program Priority Areas
Section 674(a)(1) and (2) of the CSBG Act authorizes the Secretary
of the Department of Health and Human Services to make grants, or to
enter into contracts or cooperative arrangements with eligible entities
or with organizations or associations whose membership is composed of
eligible entities or agencies that administer programs for eligible
entities for purposes of providing training, technical assistance,
planning, evaluation, and data collection activities related to
programs or projects carried out under the CSBG Act. Therefore, the
principal purpose of this Announcement is to stimulate and support the
activities of planning, training, technical assistance and data
collection which strengthen the Community Services Network to affect
results for low-income people. New and revised techniques and tools are
needed to fundamentally change the way the Network does business on a
daily basis.
In addition to the changes in the 1994 CSBG Reauthorization Act,
two other concepts which frame the technical assistance and training
activities in this Program Announcement have converged to assist the
Community Services Network in making this change: (a) the Government
Performance and Results Act of 1993 (Pub. L. 103-62), which requires
Federal programs to determine and describe expected program outcomes;
and (b) the Community Services Block Grant Task Force on Monitoring and
Assessment established
[[Page 34460]]
by the Director of the OCS to develop a process to encourage the
Community Services Network to manage for results. Thus, the importance
of strong technical assistance, training, planning and data collection
is essential to ensure a results-oriented strategy for the management
and delivery of service to low-income people.
OCS is soliciting applications which implement these legislative
mandates in a systematic manner on a nationwide or Statewide basis, as
appropriate to the Priority Area. OCS believes that identifying
training and technical assistance needs requires substantial
involvement of eligible entities at local, State and national levels.
OCS also anticipates that the recipients of awards under this Program
Announcement can be expected to implement the approved project(s)
without substantial Federal agency involvement and direction.
Therefore, subject to the availability of funds, funds will be provided
in the form of grants. Priorities 1.1--Training and Technical
Assistance to Enhance Community Action Agencies' and Other Local
Service Provider's Capacity and 1.2--T&TA to CAA State and Regional
Associations were announced as continuation grants for FY 1997 and FY
1998. Although these grants are therefore continued in FY 1997 and FY
1998 without competition, depending upon the availability of funds and
the priorities of the department, we have included the amounts of the
grant in the Availability of Funds section of this Announcement. The
National Association of Community Action Agencies is the present
grantee for both of these priority areas. The other major Priority
Areas of the Office of Community Services' Fiscal Year 1997 Training,
Technical Assistance, and Capacity-Building Program are as follows:
Priority Area 1.0: Training and Technical Assistance for the Community
Services Network
Sub-Priority Areas:
1.3 Replication of Pilot Training and/or Service Delivery
Projects;
1.4 Provision of Coordinated Peer-to-Peer TA Strategies for CAAs
and Programs Related to Welfare Reform
1.5 TA to Develop Special Initiatives Between CAAs and
Organizations Addressing Urban Problems.
Priority Area 2.0: Data Collection, Analysis, Dissemination, and
Utilization
Sub-Priority Areas:
2.1 Collection, Analysis, and Dissemination of Information on CSBG
Activities Nationwide; and
2.2 CAAs and Technology.
Priority Area 1.0: Training and Technical Assistance for the
Community Services Network: This Priority Area addresses the
development and implementation of coordinated, comprehensive nationwide
or, where appropriate, statewide training and/or technical assistance
programs to assist State CSBG staff, staff of State and regional
organizations representing eligible entities, and staff of local
service providers which receive funding under the CSBG Act, to acquire
the skills and knowledge needed to plan, administer, implement,
monitor, and evaluate programs designed to ameliorate the causes of
poverty in local communities. Programs should include the provision of
training and/or technical assistance to State staff, CAA associations,
and/or staff of local service providers statewide or nationwide and a
description of collaboration with State CSBG staff and local service
providers.
Sub-Priority Area 1.3: Replication of Pilot Training and/or Service
Delivery Projects. The purpose of this Sub-Priority Area is to further
the capacity of eligible entities to deliver and manage services to
low-income people. This purpose is in keeping with the guideline
approach which was shared by the CSBG Task Force on Monitoring and
Assessment that ``Agencies Increase Their Capacity To Achieve Results''
relating to management which was shared with the Community Services
Network by the CSBG Task Force. In order to hasten the utilization of
these innovative training and service projects, OCS is proposing to
fund a limited number of projects which have developed systems to
improve the measurement of incremental individual, family and community
changes. Such projects may need resources in order to expand or
replicate on a statewide, regional or nationwide basis to other
organizations in the Network.
The Task Force on Monitoring and Assessment is particularly
interested in supporting projects to further assess the use of
``scales'' or ``ladders'' to accurately portray the effectiveness of
programs operated by the Community Services Network to policy makers.
Scales attempt to measure client, family or community status on a
continuum (e.g., numerical rating or by categories such as in crisis,
vulnerable, stable, and thriving), and then record changes in status
along the continuum as services are provided. Present scales have
largely focused on measuring client and family self-sufficiency or
family development/stability outcomes at the local level. Current
measurement technologies may need refining in order to capture
incremental individual, family and community changes which are useful
to local operations or State and Federal levels. The Task Force
continues to be interested in reviewing measurement tools such as,
scales and ladders, and is concerned about whether such scales, when
refined, can yield data which is conducive to local, state and national
use for policy makers. Applicants must be able to demonstrate that (1)
they are already using an incremental approach and have achieved
measurable results; (2) the approach is designed for multi-service use
and includes tracking changes in community conditions; (3) the
organization commits to aggregation and dissemination; and (4) the
proposed project can leverage private sector, foundation or public
funds to expand the funding base. Approaches developed and refined must
be related to the purposes and coordinated with the strategies of
welfare reform.
Sub-Priority Area 1.4: Provision of Coordinated Peer-to-Peer TA for
CAAs and Programs Related to Welfare Reform. The purpose of this Sub-
Priority Area is to fund organizations to develop and implement
strategies to provide coordinated, timely peer-to-peer technical
assistance and crisis aversion intervention strategies for CAAs which
have identified themselves as experiencing programmatic,
administrative, Board, and/or fiscal problems. Such technical
assistance should be designed to prevent problems from deteriorating
into crisis situations that would threaten the capacity of CAAs to
provide quality services to their communities. In agreement with the
chosen CAAs, this grantee will coordinate and deploy the technical
assistance resources of experienced individuals within the Community
Services Network and other resource experts as may be necessary to
assist in the identification and resolution of problems, through
necessary actions, including training, to ensure that relevant and
timely assistance is provided. Such technical assistance may be
requested to assist the agency in resolving adverse program monitoring
or audit findings, improving or upgrading financial management systems
to prevent losses of funds, averting serious deterioration of the
boards of directors, or other immediate assistance to CAAs as
requested. To the extent feasible, the grantee may be expected to
develop an expert technical assistance resource bank of experienced
individuals from the Community Action Network or other experienced
specialists who may be deployed to provide peer technical assistance.
Sub-Priority Area 1.5: Technical Assistance to Develop Special
Initiatives
[[Page 34461]]
Between CAAs and Organizations Addressing Urban Problems. Issues of
crime, violence, drug abuse, unemployment, poverty, family breakdown,
and inadequate education and training of many young people to attain
productive employment in an increasingly technological labor market,
threaten the safety and viability of many urban communities. These
multi-faceted problems cannot be solved by CAAs alone. This project
will provide technical assistance to assist CAAs in developing and
implementing collaborative community-wide strategies, effective
organizational working relationships, and special initiatives among
CAAs and other organization(s) focusing on issues of crime, violence,
family breakdowns, drug abuse and poverty. Emphasis will be on
assisting CAAs to bring together the various community, business,
labor, voluntary, educational, civil rights, and governmental sectors
required to develop model local strategies to improve conditions in
low-income, urban communities. Applicants are encouraged to develop
applications in collaboration with at least one other national private,
non-profit organization which has a substantial track record in
formulating strategies to improve conditions in low-income urban
communities.
Priority Area 2.0: Data Collection, Analysis, Dissemination and
Utilization. The purpose of this Priority Area is to fund a project to
improve the collection, analysis, dissemination and utilization of data
and information on CSBG activities and effective approaches to
ameliorating poverty. This includes the development of a CSBG data
collection instrument and collection, analysis and dissemination of
information on FY 1996 CSBG Programs on a nationwide basis through a
process that relies on voluntary State cooperation. The information
should be comprehensive enough and disseminated in such formats as to
enable State and local service providers to improve their planning,
management and delivery of services and to assure that the general
public has a clear understanding of those programs and their outcomes.
Of particular importance is the continued knowledge building and
knowledge development of the concepts and technologies of results-
oriented management in order to meet the requirements of the CSBG Act
of 1994 and the Government Performance and Results Act of 1993. This
priority also includes computer technology for community action
agencies and other partners in the Community Services Network for two
specific objectives: (1) their ability to participate in the
information highway, and (2) their ability to use and disseminate data,
research, and information regarding poverty issues, particularly
activities and outcomes of the Community Services Network.
Sub-Priority Area 2.1: Collection, Analysis and Dissemination of
Information on the CSBG Activities Nationwide. The purposes of this
Sub-Priority Area are two-fold: (1) To provide accurate, reliable and
comparable data from the Community Services Network nationwide; and (2)
to ensure that applicable research data regarding the conditions of
poverty necessary for framing program design and organizational
management are available to the Community Services Network. The first
purpose will be assisted by the development or continuous improvement
of a process for data collection, analysis, assessment, training,
monitoring, reporting and dissemination of CSBG and CAA best practices
and programs information. Continuous coordination and collaboration of
all Federal, State and local level partners within the Community
Services Network are critical to the implementation of this Priority
Area. The second purpose relates to expanding the knowledge and use of
results-oriented management concepts and technologies (ROMA). The
grantee will need to structure innovative strategies and capitalize on
appropriate opportunities to achieve such expansion in the Community
Services Network. It will need to work closely with the CSBG Task Force
for the purposes of exchanging views, information or guidance in
setting such goals. And, the grantee will also need to work directly
with a sample number of States yearly to measure progress with results
oriented tools and practices. Key related service program areas,
including the areas of substance abuse, child care, transportation, and
domestic violence, also need knowledge sharing and updates. These
program areas are of key importance in the implementation of welfare
reform and will have a major impact on the low income populations
served by the Community Services Block Grant. In addition to using
technology to amplify low-income issues, attention must be given to
working with the mass media who can be helpful in portraying positive
examples of program outcomes. Improving conditions in which low-income
people live is a major program outcome of the CSBG statute and
encouraged for implementation by the CSBG Task Force for the Network.
Several performance measures have been set forth which assess
incremental change in these conditions. Dissemination of research data
which provides the framework for program planning and organizational
improvements is critical to effective service provision. Also, some
consistent track record in the collection, analysis and dissemination
of CSBG and other poverty-related data is important to the
effectiveness of this priority.
Priority Area 2.2: CAAs and Technology. To promote management
efficiency and program productivity, it is essential that local CAAs
and other partners in the Community Services Network share effective
program techniques already developed by eligible entities which address
various aspects of poverty and participate in new and appropriate
information systems technologies. The purposes of this Sub-Priority
Area are to fund grants to share information and program technology in
specific areas of expertise with other organizations in the Community
Services Network and to improve the computer technology capability of
State CSBG offices and eligible entities to participate in the
Information Super Highway. Activities to exchange information and
program technology may include development and dissemination of case
studies or best practices, ``how-to'' guides and other publications,
workshops and seminars, training and technical assistance, etc.
Activities to improve computer capability should include the
development of a training and technical assistance capacity to enable
the Community Services Network to replicate currently piloted computer-
based, multi-media, community workstation projects and to build an in-
house capacity to provide technical assistance and training to
additional CAAs to participate in integrated service delivery networks.
Collaboration on the national level is an essential ingredient to the
objective of this priority.
See Part F, Section 4, for special instructions on developing a
work program. Applicants must be able to demonstrate that the projects
and program models they wish to share are effective and produce
results.
Part C--Application Prerequisites
1. Eligible Applicants
In general, eligible applicants under the various Priority Areas in
this Program Announcement are restricted to ``eligible entities'' as
defined in Section A or organizations or associations whose membership
is composed of
[[Page 34462]]
eligible entities or agencies that administer programs for eligible
entities or with organizations or associations whose membership is
composed of eligible entities or agencies that administer programs for
eligible entities for purposes of providing training, technical
assistance, planning, evaluation, and data collection activities
related to programs or projects carried out under the CSBG Act.
2. Availability of Funds
The total amount of funds available for grant awards in FY 97 is
expected to be $2,275,000 of which $800,000 is committed for
continuation grants. Amounts expected to be available and numbers of
grants under each Sub-Priority Area stated in Part B are as follows:
------------------------------------------------------------------------
Approx. funds Estimated number of
Sub-priority area available grants
------------------------------------------------------------------------
1.1 T&TA to Enhance CAAs' and **$300,000 1
Other Service Providers'
Capacity**.
1.2 T&TA to CAA State and Regional **500,000 1
Associations**.
1.3 Replication of Pilot Training 400,000 Up to 6
and/or Service Delivery Projects.
1.4 Provision of Coordinated Peer- 250,000 Up to 5
to-Peer TA Strategies for CAAs and
Programs Related to Welfare Reform.
1.5 TA to Develop Special 100,000 1
Initiatives Between CAAs and
Organizations Addressing Urban
Problems.
2.1 Collection, Analysis, and 450,000 1
Dissemination of Information on
the CSBG Activities Nationwide.
2.2 CAAs and Technology........... 300,000 Up to 12
------------------------------------
Total.......................... 2,300,000 Up to 26
------------------------------------------------------------------------
** Continuation grants announced in FY1996.
3. Project and Budget Periods
For most projects included in this Announcement, the project and
budget periods are 12 months. The exceptions are Sub-Priority 1.1-T&TA
to Enhance CAA and Other Local Service Providers' Capacity and Sub-
Priority 1.2-T&TA to CAA State and Regional Associations which have
project years through FY 1998. 2.1 Collection, Analysis, and
Dissemination of Information on CSBG Activities Nationwide is being
announced for a project period up to three (3) years. Applications for
continuation grants funded under these awards beyond the initial 12-
month budget period, but within the three-year project period will be
entertained in subsequent years, on a non-competitive basis, subject to
the availability of funds, satisfactory progress of the grantee and
determination that continued funding would be in the best interest of
the government. All budget periods are for 12 months unless in rare
instances, depending on the justification presented by the applicant, a
grant may be made for a period of up to 17 months.
4. Project Beneficiaries
The overall intended beneficiaries of the projects to be funded
under this Program Announcement are the various ``partners'' in the
Community Services Network. Specific beneficiaries are indicated under
each Sub-Priority Area in Part B. It is the intent of OCS, through
funding provided under this Program Announcement, to significantly
strengthen the capacity of State and regional CAA associations to
provide technical assistance and support to local service providers; to
strengthen the capacity of State CSBG offices to collect and
disseminate accurate and reliable data and to provide support for local
service providers; and to enhance the capacities of local service
providers themselves. The ultimate beneficiaries of improved program
management, data and information collection and dissemination, and
service quality of local service providers are low-income individuals,
families, and communities.
5. Sub-Contracting or Delegating Projects
OCS will not fund any project where the role of the applicant is
primarily to serve as a conduit for funds to organizations other than
the applicant. This prohibition does not bar the making of subgrants or
subcontracting for specific services or activities needed to conduct
the project. However, the applicant must have a substantive role in the
implementation of the project for which funding is requested.
6. Number of Projects in Application
Separate applications must be made for each Sub-Priority Area. The
Sub-Priority Area must be clearly identified by title and number.
7. Project Evaluations
Each application must include an assessment/self evaluation to
determine the degree to which the goals and objectives of the project
are met, such as, client satisfaction surveys, administration of simple
before/after tests of knowledge with comparison of scores to show grasp
of teaching points, simple measures of the results of service delivery,
and others as appropriate.
Part D--Application Procedures
1. Availability of Forms
Attachments A, B and C contain all of the standard forms necessary
for the application for awards under these OCS programs. These forms
may be photocopied for use in developing the application.
Copies of the Federal Register containing this Announcement are
available at most local libraries and Congressional District Offices
for reproduction. It is also available on the internet through GPO
Access at the web site http:ttp://www.access.gpo.gov/su__ docs/
aces140.html. 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.
A copy is also available on the OCS Electronic Bulletin Board. (See FOR
FURTHER INFORMATION section.)
For purposes of this Announcement, all applicants will use SF-424,
SF-424A, and SF-424B, Attachments A, B. and C. Instructions for
completing the SF-424, SF-424A, and SF-424B are found in Part F of this
Announcement.
Part F also contains instructions for the project narrative. The
project narrative will be submitted on plain bond paper along with the
SF-424 and related forms.
Attachment I provides a checklist to aid applicants in preparing a
complete application package for OCS.
2. Deadlines
Refer to the section entitled ``Closing Date'' at the beginning of
this Program Announcement for the last day on which applications should
be submitted. Mailed applications shall be
[[Page 34463]]
considered as meeting the announced deadline if they are received on or
before the deadline time and date at the U.S. Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants. 370 L'Enfant Promenade, SW., Mail Stop 6C-462,
Washington, DC. 20447, Attention: Application for Training, Technical
Assistance and Capacity-Building Program. Applicants are responsible
for mailing applications well in advance, when using all mail services,
to ensure that the applications are received on or before the deadline
time and date.
Applications handcarried by applicants, applicant couriers, or by
overnight/express mail couriers, shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8 a.m. and 4:30 p.m., at the U.S. Department of
Health and Human Services, Administration for Children and Families,
Division of Discretionary Grants, ACF Mail room, 2nd Floor Loading
Dock, Aerospace Center, 901 D Street, SW., Washington, DC. 20024
between Monday and Friday (excluding Federal holidays). (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.) ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time or
submission and time of receipt.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is widespread disruption of the mails. However, if ACF does
not extend the deadline for all applicants, it may not waive or extend
the deadline for any applicants. Applications, once submitted, are
considered final and no additional materials will be accepted.
One signed original application and two copies should be submitted.
Paperwork Reduction Act of 1980
Under the Paperwork Reduction Act of 1980, Pub. L. 96-511, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
program announcements. This Program Announcement does not contain
information collection requirements beyond those approved for ACF grant
applications under OMB Control Number 0970-0062.
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 Alabama, Alaska, American Samoa,
Colorado, Connecticut, Hawaii, Kansas, Idaho, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,
and the Republic of Palau have elected to participate in the Executive
Order process and have established Single Points of Contact (SPOCs).
Applicants from these twenty-three jurisdictions need take no action
regarding E.O. 12372.
Applicants for projects to be administered by Federally-recognized
Indian Tribes are also exempt from the requirements of E.O. 12372.
Otherwise, applicants should contact their SPOCs as soon as possible to
alert them of the prospective applications and receive any necessary
instructions, 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 424A, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 45 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 under
45 CFR 100.10.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, OCS-97-09,
6th Floor, 370 L'Enfant Promenade, SW., Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G to this announcement.
4. Application Consideration
Applications which meet the screening requirements in Sections 5a
and 5b 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 guidelines and evaluation
criteria published in this Announcement.
Applications will be reviewed by persons outside of the OCS unit
which would be directly responsible for programmatic management of the
grant. The results of these reviews will assist OCS in considering
competing applications. Reviewers' scores will weigh heavily in funding
decisions but will not be the only factors considered. Applications
will be ranked and generally considered in order of the average scores
assigned by reviewers. However, highly ranked applications are not
guaranteed funding since other factors deemed relevant may be
considered including, but not limited to, the timely and proper
completion of projects funded with OCS funds granted in the past 5
years; comments of reviewers and government officials; staff evaluation
and input; geographic distribution; previous program performance of
applicants; compliance with grant terms under previous DHHS grants;
audit reports; investigative reports; and applicant's progress in
resolving any final audit disallowances on OCS or other Federal agency
grants.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to ascertain the applicant's performance
record.
5. Criteria for Screening Applications
a. Initial Screening
All applicants will receive an acknowledgement with an assigned
identification number. This number, along with any other identifying
codes, must be referenced in all subsequent communications concerning
the application. If an acknowledgement is not received within two weeks
after the deadline date, please notify ACF by telephone at (202) 401-
9365. 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
[[Page 34464]]
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 A, B, and C of this Program Announcement.
(2) A project narrative 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.
b. Pre-rating Review
Applications which pass the initial screening will be forwarded to
reviewers and/or OCS staff to verify, prior to the programmatic review,
that the applications comply with this Program Announcement in the
following areas:
(1) Eligibility: Applicant meets the eligibility requirements found
in Part B. Applicant also must be aware that the applicant's legal name
as required on the SF 424 (Item 5) must match that listed as
corresponding to the Employer Identification Number (Item 6).
(2) Duration of Project: The application contains a project that
can be successfully implemented in the project period.
(3) Target Populations: The application clearly targets the
specific outcomes and benefits of the project to State staff
administering CSBG funds, CAA State or regional associations, and/or
local providers of CSBG-funded services and activities. Benefits to
low-income consumers of CSBG services also must be identified.
(4) Program Focus: The application must address development and
implementation of nationwide or statewide comprehensive activities as
described in Part B of this document for each Priority Area. While some
technical assistance activities will focus on individual eligible
entities, the applicant must be able to develop a system to offer such
services on a nationwide or statewide basis to many eligible entities.
An application may be disqualified from the competition and
returned to the applicant 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 major weaknesses under each applicable criterion
published in this Announcement.
The in-depth evaluation and review process will use the following
criteria coupled with the specific requirements contained in Part B.
Criteria for Review and Evaluation of Applications Submitted Under This
Program Announcement
(1) Criterion I: Need for Assistance (Maximum: 20 points).
(a) The application documents that the project addresses vital
needs related to the purposes stated under Sub-Priority Areas discussed
in this Program Announcement (Part B) and provides statistics and other
data and information in support of its contention. (0-10 points).
(b) The application provides current supporting documentation or
other testimonies regarding needs from State CSBG Directors, local
service providers and/or State and Regional organizations of local
service providers. (0-10 points)
(2) Criterion II: Work Program (Maximum: 30 points).
The work program must be results-oriented, appropriately related to
the legislative mandate and specifically related to the proposed Sub-
Priority Area. Applicant must address specific outcomes to be achieved;
performance targets which the project is committed to achieving,
including specifications for not setting lower or higher target levels
and how the project will verify the achievement of these targets;
critical milestones which must be achieved if results are to be gained;
organizational support including priority this project has for the
agency, past performance in similar work and specific resources
contributed to the project which are critical to success. Applicants
must define the comprehensive nature of the project and methods which
will be used to ensure that the results can be used to address a
statewide or nationwide project as defined by the priority area.
(3) Criterion III: Significant and Beneficial Impact (Maximum 15
points).
Applicant adequately describes how the project will assure long-
term program and management improvements and have advantages over other
products offered to achieve the same outcomes for State CSBG offices,
CAA State associations, and/or local providers of CSBG services and
activities. The applicant must provide the types and amounts of public
and/or private resources it will mobilize and how those resources will
directly benefit the project, and how the project will ultimately
benefit low-income individuals and families.
An applicant proposing a project with a training and technical
assistance focus also must indicate the number of organizations and/or
staff it will impact. An applicant proposing a project with a data
collection focus also must provide a description of the mechanism the
applicant will us to collect data, how it can assure collections from a
significant number of States, and how many States will be willing to
submit data to the applicant. An applicant proposing to develop the
symposium series or other policy-related projects must identify the
number and types of beneficiaries. Methods of securing participant
feedback and evaluations of activities must be described for all
Priority Areas.
(4) Criterion IV: Evidence of Significant Collaborations (Maximum
10 points).
A new performance-based paradigm is replacing a compliance-based
approach to managing CSBG programs. Under this new approach,
development and strengthening of collaborative working relationships
among all eligible entities in the Community Services Network and with
other related organizations is emphasized. OCS does not believe that
the Priority Areas in this Program Announcement can be effectively
carried out without collaboration and cooperation. Thus, applicants
must describe how they will involve partners in the Community Services
Network in their activities. Where appropriate, applicants must
describe how they will interface with other related organizations. If
subcontracts are proposed, documentation of the willingness and
capacity for the subcontracting organization(s) to participate must be
described.
(5) Criterion V: Ability of Applicant to Perform (Maximum: 20
points).
(a) The applicant demonstrates experience and a successful track
record relevant to the specific activities and program area that it
proposes to undertake, therefore, 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
specific fields of training and technical assistance on a nationwide
basis. If applicable, information provided by these applicants must
also address related achievements and competence of each cooperating or
sponsoring organization. (0-10 points)
(b) The application must fully describe (e.g. a resume) the
experience and skills of the proposed project
[[Page 34465]]
director and primary staff showing specific qualifications and
professional experiences relevant to the successful implementation of
the proposed project. (0-10 points)
(6) Criterion VI: Adequacy of Budget (Maximum: 5 points).
(a) The resources requested are reasonable and adequate to
accomplish the project. (0-3 points)
(b) Total costs are reasonable and consistent with anticipated
results. (0-2 points)
Part E--Contents of Application and Receipt Process
1. Contents of Application
Each application should include one original and two additional
copies of the following:
a. A completed Standard Form 424 which has been signed by an
official of the organization applying for the grant who has authority
to obligate the organization legally. 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 D and E.
b. ``Budget Information-Non-Construction Programs'' (SF-424A).
c. A filled out, signed and dated ``Assurances--Non-Construction
Programs'' (SF-424B), Attachment C.
d. Certifications Regarding Lobbying--Certification for Contracts.
Grants, Loans, and Cooperative Agreements: Fill out, sign and date
form found at Attachment F.
e. Certification Regarding Environmental Tobacco Smoke found at
Attachment G--sets forth the Federal certification requirement. The
applicant is certifying that it will comply by signing and submitting
the SF-424.
f. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and
date form found at Attachment F, as appropriate.
g. A Project Abstract describing the proposal in 200 words or less.
h. 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) Need for Assistance.
(ii) Work Program.
(iii)Significant and Beneficial Impact.
(iv) Evidence of Significant Collaborations.
(v) Ability of Applicant to Perform.
(vi) Appendices including proof of non-profit status, such as IRS
determination of non-profit status, where applicable; relevant sections
of By-Laws, Articles of Incorporation, and/or statement from
appropriate State CSBG office which confirms eligibility; resumes;
Single Point of Contact Comments, where applicable; and any
partnership/collaboration agreements etc.
The original must bear the signature of the authorizing official
representing the applicant organization. The total number of pages for
the entire application package should not exceed 35 pages, including
appendices. Pages should be numbered sequentially throughout. If
appendices include photocopied materials, they must be legible.
Applications should be two-hole punched at the top center and fastened
separately with a compressor slide paper fastener or a binder clip. The
submission of bound applications or applications enclosed in a binder
is specifically 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.
Part F--Instructions for Completing Application Package
(Approved by the OMB under Control Number 0970-0062)
The standard forms attached to this Announcement shall be used when
submitting applications for all funds under this Announcement.
It is recommended that the applicant reproduce the SF-424
(Attachment A), SF-424A (Attachment B), SF-424B (Attachment C) and that
the application be typed 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, the applicant should write ``NA'' for ``Not
Applicable.''
The application should be prepared in accordance with the standard
instructions in Attachments A and B corresponding to the forms, as well
as the specific instructions set forth below:
1. SF-424 ``Application for Federal Assistance'' Item
1. For the purposes of this Program Announcement, all projects are
considered ``Applications''; there are no ``Pre-Applications.''
5 and 6. The legal name of the applicant must match that listed as
corresponding to the Employer Identification Number. Where the
applicant is a previous Department of Health and Human Services
grantee, enter the Central Registry System Employee Identification
Number (CRS/EIN) and the Payment Identifying Number, if one has been
assigned, in the Block entitled ``Federal Identifier'' located at the
top right hand corner of the form.
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,
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 the OCS
program covered under this Announcement is ``93.570''.
11. In addition to a brief descriptive title of the project, the
following Priority Area designations must be used to indicate the
Priority and Sub-Priority Areas for which funds are being requested:
CB--Sub-Priority 1.1--T&TA to Enhance CAA and Other Local Service
Providers' Capacity;
CR--Sub-Priority 1.2--T&TA to CAA State and Regional Associations;
PT--Sub-Priority 1.3--Replication of Pilot Training and/or Service
Delivery Projects;
PP--Sub-Priority 1.4--Provision of Coordinated Peer-to-Peer TA for CAAs
Experiencing Programmatic, Administrative and/or Fiscal Problems; and
UI--Sub-Priority 1.5--TA to Develop Special Initiatives Between CAAs
and Organizations Addressing Urban Problems;
IS--Sub-Priority 2.1--Collection, Analysis, and Dissemination of
Information on CSBG Activities Nationwide; and
CT--Sub-Priority 2.2--CAA Program and Technology Exchange.
The title is ``Office of Community Services'' Discretionary CSBG
Awards--Fiscal Year 1996 Training, Technical Assistance, and Capacity-
Building Programs.''
15a. For purposes of this Announcement, this amount should reflect
the amount requested for the entire project period.
15b-e. These items should reflect both cash and third party in-kind
contributions for the total project period.
[[Page 34466]]
2. SF-424A--``Budget Information-Non-Construction Programs''
See instructions accompanying this page as well as the instructions
set forth below:
In completing these sections, the ``Federal Funds'' budget entries
will relate to the requested OCS Training and Technical Assistance
Program funds only, and ``Non-Federal'' will include mobilized funds
from all other sources--applicants, State, and other. Federal funds,
other than those requested from the Training and Technical Assistance
Program, should be included in ``Non-Federal'' entries.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (mobilized funds).
Section A--Budget Summary
Line 1-4
Col. (a):
Line 1 Enter ``OCS Training and Technical Assistance Program'';
Col. (b):
Line 1 Enter ``93.570''.
Col. (c) and (d): Not Applicable
Col. (e)-(g):
For each line 1-4, enter in columns (e), (f) and (g) the
appropriate amounts needed to support the project for the entire
project period.
Line 5 Enter the figures from Line 1 for all columns completed,
(e), (f), and (g).
Section B--Budget Categories
This section should contain entries for OCS funds only. For all
projects, the first budget period of 12 months will be entered in
Column #1. Allowability of costs is governed by applicable cost
principles set forth in 45 CFR parts 74 and 92.
A separate itemized budget justification should be included to
explain fully and justify major items, as indicated below. The budget
justification should immediately follow the Table of Contents.
Column 5: Enter total requirements for Federal funds by the Object
Class Categories of this section.
Line 6a--Personnel: Enter the total costs of salaries and wages.
Justification
Identify the project director. Specify by title or name the
percentage of time allocated to the project, the individual annual
salaries and the cost to the project (both Federal and non-Federal) of
the organization's staff who will be working on the project.
Line 6b--Fringe Benefits: Enter the total costs of fringe benefits,
unless treated as part of an approved indirect cost rate which is
entered on line 6j.
Justification
Enter the total costs of fringe benefits, unless treated as part of
an approved indirect cost rate.
Line 6c--Travel: Enter total cost of all travel by employees of the
project. Do not enter costs for consultant's travel.
Justification
Include the name(s) of traveler(s), total number of trips,
destinations, length of stay, mileage rate, transportation costs and
subsistence allowances.
Line 6d--Equipment: Enter the total costs of all non-expendable
personal property to be acquired by the project. Equipment 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.
Justification
Equipment to be purchased with Federal funds must be required to
conduct the project, and the applicant organization or its subgrantees
must not already have the equipment or a reasonable facsimile available
to the project. The justification also must contain plans for future
use or disposal of the equipment after the project ends.
Line 6e--Supplies: Enter the total costs of all tangible personal
property (surplus) other than that included on line 6d.
Line 6h--Other: 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, local transportation (all travel
which does not require per diem is considered local travel), 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.
Line 6j--Indirect Charges: 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 other Federal agencies. With the exception of States and
local governments, applicants should enclose a copy of the current
approved rate agreement if it was negotiated with a Federal agency
other than the Department of Health and Human Services. For an
educational institution the indirect costs on training grants will be
allowed at the lesser of the institution's actual indirect costs or 8
percent of the total direct costs.
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 cannot be also budgeted
or charged as direct costs to the grant.
The total amount shown in Section B, Column (5), Line 6k, should be
the same as the amount shown in Section A, Line 5, Column (e).
Line 7--Program Income: 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.
Justification
Describe the nature, source and anticipated use of program income
in the Program Narrative Statement.
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 has received a
commitment. Provide a brief explanation, on a separate sheet, showing
the type of contribution, broken out by Object Class Category, (See
Section B.6) and whether it is cash or third-party in-kind. The firm
commitment of these required funds must be documented and submitted
with the application.
Except in unusual situations, this documentation must be in the
form of letters of commitment or letters of intent from the
organization(s)/individuals from which funds will be received.
Line 8--
Col. (a): Enter the project title.
Col. (b): Enter the amount of cash or donations to be made by the
applicant.
Col. (c): Enter the State contribution.
Col. (d): Enter the amount of cash and third party in-kind
contributions to be made from all other sources.
[[Page 34467]]
Col. (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).
Justification
Describe third party in-kind contributions, if included.
Section D--Forecasted Cash Needs
Line 13--Enter the amount of Federal (OCS) cash needed for this
grant, by quarter, during the first 12 month budget period.
Line 14--Enter the amount of cash from all other sources needed by
quarter during the first year.
Line 15--Enter the total of Lines 13 and 14.
Section F--Other Budget Information
Line 21--Include narrative justification required under Section B
for each object class category for the total project period.
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 approved 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 must sign and return the ``Assurances'' found at
Attachment C with their application.
4. Project Narrative
Each narrative section of the application must address one or more
of the focus areas described in Part B and follow the format outlined
below.
a. Need for Assistance
b. Work Program
c. Significant and Beneficial Impact
d. Evidence of Significant Collaborations
e. Ability of the Applicant to Perform
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 project and budget periods for which
support is provided, the terms and conditions of the award, and the
total project period for which support is contemplated.
In addition to the standard terms and conditions which will be
applicable to grants, grantee will be subject to the provisions of 45
CFR parts 74 (non-governmental) and 92 (governmental) and OMB Circulars
A-122 and A-87.
Grantees will be required to submit quarterly 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
(non-governmental) and 92 (governmental) and OMB Circulars A-128 and A-
133.
Section 319 of Pub. L. 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides exemptions for
Indian tribes and tribal organizations. Current and prospective
recipients (and their subtier contractors and/or grantees) are
prohibited from using Federal funds, other than profits from a Federal
contract, for lobbying Congress or any Federal agency in connection
with the award of a contract, grant, cooperative agreement, or loan. In
addition, for each award action in excess of $100,000 (or $150,000 for
loans) the law requires recipients and their subtier contractors and/or
subgrantees (1) to certify that they have neither used nor will use any
appropriated funds for payment to lobbyists, (2) to disclose the name,
address, payment details, and purpose of any agreements with lobbyists
whom recipients or their subtier contractors or subgrantee will pay
with profits or non-appropriated funds on or after December 22, 1989,
and (3) to file quarterly up-dates about the use of lobbyists if
material changes occur in their use. The law establishes civil
penalties for noncompliance. See Attachment F for certification and
disclosure forms to be submitted with the applications for this
program.
Pub. L. 103-227, Part C. Environmental Tobacco Smoke, also known as
the Pro-Children Act of 1994 (Act), requires that smoking not be
permitted in any portion of any indoor facility owned or leased or
contracted for by an entity and used routinely or regularly for the
provision of health, day care, education, or library services to
children under the age of 18, if the services are funded by Federal
programs either directly or through States or local governmental by
Federal grant, contract, loan or loan guarantee. The law does not apply
to facilities funded solely by Medicare or Medicaid funds, and portions
of facilities used for in-patient drug or alcohol treatment. Failure to
comply with the provisions of the law may result in the imposition of a
civil monetary penalty of up to $1,000 per day and/or the imposition of
an administrative compliance order on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirement of the Act. The
applicant/grantee further agrees that it will require the language of
this certification be included in any subawards which contain
provisions for children's services and that all subgrantees shall
certify accordingly.
Attachment H indicates the regulations which apply to all
applicants/grantees under this program.
Dated: June 20, 1997.
Donald Sykes,
Director, Office of Community Services.
BILLING CODE 4148-01-P
[[Page 34468]]
[GRAPHIC] [TIFF OMITTED] TN26JN97.000
BILLING CODE 4184-01-C
[[Page 34469]]
Instructions for the SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed. and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information.
Including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State, if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities.)
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit allowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 34470]]
[GRAPHIC] [TIFF OMITTED] TN26JN97.001
[[Page 34471]]
[GRAPHIC] [TIFF OMITTED] TN26JN97.002
BILLING CODE 4184-01-C
[[Page 34472]]
Instruction for the SF 424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple function or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
program.
Lines 1-4, Columns (c) Through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the total for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants, the total
amount in column (5), Line 6k, should be the same as the total
amount shown in Section A, Column (g), Line 5. For supplemental
grants and changes to grants, the total amount of the increase or
decrease as shown in Columns (1)-(4), Line 6k, should be the same as
the sum of the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the Federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals in Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment C--Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the
[[Page 34473]]
data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any
other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management
and Budget, Paperwork Reduction Project (0348-0043), Washington, DC
20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representatives of the applicant I
certify that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 CFR 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin: (b)
Title X of the Education Amendments of 1972, as amended (20 U.S.C.
Sec. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with the provisions of the Hatch
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazards area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO in
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Sec. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic River Act of 1968 (16
U.S.C. Sec. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Sec. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984 or
OMB Circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
----------------------------------------------------------------------
Signature of authorized certifying official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant organization
----------------------------------------------------------------------
Date submitted
Attachment D
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645 (a)(1) and (h) provide that
a Federal agency designate a central receipt point for STATE-WIDE
AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central point is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW,
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements (Instructions
for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. This certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the
[[Page 34474]]
grantee knowingly rendered a false certification, or otherwise
violates the requirements of the Drug-Free Workplace Act, the
agency, in addition to any other remedies available to the Federal
Government, may take action authorized under the Drug-Free Workplace
Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplace under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all know
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substances means a controlled substance in Schedules
I through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or no-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantee Other Than Individuals)
The grantee certifies that it will or will continue to provided
a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, country, state, zip
code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time} if there are workplaces on file that are not
identified here.
Alternative II. (Grantee Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[55 FR 21690, 21702, May 25, 1990]
Attachment E--Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause,
[[Page 34475]]
have the meanings set out in the Definitions and Coverage sections
of the rules implementing Executive Order 12549. You may contact the
department or agency to which this proposal is being submitted for
assistance in obtaining a copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a persons who is proposed for debarment under 48
CFR part 9, subpart 9.4, debarred, suspended, declared ineligible,
or voluntarily excluded from participation in this covered
transaction unless authorized by the department or agency entering
into this transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the list of
Parties Excluded from Federal Procurement and Nonprocurment
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility a
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
[[Page 34476]]
Attachment F--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,''
in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form--LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
[[Page 34477]]
[GRAPHIC] [TIFF OMITTED] TN26JN97.003
BILLING CODE 4184-01-C
[[Page 34478]]
Attachment G--OMB State Single Point of Contact Listing *
January 22, 1997.
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning and Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone: (916)
323-7480, FAX: (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact, Executive Department,
Office of the Budget, Thomas Collins Building, P.O. Box 1401, Dover,
Delaware 19903, Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. and Dev., 717 14th Street, NW., Suite 400, Washington, DC.
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Coordinator, Georgia State Clearinghouse, 270
Washington Street, SW.,--8th Floor, Atlanta, Georgia 30334,
Telephone: (404) 656-3855, FAX: (404) 656-3828
Illinois
Virginia Bova, State Single Point of Contact, Illinois Department of
Commerce and Community Affairs, James R. Thompson Center, 100 West
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312)
814-6028, FAX: (312) 814-1800
Indiana
Frances Williams, State Budget Agency, 212 State House,
Indianapolis, Indiana 46204-2796, Telephone: (317) 232-5619, FAX:
(317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719 FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive--Suite 340, Frankfort,
Kentucky 40601-8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, 184 State Street, 38 State
House Station, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX:
(207) 287-6489
Maryland
William G. Carroll, Manager, Plan and Project Review, Maryland
Office of Planning, 301 W. Preston Street--Room 1104, Baltimore,
Maryland 21201-2365, Staff Contact: Linda Janey, Telephone: (410)
767-4490, FAX: (410) 767-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Government, 660 Plaza
Drive--Suite 1900, Detroit, Michigan 48226, Telephone: (313) 961-
4266, FAX: (313) 961-4869
Mississippi
Cathy Mallette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065 FAX: (702) 687-
3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-
5617
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street--Suite 5106, Raleigh,
North Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919)
733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about
intergovernmental review to:
Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400
Rhode Island
Kevin Nelson, Review Coordinator, Department of Administration,
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
Please direct correspondence and questions to:
Office of Strategic Planning
South Carolina
Rodney Grizzle, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street--Room 331, Columbia,
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1880
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267,
FAX: (608) 267-6931
Wyoming
Matthew Jones, State Single Point of Contact, Office of the
Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne,
WY 82002, Telephone: (307) 777-7446, FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
PO. Box 41119, San Juan, Puerto 00940-1119, Telephone: (809)
[[Page 34479]]
727-4444, (809) 723-6190, FAX (809) 724-3270; (809) 724-3103
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, Office of Management and
Budget, Office of the Governor, Siapan, MP 96950, Telephone: (670)
664-2256, FAX: (670) 664-2272, Contact person: Ms. Jacoba T. Seman,
Federal Programs Coordinator, Telephone: (670) 664-2289, FAX: (670)
664-2272
Virgin Islands
Nellon Bowry, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069
If you would like a copy of this list faxed to your office,
please call our publications office at: (202) 395-9068
* In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' this listing represents the designated
State Single Points of Contact. The jurisdictions not listed no
longer participate in the process BUT GRANT APPLICANTS ARE STILL
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY
COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.''
STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama,
Alaska; American Samoa; Colorado; Connecticut; Kansas; Hawaii;
Idaho; Louisiana; Massachusetts, Palau; Minnesota; Montana;
Nebraska; New Jersey; Oklahoma; Oregon; Pennsylvania; South Dakota;
Tennessee; Vermont, Virginia; and Washington. This list is based on
the most current information provided by the States. Information on
any changes or apparent errors should be provided to the Office of
Management and Budget and the State in question. Changes to the list
will only be made upon formal notification by the State. Also, this
listing is published biannually in the Catalogue of Federal Domestic
Assistance.
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for the children's services and that all subgrantees
shall certify accordingly.
Attachment H, DHHS Regulations Applicable to Grants
The following DHHS regulations apply to all applicants/grantees
under the Training and Technical Assistance Program
Title 45 of the Code of Federal Regulations:
Part 16--Procedures of the Departmental Grant Appeals Board
Part 74--Administration of Grants (non-governmental)
Part 74--Administration of Grants (State and local governments and
Indian Tribal affiliates):
Sections
74.26 Non-Federal Audits
74.27 Allowable Costs for Hospitals and Other Non-profit
Organizations
74.90 Final Decisions in Disputes
74.32 Real Property
74.34 Equipment and
74.35 Supplies
74.24 General Program Income
Part 74--20-28 Fiscal Management
Part 74--40-48 Procedure Standards
Part 74--50-53 Reports and Records
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension form Eligibility for Financial
Assistance
Subpart--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 84--Non-discrimination on the Basis of Handicap in Programs
Part 86--Nondiscrimination on the basis of sex in the admission of
individuals to training 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
[FR Doc. 97-16774 Filed 6-25-97; 8:45 am]
BILLING CODE 4184-01-P
