[Federal Register Volume 64, Number 127 (Friday, July 2, 1999)]
[Notices]
[Pages 36184-36208]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-16721]
[[Page 36183]]
_______________________________________________________________________
Part IV
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Announcement of Second Round of Applications and Competitive Funding
Under the Office of Community Services' Fiscal Year 1999 Assets for
Independence (IDA) Demonstration Program Priority Area 1.0; Notice
Federal Register / Vol. 64, No. 127 / Friday, July 2, 1999 /
Notices
[[Page 36184]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-99-08]
Announcement of Second Round of Applications and Competitive
Funding Under the Office of Community Services' Fiscal Year 1999,
Assets for Independence (IDA) Demonstration Program, Priority Area 1.0
[This Announcement is Essentially the Same as the Announcement
published January 27, 1999, as Modified by the Notice of
Clarification published March 29, 1999]
AGENCY: Office of Community Services (OCS), ACF, DHHS.
ACTION: Announcement of second round of FY 1999 funding and
availability of funds and request for second round of competitive
applications under the Office of Community Services' Assets for
Independence Demonstration Program.
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SUMMARY: Initial screening of applications received pursuant to its
Program Announcement of January 27, 1999 revealed serious deficiencies
in a substantial number of applications, resulting in a fewer number of
applications available for competitive review than originally
anticipated. Consequently, after review of applications and award of
grants under Priority Area 1.0 pursuant to the Announcement of January
27, there will remain FY 1999 funds available, and the Office of
Community Services (OCS) is therefore announcing a second invitation to
eligible entities to submit competitive grant applications for new
demonstration projects under Priority Area 1.0 that will establish,
support, and participate in the evaluation of Individual Development
Accounts for lower income individuals and families. This announcement
invites applications from new applicants as well as those entities who
were notified that their original applications under round one were
deficient, and from applicants who have been notified that their
applications in the first round were not competitively selected for
grant award, and who would like them reconsidered, or who choose to
revise and resubmit their previous applications on the basis of
reviewer comments. All potential applicants should be aware that it is
the intention of the Office of Community Services to publish its FY
2000 Assets for Independence Program Announcement on or about August
16, 1999 with a closing date early in the year 2000.
DATES: To be considered for funding applications must be received by
close of business on August 9, 1999. Applications received after that
date will not be accepted for consideration. See Part VI of this
Announcement for more information on submitting applications.
FOR FURTHER INFORMATION CONTACT: Richard Saul (202) 401-9341 or Sheldon
Shalit (202) 401-4807, Department of Health and Human Services,
Administration for Children and Families, Office of Community Services,
370 L'Enfant Promenade, SW, Washington, DC, 20447.
In addition, this Announcement is accessible on the OCS WEBSITE at
``http://www.acf.dhhs.gov/programs/ocs'' under ``funding
opportunities''.
The Catalog of Federal Domestic Assistance (CFDA) number for this
Program is ``93.602''. The title is Assets for Independence
Demonstration Program (IDA Program).
SUPPLEMENTARY INFORMATION: This program announcement consists of nine
parts plus appendices:
Part I: Announcement of Second Round of IDA Applications.
Part II: Summary of Announcement Modifications Pursuant to the
Notice of Clarification Published March 29, 1999.
Part III: Background Information: legislative authority, program
purpose, CFDA number, and definition of terms.
Part IV: Program Objectives and Requirements: program priority
areas, eligible applicants, project and budget periods, funds
availability and grant amounts, project eligibility and
requirements, non-Federal matching funds requirements, preferences,
multiple applications, treatment of program income, and partnership
with financial institutions.
Part V: The Project Description, Program Proposal Elements and
Review Criteria: project summary; the review process, project goals,
application brevity; proposal elements and review criteria; and
funding reconsideration.
Part VI: Application Procedures: application materials,
application development/availability of forms, application
submission, intergovernmental review, initial OCS screening,
application consideration.
Part VII: Instructions for Completing Application Forms: SF424,
SF424A, SF424B.
Part VIII: Contents of Application and Receipt Process: content
and order of program application, acknowledgement of receipt
Part IX: Post Award Information and Reporting Requirements:
notification of grant award, attendance at evaluation workshops,
reporting requirements, audit requirements, prohibitions and
requirements with regard to lobbying, applicable Federal
regulations.
Appendices: Application forms and required attachments.
Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public Law 104-13, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
Program Announcements. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number. This Program
Announcement does not contain information collection requirements
beyond those approved for ACF grant announcements/applications under
OMB Control Number OMB-0970-0139 (expires 10/31/2000).
Part I. Announcement of Second Round of IDA Applications
The Office of Community Services is hereby announcing a second
round of Applications for Priority Area 1.0 of the Assets for
Independence Demonstration (IDA) Program. Because of serious
deficiencies in a substantial number of applications received pursuant
to its Program Announcement of January 27, 1999, OCS is not able to
award all of the funds available in that funding cycle. Deficient
Applications from the first round have been returned to applicants, as
have those not selected for funding in the competitive review of first
round applications. This Announcement affords these applicants, as well
as new applicants who have not previously submitted applications for
this program, the opportunity to submit new or revised applications for
consideration. Only new Applicants or Applicants submitting
applications under the first round who have received notification of
being deficient or of not being selected for funding in the first round
are eligible to submit applications pursuant to this Announcement.
Applications should be prepared and will be reviewed in accordance with
the requirements, program elements, and review criteria of this
Announcement, which are the same as those in the Program Announcement
published January 27, 1999, as modified by the Notice of Clarification
published March 29, 1999.
In every case, each application submitted pursuant to this
Announcement must include a newly completed, signed, and dated SF 424,
``Application for Federal Assistance''.
Part II. Summary of Announcement Modifications Pursuant to the
Notice of Clarification Published March 29, 1999
In the clarifications and guidance of March 29 OCS sought to
respond to the issues raised by all of the interested
[[Page 36185]]
parties. The clarifications of issues of interest to applicants for the
Assets for Independence Demonstration Program were set forth in that
Notice and have been incorporated as modifications into this Program
Announcement. As noted above, the full text of these modifications, as
well as a series of informative Q's and A's, may be found on the OCS
website. The modifications to the original Program Announcement, and
which have been incorporated into this Announcement, may be summarized
as follows:
A. Custodial Accounts. Applicants are advised that grantees will
have the option of establishing Individual Development Accounts (IDA's)
either as Trusts or as Custodial Accounts. [See Part III. D. (5) under
Definitions, and PART IV.G.(3) Establishment of Individual Development
Accounts.]
B. ``Non-Federal Share Agreements'' must include a schedule of
deposits that will assure that there will be at all times in a
Demonstration Project's Reserve Fund sufficient non-Federal matching
contribution funds to equal the maximum amount pledged as matching
contributions under the ``Savings Plan Agreements'' for all IDA's then
open (which may be less than the $2000 for each account stated in the
Program Announcement as originally published). [See PART VI. D. (6) and
PART IV. I. Non-Federal Matching Funds Requirements.]
C. The ``Savings Plan Agreement'', required under PART IV Section
G(3)(n) of the Program Announcement as part of the instrument creating
the IDA, should, under item #2, set the matching contribution rate for
the account up to a total of not more than $2000 in Federal grant
funds, during the project period, rather than a total of all match
funds as stated in the Program Announcement as originally published. It
should also include a new item 9 providing for withdrawal of
savings if participant leaves the program. [See PART IV.G.(3)(n)
Savings Plan Agreement.]
D. Project and Budget Periods. Applicants are advised that they may
submit applications for project and budget periods of up to five years,
but of at least three years' duration. [See PART IV.C. Project and
Budget Periods under Priority Area 1.0]
E. Additional matching contributions. Applicants are advised that
once the statutory requirement of equal matching contributions to IDA's
from non-Federal sources and Federal grant funds is satisfied,
additional matching contributions may be made from non-Federal sources
or even from Federal sources such as TANF where the legislation or
policies governing such programs so permit. In the case of TANF funds,
such contributions would be limited to IDA's of TANF recipients. [See
PART IV.G.(5) Deposits in Individual Development Accounts.]
F. Income Eligibility. The actual income limits from IRS tables for
the Section 32 Earned Income Tax Credit are now set forth in PART
IV.G.(a) Participant Eligibility.
G. Earned Income. The pertinent language from Section 911(d)(2) of
the Internal Revenue Code, defining ``earned income'', is now set forth
in PART IV.G.(5)(a) Matching Contributions.
Part III. Background Information
A. Legislative Authority
The Assets for Independence Demonstration Program (IDA Program) was
established by the Assets for Independence Act (AFI Act), under Title
IV of the Community Opportunities, Accountability, and Training and
Educational Services Act of 1998 (Pub. L. 105-285, 42 USC 604 Note).
B. Program Purpose
The purpose of the program is, in the language of the AFI Act: to
provide for the establishment of demonstration projects designed to
determine:
(1) The social, civic, psychological, and economic effects of
providing to individuals and families with limited means an incentive
to accumulate assets by saving a portion of their earned income;
(2) The extent to which an asset-based policy that promotes saving
for postsecondary education, homeownership, and microenterprise
development may be used to enable individuals and families with limited
means to increase their economic self-sufficiency; and
(3) The extent to which an asset-based policy stabilizes and
improves families and the community in which the families live.
C. The Catalog of Federal Domestic Assistance (CFDA) Number for This
Program is 93.602
D. Definition of Terms
For the purposes of this Announcement:
(1) AFI Act means the Assets for Independence Act (Title IV of the
Community Opportunities, Accountability, and Training and Educational
Services Act of 1998) which authorizes this program.
(2) Eligible Individual means an individual who meets the income
and net worth requirements of the program as set forth in PART IV,
Section G(2)(a).
(3) Emergency Withdrawal means a withdrawal of only those funds, or
a portion of those funds, deposited by the eligible individual (Project
Participant) in an Individual Development Account of such Individual.
Such withdrawal must be approved by the Project Grantee, must be made
for an allowable purpose as defined in the AFI Act and under the
Project Eligibility Requirements set forth in PART IV of this
Announcement, and must be repaid by the individual Project Participant
within 12 months of the withdrawal. [See PART IV, Section G(6)(b)]
(4) Household means all individuals who share use of a dwelling
unit as primary quarters for living and eating separate from other
individuals.
(5) Individual Development Account means a trust or a custodial
account created or organized in the United States exclusively for the
purpose of paying the qualified expenses of an eligible individual, or
enabling the eligible individual to make an emergency withdrawal, but
only if the written governing instrument creating the trust or
custodial account meets the requirements of the AFI Act and of the
Project Eligibility and Requirements set forth in this Announcement.
[See PART IV, Section G(3) and (4).
(6) Net Worth of a Household means the aggregate market value of
all assets that are owned in whole or in part by any member of the
household, exclusive of the primary dwelling unit and one motor vehicle
owned by a member of the household, minus the obligations or debts of
any member of the household.
(7) Project Grantee means a Qualified Entity as defined in
paragraph (10) below, which receives a grant pursuant to this
Announcement.
(8) Project Participant means an Eligible Individual as defined in
paragraph (2) above who is selected to participate in a demonstration
project by a qualified entity.
(9) Project Year means, with respect to a funded demonstration
project, any of the 5 consecutive 12-month periods beginning on the
date the project is originally awarded a grant by ACF.
(10) Qualified Entity means an entity eligible to apply for and
operate an assets for independence demonstration project, under
Priority Area 1.0, as one or more not-for-profit 501(c)(3) tax exempt
organizations, or a State or local government agency, or a tribal
government, submitting an application jointly with such a not-for-
profit organization. States eligible to apply under Priority Area 2.0
are deemed to be Qualified Entities.
(11) Qualified Expenses means one or more of the expenses for which
payment
[[Page 36186]]
may be made from an individual development account by a project grantee
on behalf of the eligible individual in whose name the account is held,
and is limited to expenses of (A) post-secondary education, (B) first
home purchase, and/or (C) business capitalization, as defined below:
(A) Post-Secondary Educational Expenses means post-secondary
educational expenses paid from an individual development account
directly to an eligible educational institution, and includes:
(i) Tuition and Fees required for the enrollment or attendance of a
student at an eligible educational institution.
(ii) Fees, Books, Supplies, and Equipment required for courses of
instruction at an eligible educational institution.
(iii) Eligible Educational Institution means the following:
(I) Institution of Higher Education.--An institution described in
Section 101 or 102 of the Higher Education Act of 1965.
(II) Post-Secondary Vocational Education School.--An area
vocational education school (as defined in subparagraph (C) or (D) of
section 521(4) of the Carl D. Perkins Vocational and Applied Technology
Education Act (20 U.S.C. 2471(4)) which is in any State (as defined in
section 521(33) of such Act) as such sections are in effect on the date
of enactment of this title.
(B) First-Home Purchase means qualified acquisition costs with
respect to a principal residence for a qualified first-time homebuyer,
if paid from an individual development account directly to the persons
to whom the amounts are due. Within this definition:
(i) Principal Residence means a main residence, the qualified
acquisition costs of which do not exceed 100 percent of the average
purchase price applicable to a comparable residence in the area.
(ii) Qualified Acquisition Costs means the cost of acquiring,
constructing, or reconstructing a residence, including usual or
reasonable settlement, financing, or other closing costs.
(iii) Qualified First-Time Homebuyer means an individual
participating in the project involved (and, if married, the
individual's spouse) who has no present ownership interest in a
principal residence during the 3-year period ending on the date on
which a binding contract is entered into for purchase of the principal
residence to which this subparagraph applies.
(C) Business Capitalization means amounts paid from an individual
development account directly to a business capitalization account that
is established in a Qualified Financial Institution and is restricted
to use solely for qualified business capitalization expenses of the
eligible individual in whose name the account is held. Within this
definition:
(i) Qualified Business Capitalization Expenses means qualified
expenditures for the capitalization of a qualified business pursuant to
a qualified plan.
(ii) Qualified Expenditures means expenditures included in a
qualified plan, including but not limited to capital, plant, equipment,
working capital, and inventory expenses.
(iii) Qualified Business means any business that does not
contravene any law or public policy (as determined by the Secretary).
(iv) Qualified Plan means a business plan, or a plan to use a
business asset purchased, which--
(I) Is approved by a financial institution, a microenterprise
development organization, or a nonprofit loan fund having demonstrated
fiduciary integrity;
(II) Includes a description of services or goods to be sold, a
marketing plan, and projected financial statements; and
(III) May require the eligible individual to obtain the assistance
of an experienced entrepreneurial advisor.
(12) Qualified Financial Institution means a Federally insured
Financial Institution, or a State insured Financial Institution if no
Federally insured Financial Institution is available.
(13) Qualified Savings of the Individual for the Period means the
aggregate of the amounts contributed by an eligible individual to the
individual development account of the individual during the period.
(14) Secretary means the Secretary of Health and Human Services,
acting through the Director of the Office of Community Services.
(15) Tribal Government means a tribal organization, as defined in
section 4 of the Indian Self-Determination and Education Assistance Act
(24 U.S.C. 450b) or a Native Hawaiian organization, as defined in
section 9212 of the Native Hawaiian Education Act (20 U.S.C. 7912).
(16) Trust Agreement means the instrument by which an Individual
Development Account is established in the partnering Financial
Institution as required in PART II Section G(3).
(17) Trustee means the Qualified Financial Institution responsible
for management of the Individual Development Account pursuant to the
Trust Agreement.
Part IV. Program Objectives and Requirements
A. Program Priority Areas
Of the two Program Priority Areas under this program, only
applications under Priority Area 1.0, are invited by this Announcement,
from Qualified Entities as described below and in Section G.
B. Eligible Applicants
Eligible applicants for the Assets for Independence Demonstration
Program Priority Area 1.0 are one or more not-for-profit 501(c)(3) tax
exempt organizations, or a State or local government agency, or a
tribal government, submitting an application jointly with such a not-
for-profit organization. Applicants must provide documentation of their
tax exempt status. The applicant can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of their currently
valid IRS tax exemption certificate. Failure to provide evidence of
Section 501(c)(3) tax exempt status will result in rejection of the
application.
C. Project and Budget Periods Under Priority Area 1.0
This announcement is inviting applications under Priority Area 1.0
for project and budget periods of up to five (5) years (but at least
three (3) years). Grant actions, on a competitive basis, will award
funds for the full project and budget periods of three to five years'
duration. As noted below in Section E., subject to the availability of
funds, grantees may be offered the opportunity to compete for
supplementary funding in later years during the project.
Note: Applicants should be aware that OCS funds awarded pursuant
to this Announcement will be from fiscal year (FY) 1999 funds and
may not be expended after the end of a five year Project/Budget
Period to support administration of the project or matching
contributions to Individual Development Accounts which may be open
at that time.
D. Project and Budget Periods for Projects Under Priority Area 2.0
(Not applicable)
E. Funds Availability and Grant Amounts Under Priority Area 1.0
Under this Program Announcement approximately $3.5 million in
Fiscal Year 1999 funds is available under Priority Area 1.0 for funding
commitments to approximately 14 projects, not to exceed $500,000 and
[[Page 36187]]
averaging a total of approximately $250,000 for the three- to five-year
project. Applicants are reminded that grant awards are limited to the
amount of committed non-Federal cash matching contributions, and are
urged to make realistic projections of project needs over the duration
of the project and propose project budgets accordingly. Draw-down of
grant funds over the three- to five-year budget period will be
permitted in amounts that will match non-Federal deposits into the
Project Reserve Fund. (See Section I., below) As noted above, subject
to availability of funds and the progress of individual demonstration
projects, grantees may be offered the opportunity to compete for
supplementary funding in later years during the project, if there were
a determination that this would be in the best interest of the
government.
F. Funds Availability and Grant Amounts Under Priority Area 2.0
(Not applicable)
G. Project Eligibility and Requirements Under Priority Area 1.0
To be eligible for funding under Priority Area 1.0, projects must
be sponsored and managed by Qualified Entities and must meet the
following requirements:
(1) Reserve Fund. A grantee, other than a State or local government
agency or tribal government, must establish a Reserve Fund and maintain
it in accordance with accounting regulations prescribed by the
Secretary. (Note: Such regulations will be issued prior to grant awards
and made available to grantees at the time of the award.)
(a) Amounts in the Reserve Fund. As soon after receipt as is
practicable, such grantees shall deposit in such Reserve Fund the non-
Federal matching contributions received pursuant to the ``Non-Federal
Share Agreement'' or Agreements reached with the provider(s) of non-
Federal matching contributions. Once such non-Federal funds are
deposited in the Reserve Fund, grantees may draw down OCS grant funds
in amounts equal to such deposits. Similarly, as soon after receipt as
practical, such grantees shall deposit the income received from any
investment made of those funds (see below).
(b) Use of Amounts in the Reserve Fund. Grantees shall use the
amounts in such Reserve Fund as follows:
(A) At least 90.5% of the Federal grant funds in the Reserve Fund
shall be used as matching contributions to Individual Development
Accounts for Project Participants, matched by non-Federal contributions
in accordance with Paragraph (5), below.
(B) At least 2% but no more than 9.5% of the Federal grant funds
shall be used toward the expense of collecting and providing to the
research organization evaluating the demonstration project the data and
information required for the evaluation.
(C) Up to 7.5% of the Federal grant funds may be used for
administration of the demonstration project and toward expenses of
assisting project participants to obtain the skills (including economic
literacy, budgeting, and business management skills), training, and
information necessary to achieve economic self-sufficiency through
activities requiring qualified expenses.
(D) Up to 9.5% of the required matching non-Federal funds may be
used for expenses outlined in Paragraphs (B) and (C), above, or other
project-related expenses as agreed by the Applicant and the providing
entity.
Note: If a grantee mobilizes matching non-Federal contributions
in excess of the required 100 percent match, such non-Federal funds
may be used however the grantee and provider of the funds may agree.
(c) Authority to Invest Funds. A grantee shall invest the amounts
in its Reserve Fund that are not immediately needed for payment under
paragraph (b), in a manner that provides an appropriate balance between
return, liquidity, and risk, and in accordance with Guidelines which
will be issued by the Secretary prior to making of grant awards and
provided to grantees at the time of grant award.
(d) Use of Investment Income. Income generated from investment of
Reserve Fund monies that are not allocated to existing Individual
Development Accounts may be added by grantees to the funds committed to
program administration, participant support, or evaluation data
collection. As noted in Paragraph M, below, once funds have been
committed as matching contributions to Individual Development Accounts,
then any income subsequently generated by such funds must be deposited/
credited to the credit of such accounts.
Note: No part of such income is to be considered as a Federal
funds contribution subject to the $2000/$4000 limitations under
Paragraph (5)(b), below.
(e) Joint Project Administration. If two or more qualified entities
are jointly administering a project, none shall use more than its
proportional share for the purposes described in subparagraphs (B) and
(C), of paragraph (b).
(2) Eligibility and Selection of Project Participants.
(a) Participant Eligibility. Eligibility for participation in the
demonstration projects is limited to individuals who are members of
households eligible for assistance under TANF or of households whose
adjusted gross income does not exceed the earned income amount
described in Section 32 of the Internal Revenue Code of 1986 (taking
into account the size of the household), and whose net worth as of the
end of the calendar year preceding the determination of eligibility
does not exceed $10,000, excluding the primary dwelling unit and one
motor vehicle owned by a member of the household.
[Note: The most recent EITC Earned Income Guidelines which set
the limits on annual income for eligibility in the IDA Program are
as follows:
--For a household without a child: $10,030
--For a household with one child: $26,473
--For a household with more than one child: $30,095
Applicants are reminded that there is also an assets test for
eligibility in the program.]
(b) Participant Selection. In keeping with the statutory preference
in Section 405(d)(3) of the AFI Act for applications that target
individuals from neighborhoods or communities that experience high
rates of poverty or unemployment, grantees under Priority Area 1.0, in
their selection of Project Participants, may restrict participation in
such neighborhoods or communities targeted by their demonstration
projects to individuals and households with lower incomes and net worth
than set forth above, provided that they shall nonetheless select
individuals that they determine to be best suited to participate in the
demonstration project.
(3) Establishment of Individual Development Accounts. Grantees must
create, through written governing instruments, either (a) Trusts, under
this paragraph, or (b) Custodial Accounts described in Paragraph (4)
below, which will be Individual Development Accounts on behalf of
Project Participants. Trustees of Trusts must be Qualified Financial
Institutions. Custodians of Custodial Accounts may be Qualified
Financial Institutions, other insured financial institutions
satisfactory to the Secretary, or Demonstration Project Grantees. In
every case the participating insured financial institution and the
Demonstration Project Grantee shall be parties to the written governing
instruments creating the Trust or Custodial Account, which must contain
the following provisions:
(a) No contribution will be accepted unless in cash or by check.
[[Page 36188]]
Note: In accordance with U.S. Treasury Regulations and accepted
commercial practice, electronic transfer of funds will be considered
a cash payment for purposes of this Announcement.
(b) The assets of the trust will be invested in accordance with the
direction of the Project Participant after consultation with the
grantee and pursuant to the guidelines of the Secretary (which will be
issued prior to the making of grant awards and made available to
grantees at the time of grant award).
(c) The assets of the trust will not be commingled with other
property except in a common trust fund or common investment fund.
(d) In the event of the death of the Project Participant, any
balance remaining in the trust shall be distributed within 30 days of
the date of death to another Individual Development Account established
for the benefit of an eligible individual as directed by the
Participant in the Savings Plan Agreement under sub-paragraph (h),
below; provided, that the Participant may at their option direct the
disposition of any funds in the trust which were deposited in the trust
by the Participant.
(e) Except in the case of the death of the Project Participant,
amounts in the trust attributable to deposits by the grantee from grant
funds and matching non-federal contributions, and any interest thereon,
may be paid, withdrawn or distributed out of the trust only for the
purpose of paying qualified expenses of the Project Participant (i.e.
for post-secondary education expenses, first-home purchase, or business
capitalization. See PART III Section D(11))
(f) The procedures governing the withdrawal of funds from the
Individual Development Account, for both Qualified Expenses and
Emergency Withdrawals, which comply with the provisions of Paragraph
(6) Withdrawals from Individual Development Accounts, below.
(g) A provision, in accordance with the direction of the Project
Participant, for the distribution within 30 days of any balance in the
trust on the day following the death of such Participant, to another
individual development account established for the benefit of an
eligible individual. [Note that this will mean that each Project
Participant must provide such direction at the time the Individual
Development Account is established. Provision should be made by
grantees for modification of such directions during the course of the
project, in the event of changing circumstances.]
(h) A ``Savings Plan Agreement'' between the grantee and the
Project Participant, which should include: (1) savings goals (including
a proposed schedule of savings deposits by the Participant from earned
income, which may be for a period of less than five years); (2) the
rate at which participant savings will be matched (from one dollar to
eight dollars for each dollar in savings deposited by Participant, up
to a total of $2000 in Federal grant funds matched by an equal amount
in non-Federal contributions during the project period); (3) the
proposed qualified expense for which the Account is maintained, (4) any
training or education related to the qualified expense which the
Grantee agrees to provide and of which the Participant agrees to
partake, (5) contingency plans in the event that the Participant
exceeds or fails to meet projected savings goals or schedules, (6) any
agreement as to investments of assets described in subparagraph (c),
above, (7) provision for disposition of the funds in the trust
(account) in the event of the Participant's death (see sub-Paragraph
(d), above; (8) provision for amendment of the Agreement with the
concurrence of both Grantee and Participant; and (9) a provision that
should the Project Participant decide to leave the program, the grantee
agrees that it will co-sign a withdrawal of the Participant's savings
plus any income accrued thereon, with the understanding that the
Participant thereby loses any right to receive matching contributions.
(4) Custodial Accounts. Notwithstanding the provisions of Paragraph
(3), above, Grantees may, in the alternative, create, through written
governing instruments, Custodial Accounts which shall be Individual
Development Accounts on behalf of Project Participants, except that
they will not be trusts. As in the case of trusts established under
paragraph (3), the written governing instruments of the accounts must
contain the requirements outlined in subparagraphs (a) through (h) of
that paragraph, with the following exceptions. Whereas trustees of the
trusts created under Paragraph (3) must be Qualified Financial
Institutions, the assets of the custodial account may be held by a bank
or another ``person'' (or institution) who demonstrates to the
satisfaction of the Secretary that the manner in which the account will
be administered will be consistent with the provisions of the AFIA, and
that the IDA's will be created and maintained as described in paragraph
(3) and Section 404(5)(A) of the AFIA. In addition, in the case of a
custodial account treated as a trust by reason of this paragraph, the
custodian of such account may be the Project Grantee, provided that it
can assure compliance with the requirements of Paragraph (3) above, and
Section 404(5)(A) of the AFIA. These arrangements would place the
``custodial'' responsibilities with the grantee, and relieve financial
institutions of trustee obligations. The Secretary has determined that
the assets of any such accounts must be held in an insured financial
institution and be subject to the provisions of Paragraph M, below,
pertaining to agreements with applicants/grantees.
(5) Deposits in Individual Development Accounts.
(a) Matching Contributions. Not less than once every three months
during the demonstration project grantees will make deposits into
Individual Development Accounts, or into a parallel account maintained
by the grantee, as matching contributions to deposits from earned
income made by Project Participants during the period since the
previous deposit.
Note: Deposits made by Project Participants shall be deemed to
have been made from earned income so long as the Participant's
earned income (as defined in Section 911(d)(2) of the Internal
Revenue Code of 1986) during the period since the Participant's
previous deposit in the account is greater than the amount of the
current deposit. Section 911(d)(2) provides, in relevant part, ``the
term 'earned income' means wages, salaries, or professional fees,
and other amounts received as compensation for personal services
actually rendered''. Matching contributions must be made to IDA's in
equal amounts from Federal grant funds and the non-Federal public
and private funds committed to the project as matching
contributions, as described in Sections 405(c)(4) and 406(b)(1) of
the AFI Act. Such matching contribution deposits by grantees may be
from $0.50 to $4 in non-Federal funds and an equal amount in Federal
grant funds, for each dollar of earned income deposited in the
account by the Project Participant in whose name the account is
established. Once such equal matching contribution deposits are
made, grantees may make additional matching contributions to IDA's
from other non-Federal sources, or other Federal sources such as
TANF, where the legislation or policies governing such programs so
permit. At the time matching contribution deposits are made, the
grantee will also deposit into the Individual Development Account
(or the parallel account) any interest or income that has accrued
since the previous deposit on amounts previously deposited in or
credited to that account.
(b) Limitations on Matching Contributions. Over the course of the
five year demonstration, not more than $2,000 in Federal grant funds
shall be provided through matching contributions to any one individual;
and
[[Page 36189]]
not more than $4,000 shall be provided to any one household.
(6) Withdrawals from Individual Development Accounts.
(a) Limitations. No earlier than six months after the initial
deposit by a Project Participant in an Individual Development Account,
funds may be withdrawn from such account, but only upon written
approval of the Project Participant and of a responsible official of
the project grantee, and only for one or more Qualified Expenses (as
defined in Part III) or for an Emergency Withdrawal.
(b) Emergency Withdrawals. An Emergency Withdrawal may only be of
those funds, or a portion of those funds, deposited in the account by
the Project Participant, and for the following purposes:
(i) Expenses for medical care or necessary to obtain medical care
for the Project Participant or a spouse or dependent of the
Participant;
(ii) Payments necessary to prevent eviction of the Project
Participant from, or foreclosure on the mortgage for, the principal
residence of the Participant;
(iii) Payments necessary to enable the Project Participant to meet
necessary living expenses (food, clothing, shelter--including utilities
and heating fuel) following loss of employment.
(c) Reimbursement of Emergency Withdrawals. A Project Participant
shall reimburse an Individual Development Account for any funds
withdrawn from the account for an Emergency Withdrawal, not later than
12 months after the date of the withdrawal. If the Participant fails to
make the reimbursement, the Project Grantee must transfer the funds
deposited into the account or a parallel account from Federal and non-
Federal matching contributions, and any income generated thereby, back
to the Reserve Fund of the grantee, and use the funds to benefit other
individuals participating in the demonstration project involved. Any
remaining funds deposited by the Project Participant (plus any income
generated thereby) shall be returned to such Project Participant.
(d) Transfers to Individual Development Accounts of Family Members.
At the request of a Project Participant, and with the written approval
of a responsible official of the grantee, amounts may be paid from an
individual development account directly into another such account
established for the benefit of an eligible individual who is--
(i) The Participant's spouse, or
(ii) Any dependent of the Participant with respect to whom the
Participant is allowed a deduction under section 151 of the Internal
Revenue Code of 1986.
H. Project Eligibility and Requirements Under Priority Area 2.0
(Not applicable)
I. Non-Federal Matching Funds Requirements
Grantees must provide at least one hundred percent of the OCS grant
amount in cash non-Federal share for deposit to the Reserve Fund as
matching contribution. Public sector resources that can be counted
toward the minimum required match include funds from State and local
governments, and funds from various block grants allocated to the
States by the Federal Government providing the authorizing legislation
for these grants permits such use. (Note, for example, that Community
Development Block Grant (CDBG) funds may be counted as matching funds;
whereas CSBG FUNDS, for example, may not.) To be considered for funding
an Application must include a copy of a ``Non-Federal Share Agreement''
or Agreements in writing executed with the entity or entities providing
the required non-Federal matching contributions, on letterhead of the
entity and signed by a person authorized to make a commitment on behalf
of the entity. Such Agreement(s) must include: (1) a commitment to
provide the non-Federal funds contingent only on the grant award; (2) a
schedule of deposits to the projects's Reserve Fund of at least ten
percent of the total committed for the entire project at the start of
each of the Project years, plus any additional amounts needed to assure
that there are at all times in the Reserve Fund non-Federal matching
contribution funds equal to the total amounts of such funds pledged as
maximum matching contributions under the ``Savings Plan Agreements''
for all Individual Development Accounts then open and being maintained
by the grantee as part of the demonstration project; and (3) a
statement that up to 9.5 percent of the required non-Federal matching
contribution funds it provides may be allocated from the Reserve Fund
to the support of project administration, Participant support, data
collection or other project-related expenses. (See Section G(1)(b),
above, and PART VI, Section D(5)) Grantees are encouraged to mobilize
additional resources, which may be cash or in-kind contributions,
Federal or non-Federal, for support of project administration and
assistance to Project Participants in obtaining skills, knowledge, and
needed support services. (See Part V, Element IV).
Note: If a grantee mobilizes matching non-Federal contributions
in excess of the required 100 percent match, such non-Federal funds
may be used however the grantee and provider of the funds may agree.
Grantees will be held accountable for commitments of such excess
matching funds and additional resources proposed or pledged as part
of an approved application even if over the amount of the required
match.
J. Preferences
In accordance with the provisions of the AFI Act, in considering an
application to conduct a demonstration project under Priority Area 1.0,
OCS will give preference to an application that
(1) Demonstrates the willingness and ability of the applicant to
select individuals for participation in the project who are
predominantly from households in which a child (or children) is living
with the child's biological or adoptive mother or father, or with the
child's legal guardians;
(2) Provides a commitment of non-Federal funds with a
proportionately greater amount of such funds committed from private
sector sources; and
(3) Targets individuals residing within one or more relatively
well-defined neighborhoods or communities (including rural communities,
public housing developments, Empowerment Zones and Enterprise
Communities) that experience high rates of poverty or unemployment.
K. Multiple Applications
Qualified Entities may submit more than one application for
different demonstration projects, but no more than one such application
will be funded to the same Qualified Entity.
L. Treatment of Program Income
As noted in Section G(1)(d), above, income generated from
investment of unallocated funds in the Reserve Fund may be added to the
funds already committed from the Reserve Fund to program
administration, participant support, or evaluation data collection.
However, once funds have been committed as matching contributions to
Individual Development Accounts, then any income generated by such
funds must be deposited proportionately to the credit of such accounts.
Note: No part of such income is to be considered as a Federal
funds contribution subject to the $2000/$4000 limitations under
Section G(5)(b), above. (See also Sections G(1)(d) and G(5)(a),
above).
M. Agreements With Partnering Financial Institutions
All applicants under Priority Area 1.0 must enter into agreements
with one or
[[Page 36190]]
more insured Financial Institutions, in collaboration with which
Reserve Funds and Individual Development Accounts will be established
and maintained. To be considered for funding, an Application under
Priority Area 1.0 must include a copy of an Agreement or Agreements
with one or more partnering Qualified Financial Institutions (or in the
case of Individual Development Accounts established as Custodial
Accounts, an insured financial institution satisfactory to the
Secretary), which state(s) that the accounting procedures to be
followed in account management will conform to Guidelines established
by the Secretary (which will be issued prior to grant awards and made
available to grantees at time of award), and under which the partnering
Financial Institution agrees to provide data and reports as requested
by the applicant. In the case of IDA's established as Trusts under
Section G(3), above, the partnering financial institution must be a
Qualified Financial Institution as defined in PART III Section D(12).
In the case of IDA's established as Custodial Accounts, the partnering
financial institution must be insured and must meet the requirements of
Section G(4), above, to the satisfaction of the Secretary. The
Agreement may also include other services to be provided by the
partnering Financial Institution that could strengthen the program,
such as Financial Education Seminars, favorable pricing or matching
contributions provided by the Financial Institution, and assistance in
recruitment of Project Participants.
Part V. The Project Description, Program Proposal Elements and
Review Criteria
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. Cross-referencing should be
used rather than repetition. OCS is particularly interested in specific
factual information and statements of measurable goals in quantitative
terms. Project descriptions are evaluated on the basis of substance,
not length. Extensive exhibits are not required. (Supporting
information concerning activities that will not be directly funded by
the grant or information that does not directly pertain to an integral
part of the grant funded activity should be placed in an appendix.)
Pages should be numbered and a table of contents should be included for
easy reference.
A. Project Summary
Applicants should provide a Project Summary of not more than one
page which should be page 1 of the Project Narrative/Description.
B. Project Goals, Application Brevity
The ultimate goals of the projects to be funded under the Assets
for Independence Demonstration Program are: (1) to achieve, through
project activities and interventions, the creation of asset
accumulation opportunities for recipients of Temporary Assistance for
Needy Families (TANF) and other eligible individuals and families that
can lead to economic self-sufficiency of members of the communities
served through activities requiring one or more qualified expenses; (2)
to support and make possible the evaluation of the effectiveness of
these interventions and of the project design through which they were
implemented; and (3) thus to make possible the replication of
successful programs. As noted here, OCS intends to make the awards of
all the above grants on the basis of brief, concise narrative project
descriptions. The elements and format of these project descriptions,
along with the review criteria that will be used to evaluate them, will
be outlined in this Part.
In order to simplify the application preparation and review
process, OCS seeks to keep grant proposals cogent and brief.
Applications with project narratives (excluding appendices) of more
than 30 letter-sized pages of 12 c.p.i. type or equivalent on a single
side will not be reviewed for funding. Applicants should prepare and
assemble their project description using the following outline of
required project elements. They should, furthermore, build their
project concept, plans, and application description upon the guidelines
set forth for each of the project elements.
C. Proposal Elements and Review Criteria for Applications Under
Priority Area 1.0
Applications which pass the initial screening will be assessed and
scored by reviewers. Each reviewer will give a numerical score for each
application reviewed. These numerical scores will be supported by
explanatory statements on a formal rating form describing major
strengths and weaknesses under each applicable criterion published in
the Announcement. Scoring will be based on a total of 100 points.
The competitive review of proposals will be based on the degree to
which applicants:
(1) Adhere to the requirements in Part IV and incorporate each of
the Elements and Sub-Elements below into their proposals, so as to:
(2) Describe convincingly a project that will develop new asset
accumulation opportunities for TANF recipients and other eligible
individuals and families that can lead to a transition from dependency
to economic self-sufficiency through activities requiring one or more
qualified expenses; and
(3) Provide for the collection of relevant data to support the
testing and evaluation of the project design, implementation, and
outcomes so as to make possible replication of a successful program.
For each of the Project Elements or Sub-Elements below there is at
the end of the discussion a suggested number of pages to be devoted to
the particular element or sub-element. These are suggestions only; but
the applicant must remember that the overall Project Narrative must not
be longer than 30 pages.
Element I. Organizational Experience and Administrative Capability.
(Total Weight of 0 to 20 points)
Sub-Element I(a) Experience and Staffing. (Weight of 0-10 points)
The applicant should cite its capability and relevant experience in
developing and operating programs which deal with poverty problems
similar to those to be addressed by the proposed project, including the
provision of supportive services to TANF recipients and other low
income individuals and families seeking to achieve economic stability
and self-sufficiency, as well as with evaluations and data collection.
Applications should identify applicant agency executive leadership in
this section and briefly describe their involvement in the proposed
project and provide assurance of their commitment to its successful
implementation. The application should note and justify the priority
that this project will have within the agency including the facilities
and resources that it has available to carry it out.
Finally, the application must identify the two or three individual
staff persons who will have the most responsibility for managing the
project, coordinating services and activities for participants and
partners, and for achieving performance targets. The focus should be on
the qualifications, experience, capacity and commitment to the program
of the key staff persons who will administer and implement the project.
The person identified as Project
[[Page 36191]]
Director should have supervisory experience, experience in working with
financial institutions and budget related problems of the poor, and
experience with the target population. Because this is a demonstration
project within an already-established agency, OCS expects that the key
staff person(s) would be identified, if not hired.
It is suggested that applicants use no more than 3 pages for this
sub-Element, not counting actual resumes or position descriptions,
which should be included in an Appendix to the proposal.
Sub-Element I(b) Ability to Assist Participants. (Weight of 0-10
points)
The experience and ability of the applicant in recruiting,
educating, and assisting project participants to increase their
economic independence and general well-being through the development of
assets. The application should cite the organization's experience in
collaborative programming and operations which involve financial
institutions and financial planning, budget counseling, educational
guidance, preparation for home ownership, and self-employment training.
The application should also cite the roles, responsibilities, and
experience of any other organizations that will be collaborating with
the Applicant to assist and support Project Participants in the pursuit
of their goals under the project.
It is suggested that applicants use no more than 3 pages for this
sub-Element. Any supportive materials or reports should be included in
the Appendix to the proposal.
Element II. Sufficiency of the Project Theory, Design, and Plan
(Total Weight of 0-40 points)
The degree to which the project described in the application
appears likely to aid project participants in achieving economic self-
sufficiency through activities requiring one or more qualified
expenses.
OCS seeks to learn from the application why and how the project as
proposed is expected to establish the creation of new opportunities for
asset accumulation by eligible individuals and families that can lead
to significant improvements in individual and family self-sufficiency
through activities requiring one or more qualified expenses: for post-
secondary education, home ownership, and/or qualified business
capitalization.
Applicants are urged to design and present their project in terms
of a conceptual cause-effect framework that makes clear the
relationship between what the project plans to do and the results it
expects to achieve.
Sub-Element II(a). Description of Target Population, Analysis of
Need, and Project Assumptions. (Weight of 0-15 points)
The project design or plan should begin with identifying the
underlying assumptions about the program. These are the beliefs on
which the proposed program is built. They should begin with assumptions
about the strengths and needs of the population to be served; about how
the accumulation of assets will enable project participants to build on
those strengths in their quest to achieve self-sufficiency; about what
anticipated needs of the participants could be barriers to that
achievement, and why and how the services or interventions proposed by
the applicant are appropriate and will meet those needs and remove such
barriers; and about the impact the proposed interventions will have on
the project participants.
In other words, the underlying assumptions of the program are the
applicant's analysis of the participant strengths and potential to be
supported and their needs and problems to be addressed by the project,
and the applicant's theory of how its proposed interventions will
address those strengths and needs to achieve the desired result. Thus a
strong application is based upon a clear description of the needs and
problems to be addressed and a persuasive understanding of the causes
of those problems.
In this sub-element of the proposal the applicant must precisely
identify the target population to be served. The geographic area to be
impacted should then be briefly described, citing the percentage of
residents who are low-income individuals and TANF recipients, as well
as the unemployment rate, and other data that are relevant to the
project design.
The application should include an analysis of the identified
personal barriers to employment, job retention and greater self-
sufficiency faced by the population to be targeted by the project.
(These might include such problems as illiteracy, substance abuse,
family violence, lack of skills training, health or medical problems,
need for childcare, lack of suitable clothing or equipment, or poor
self-image.) The application should also include an analysis of the
identified community systemic barriers which the project will seek to
overcome. These might include lack of public transportation; lack of
markets; unavailability of financing, insurance or bonding; inadequate
social services (employment service, child care, job training); high
incidence of crime; inadequate health care; or environmental hazards.
Applicants should be sure not to overlook the personal and family
services and support needed by project participants after they are on
the job which will enhance job retention and advancement, and help to
assure that benefits attainable through asset accumulation are not
wasted by crises beyond the participants' control.
Note: In accordance with the legislative preferences set forth
in Part IV Section J, above, the maximum score for this sub-Element
in the review of applications under Priority Area 1.0 will only be
given to applications which
(1) Demonstrate the willingness and ability of the applicant to
select individuals for participation in the project who are
predominantly from households in which a child (or children) is
living with the child's biological or adoptive mother or father, or
with the child's legal guardians; and
(2) Target individuals residing within one or more relatively
well-defined neighborhoods or communities (including rural
communities, public housing developments, Empowerment Zones and
Enterprise Communities) that experience high rates of poverty or
unemployment.
Each of these preferences will be valued at 2 points in the
proposal review, so that the absence of one will reduce the review
score for the sub-Element by 2 points; the absence of both will
reduce the review score by 4 points.
It is suggested that applicants use no more than 5 pages for this
Sub-Element.
Sub-Element II(b). Project Approach and Design: Interventions,
Outcomes, and Goals. (Weight of 0-20 points)
The Application should outline a plan of action which describes the
scope and detail of how the proposed work will be accomplished and
result in outcomes which will build on the strengths of the Program
Participants and assist them to overcome the identified personal and
systemic barriers to achieving self-sufficiency. In other words, what
will the project staff do with the resources provided to the project
and how will what they do (interventions) assist project participants
to accumulate assets in Individual Development Accounts and use those
assets for qualified expenses in a manner that will lead them to self-
sufficiency?
In this sub-element the applicant should discuss all of the planned
activities and interventions and should explain the reasons for taking
the approaches proposed.
The application should include here a brief discussion of the
following aspects of the proposed project:
(1) Plans for recruitment of participants into the program;
(2) Criteria for selection of participants from among the eligible
target population;
[[Page 36192]]
(3) The proposed rate(s) for matching contributions to Individual
Development Accounts. (If more than one rate project-wide is proposed,
the rationale should be provided);
(4) The provisions of the ``Savings Plan Agreements'' proposed to
be made with Project Participants and included in the Trust Agreements
establishing Individual Development Accounts. (A sample Savings Plan
Agreement may be provided to satisfy this criterion.) [See Part IV,
Section G(3)(g) of this Announcement]
(5) The role of partnering financial institutions in account
management and data collection and reporting;
(6) The role of the applicant and partners in providing training,
counseling, and other types of support to participants, including those
activities documented as in-kind contributions to the project under
Element IV, below; and
(7) Any plans included in the proposed project for crisis
intervention activities that will be able to provide assistance to
participants so as to avoid emergency withdrawals which might
jeopardize continued participation in the project.
It is suggested that applicants use no more than 9 pages for this
Sub-Element, not including any sample ``Savings Plan Agreement'', which
if provided should be included in an Appendix.
Sub-Element II(c). Work Plan, Projections, Time Lines. (Weight of
0-5 points)
Applicant should provide quantitative quarterly projections of the
activities to be carried out and such information as the projected
number of participants to be enrolled, the number of Individual
Development Accounts to be opened, the number and amount of deposits,
and the number and types of services provided to participants. The plan
should briefly describe the key project tasks, and show the timelines
and major milestones for their implementation. Applicant may be able to
use a simple Gantt or time line chart to convey the work plan in
minimal space.
It is suggested that applicants use no more than 2 pages for this
Sub-Element.
Element III. Evaluation Data: Adequacy of Plan for Providing
Information for Evaluation. (Weight of 0-15 points)
Applicant should identify the kinds of data to be collected,
maintained, and/or disseminated. The AFI Act makes provision for a
national evaluation of the demonstration program as a whole, and sets
aside 2% of the appropriated funds for its support. In addition, each
grantee must spend at least 2% of its grant funds (but not more than
9.5%) for the collection of data needed to support the evaluation. This
Element of the application will be judged on the adequacy of the plan
for providing information relevant to an evaluation of the project.
Note: To achieve the maximum score for this Element in the
review process, applications must include a statement that the
applicant agrees to use the ``MIS IDA'' information system software
developed by the Center for Social Development, or a comparable and
compatible system, for the maintenance, collection, and transmission
of data from the proposed project.
It is suggested that applicants use no more than 2 pages for this
Element.
Element IV. Commitment of Non-Federal Funds and Additional
Resources. (Weight of 0-15 points)
The aggregate amount of direct funds from non-federal public sector
and from private sources that are formally committed to the project as
matching contributions; and the mobilization of additional resources in
support of project .
As noted below in Part VI, Paragraph D Initial OCS Screening, only
applications which include written documentation of a commitment to the
provision of a non-Federal share, in cash as distinguished from in-
kind, of at least the amount of the total federal grant requested for
the project will be considered for competitive review.
At the same time, OCS has determined that the strict legislative
limitations on the use of Federal grant funds and of the minimum
required non-Federal match (at least 90.5% of each must go toward
matching deposits in Individual Development Accounts) mean that
important training, counseling and support activities, critical to the
success of a project, can only be supported by additional resources,
both of the applicant itself and mobilized by the applicant in the
community.
Consequently, applicants documenting only the required non-Federal
100% cash matching contributions to the project will receive no more
than 8 points for this Element, subject to the Notation below regarding
legislative preferences.
In this section the applicant should identify those additional
resources, cash and in-kind, which will be dedicated to support of
those activities and interventions identified in sub-Element II(b),
such as training, counseling, and crisis intervention; and any staff
activities described in Element III. Such resources may be existing
programs of the applicant or a project partner, such as Family
Development, Literacy classes, or Small Business Training, in which
Project Participants will be enrolled as part of their efforts to
achieve self-sufficiency. This Element will be judged in the review
process on the adequacy of the mobilized resources to support the
activities and interventions described in sub-Element II(b). The
commitment of such resources to the project must be documented in
writing and submitted as an Appendix to the Application. Because such
additional resources are not part of the legislatively mandated non-
Federal matching requirement, these additional resources may be of
Federal or non-Federal origin, public or private, in cash or in-kind.
Applicants are reminded that they will be held accountable for
commitments of such additional resources even if over the amount of the
required match.
Note: In accordance with the legislative preferences set forth
in Part IV Section J, above, the maximum score for this Element, in
the review of applications under Priority Area 1.0 only, will only
be given to applications which provide a commitment of required non-
Federal cash matching contributions with a proportionately greater
amount of such funds committed from private sector as opposed to
public sources. This preference will be valued at 2 points in the
proposal review, so that the absence of such a commitment will
reduce the review score for the Element by 2 points.
It is suggested that no more than 3 pages be used for this Element,
not including any letters of commitment or partnership agreements,
which should be put in an Appendix to the proposal.
Element V. Results or Benefits Expected: Significant and Beneficial
Impacts. (Weight of 0-10 points)
The proposed project is expected to produce permanent and
measurable results that will reduce the incidence of poverty in the
community and lead TANF recipients and other eligible individuals and
families toward economic self-sufficiency. Results are expected to be
quantifiable in terms of the number of Individual Development Accounts
opened, their rate of growth, the number and size of withdrawals for
each of the three qualified expenses, and the impact of the payment of
those expenses on the participants' movement toward self-sufficiency.
Applicants should set forth their realistic goals and projections
for attainment of these and other beneficial impacts of the proposed
project.
Critical issues or potential problems that might affect the
achievement of project objectives should be explicitly addressed, with
an explanation of how they would be overcome, and how the objectives
will be achieved notwithstanding any such problems.
[[Page 36193]]
It is suggested that no more than 3 pages be used for this Element.
D. Proposal Elements and Review Criteria for Application Under Priority
Area 2.0
(Not applicable)
E. Funding Reconsideration
After Federal funds are exhausted for this grant competition,
applications which have been independently reviewed and ranked but have
no final disposition (neither approved nor disapproved for funding) may
again be considered for funding. Reconsideration may occur at any time
funds become available within twelve (12) months following ranking. ACF
does not select from multiple ranking lists for a program. Therefore,
should a new competition based on the same review criteria be scheduled
and applications remain ranked without final disposition, such
applications will be entered into the rank order list for the new
competition in accordance with their previous score. At the same time,
such applicants will be informed of their opportunity instead to
reapply for the new competition, if they so choose, and to the extent
practical, in which case the previous application will be disregarded.
Part VI. Application Procedures
A. Application Development/Availability of Forms
In order to be considered for a grant under this program
announcement, an application must conform to the Program Requirements
set out in Part IV and be prepared in accordance with the guidelines
set out in Part V, above. It must be submitted on the forms supplied in
the attachments to this Announcement and in the manner prescribed
below. Attachments A through I contain all of the standard forms
necessary for the application for awards under this OCS program. These
attachments and Parts VI and VII of this Announcement contain all the
instructions required for submittal of applications.
Additional copies may be obtained by writing or telephoning the
office listed under the section entitled FOR FURTHER INFORMATION
CONTACT: at the beginning of this announcement. In addition, this
Announcement is accessible on the Internet through the OCS Website for
reading or downloading at ``http://www.acf.dhhs.gov/programs/ocs''
under ``funding opportunities''.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace, debarment
regulations and the Certification Regarding Environmental Tobacco
Smoke, set forth in Attachments G, I and H.
Part V contains instructions for the substance and development of
the project narrative. Part VII contains instructions for completing
application forms. Part VIII, Section A describes the contents and
format of the application as a whole.
B. Application Submission
(1) Number of Copies Required. One signed original application and
four copies should be submitted at the time of initial submission. (OMB
0970-0139)
(2) Deadline. Applications shall be considered as meeting the
announced deadline of August 9, 1999 if they are received on or before
the deadline date. Mailed applications must be sent to: U.S. Department
of Health and Human Services, Administration for Children and Families,
Office of grants Management, Office of Child Support Enforcement,
``Attention: IDA Program'', 370 L'Enfant Promenade, SW., Washington, DC
20447.
Applications handcarried by applicants, applicant couriers, other
representatives of the applicant, or by express or overnight delivery
services shall be considered as meeting an announced deadline if they
are received on or before the deadline date, between the hours of 8:00
a.m. and 4:30 p.m., EDT, at the U.S. Department of Health and Human
Services, Administration for Children and Families, Office of grants
Management, Office of Child Support Enforcement, Mailroom, 2nd Floor
(near loading dock), Aerospace Center, 901 D Street, SW., Washington,
DC 20024, between Monday and Friday (excluding Federal holidays). The
address must appear on the envelope/package containing the application
with the note ``Attention: IDA Program''. (Applicants are cautioned
that express/overnight mail services do not always deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
(3) Late applications. Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
(4) Extension of deadlines. ACF may extend an application deadline
when circumstances such as acts of God (floods, hurricanes, etc.)
occur, or when there are widespread disruption of the mail service, or
in other rare cases. Determinations to extend or waive deadline
requirements rest with ACF's Chief Grants Management Officer.
C. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
Note: State/Territory participation in the intergovernmental
review process does not signify applicant eligibility for financial
assistance under a program. A potential applicant must meet the
eligibility requirements of the program for which it is applying
prior to submitting an application to its SPOC, if applicable, or to
ACF.
Attachment J is a Single Point of Contact List for participating
jurisdictions.
The following jurisdictions have elected not to participate in the
Executive Order process: Alabama, Alaska, American Samoa, Colorado,
Connecticut, Kansas, Hawaii, Idaho, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, Palau,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, and
Washington. Applicants from these jurisdictions, for projects
administered by federally recognized Indian Tribes, or which are States
(under Priority Area 2.0) need take no action in regard to E.O. 12372.
All remaining jurisdictions participate in the Executive Order process
and have established SPOCs. Applicants from participating jurisdictions
should contact their SPOCs as soon as possible to alert them of the
prospective applications and receive instructions.
Applicants must submit any required material to the SPOCs as soon
as possible so that the program office can obtain and review SPOC
comments as part of the award process. The applicant must submit all
required materials, if any, to the SPOC and indicate the date of this
submittal (or the date of contact if no submittal is required) on the
Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60
days from the application deadline to comment on proposed awards. SPOCs
are encouraged to eliminate the submission of routine endorsements as
official recommendations. Additionally,
[[Page 36194]]
SPOCs are requested to differentiate clearly between mere advisory
comments and those official State process recommendations which may
trigger the ``accommodate or explain'' rule. When comments are
submitted directly to ACF, they should be addressed to: U.S. Department
of Health and Human Services, Administration for Children and Families,
Office of grants Management, Office of Child Support Enforcement,
``Attention: IDA Program'', 370 L'Enfant Promenade, SW, Washington, DC
20447.
D. Initial OCS Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that the application was received by
the closing date and submitted in accordance with the instructions in
this announcement.
All applications that meet the published deadline requirements as
provided in this Program Announcement will be screened for completeness
and conformity with the following requirements. Only complete
applications that meet the requirements listed below will be reviewed
and evaluated competitively. Other applications will be returned to the
applicants with a notation that they were unacceptable and will not be
reviewed.
The following requirements must be met by all applicants except as
noted:
(1) The application must contain a 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 VII and Attachments A, B, and C of this Program Announcement.
(2) A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be limited to 30
pages, typewritten on one side of the paper only with one-inch margins
and type face no smaller than 12 characters per inch (cpi) or
equivalent. The Budget Narrative, Charts, exhibits, resumes, position
descriptions, letters of support or commitment, Agreements with
partnering organizations, and Business Plans (where required) are not
counted against this page limit. It is strongly recommended that
applicants follow the format and content for the narrative described in
the program elements set out in Part V.
(3) The SF-424 and the SF-424B must be signed by an official of the
organization applying for the grant who has authority to obligate the
organization legally. Applicants must also be aware that the
applicant's legal name as required on the SF-424 (Item 5) must match
that listed as corresponding to the Employer Identification Number
(Item 6).
(4) In the case of applications under Priority Area 1.0,
application must contain documentation of the applicant's tax exempt
status as required under Part IV, Section A.
(5) In the case of Application under Priority Area 1.0, the
Application must include a copy of a ``Non-Federal Share Agreement'' or
Agreements in writing executed with the entity or entities providing
the required non-Federal matching contributions, on letterhead of the
entity and signed by a person authorized to make a commitment on behalf
of the entity. Such Agreement(s) must include: (1) a commitment to
provide the non-Federal funds contingent only on the grant award; (2) a
schedule of deposits to the project's Reserve Fund of at least ten
percent of the total committed for the entire project at the start of
each of the Project Years, plus any additional amounts needed to assure
that there are at all times in the Reserve Fund non-Federal matching
contribution funds equal to the total amounts pledged as maximum
matching contributions under the ``Savings Plan Agreements'' for all
Individual Development Accounts then open and being maintained by the
grantee as part of the demonstration project; and (3) a statement that
up to 9.5 percent of the required non Federal matching contribution
funds it provides may be allocated from the Reserve Fund to the support
of project administration, Participant support, data collection or
other project-related expenses. (See PART IV Sections G(1)(b) and I.)
Grantees are encouraged to mobilize additional resources, which may be
cash or in-kind contributions, Federal or non-Federal, for support of
project administration and assistance to Project Participants in
obtaining skills, knowledge, and needed support services. (See Part V,
Element IV).
Note: If a grantee mobilizes matching non-Federal contributions
in excess of the required 100 percent match, such non-Federal funds
may be used however the grantee and provider of the funds may agree.
(See also Part IV, Section I)
(6) In the case of Application under Priority Area 1.0 the
Application must include a copy of an Agreement between the Applicant
and one or more Qualified Financial Institution(s), which states that
the accounting procedures to be followed in account management will
conform to Guidelines established by the Secretary (which will be
issued prior to grant awards and provided to grantees at time of
award), and under which the partnering financial institution will agree
to provide data and reports as requested by the applicant.
E. Consideration of Applications Under Priority Area 1.0
Applications which pass the initial OCS screening will be reviewed
and rated by an independent review panel on the basis of the specific
review criteria described in Part V, above. The review criteria were
designed to assess the quality of a proposed project, and to determine
the likelihood of its success. The evaluation criteria are closely
related and are considered as a whole in judging the overall quality of
an application. Points are awarded only to applications which are
responsive to the review criteria within the context of this program
announcement. The results of these reviews will assist the Director and
OCS program staff in considering competing applications. Reviewers'
scores will weigh heavily in funding decisions, but will not be the
only factors considered.
Applications generally will be considered in order of the average
scores assigned by reviewers. However, highly ranked applications are
not guaranteed funding since other factors are taken into
consideration, including, but not limited to, the timely and proper
completion of projects funded with OCS funds granted in the last five
(5) years; comments of reviewers and government officials; staff
evaluation and input; the amount and duration of the grant requested
and the proposed project's consistency and harmony with OCS goals and
policy; geographic distribution of applications; previous program
performance of applicants; compliance with grant terms under previous
HHS grants, including the actual dedication to program of mobilized
resources as set forth in project applications; audit reports;
investigative reports; and applicant's progress in resolving any final
audit disallowances on previous OCS or other Federal agency grants.
Since non-Federal reviewers will be used for review of applications
under Priority Area 1.0, applicants may omit from the application
copies (under Priority Area 1.0 only) which will be made available to
the non-Federal reviewers, the specific salary rates or amounts for
individuals identified in the application budget. Rather, only summary
information is required.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to verify the
[[Page 36195]]
applicant's performance record and the documents submitted.
F. Consideration of Applications Under Priority Area 2.0
(Not applicable)
Part VII. Instructions for Completing Application Forms
The standard forms attached to this announcement shall be used to
apply for funds under this program announcement.
It is suggested that you reproduce single-sided copies of the SF-
424 and SF-424A, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms (Attachments A and B) as modified by the OCS specific
instructions set forth below:
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
A. SF-424--Application for Federal Assistance (Attachment A) Top of
Page
Where the applicant is a previous Department of Health and Human
Services grantee, enter the Central Registry System Employee
Identification Number (CRS/EIN) and the Payment Identifying Number, if
one has been assigned, in the Block entitled Federal Identifier located
at the top right hand corner of the form (third line from the top).
Item 1. For the purposes of this announcement, all projects are
considered Applications; there are no Pre-Applications.
Item 7. If applicant is a State, enter ``A'' in the box. If
applicant is an Indian Tribe enter ``K'' in the box. If applicant is a
non-profit organization enter ``N'' in the box.
Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this announcement is 93.602. The title is ``IDA
Program''.
Item 11. In addition to a brief descriptive title of the project,
indicate the priority area for which funds are being requested. Use the
following letter designations:
I--Individual projects under Priority Area 1.0.
S--Statewide projects under Priority Area 2.0.
Item 13. Proposed Project--The project start date must begin on or
before September 30, 1999; the ending date should be calculated on the
basis of the 36- to 60-month Project Period.
Item 15a. This amount should be no greater than $500,000 for
applications under Priority Area 1.0.
Item 15b-e. These items should reflect both cash and third-party,
in-kind contributions for the Project Period.
B. SF-424A--Budget Information--Non-Construction Programs (Attachment
B)
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS funds only, and Non-Federal will include
mobilized funds from all other sources--applicant, state, local, and
other. Federal funds other than requested OCS funding should be
included in Non-Federal entries.
Sections A, B, and C of SF-424A should reflect budget estimates for
each year of the Project Period.
Section A--Budget Summary
You need only fill in lines 1 and 5 (with the same amounts)
Col. (a): Enter ``IDA Program'' as Item number 1. (Items 2, 3, 4,
and 5 should be left blank.)
Col.(b): Catalog of Federal Domestic Assistance number is 93.602.
Col. (c) and (d): not relevant to this program.
Column (e)--(g): enter the appropriate amounts in items 1. and 5.
(Totals) Column e should not be more than $500,000 for applications
under Priority Area 1.0; and in no case can it be more than the
committed non-Federal matching cash contribution.
Section B--Budget Categories
(Note that the following information supersedes the instructions
provided with the Form in Attachment C)
Columns (1)--(5): For each of the relevant Object Class Categories:
Column 1: Enter the OCS grant funds for the full 3- to 5-year
budget period. With regard to Class Categories, at least 90.5 percent
of OCS grant funds should be entered in ``h. Other'', representing the
funds to be deposited in the Reserve Fund. At least 2 percent of OCS
grant funds, for data collection, should be entered under ``Other'',
``Contractual'', and/or ``Personnel'' as appropriate. Up to 7.5 percent
of OCS grant funds, which may be for project administration and
support, should be entered in Class Categories as appropriate.
Columns 2, 3 and 4 are not relevant to this program.
Column 5: Enter the total federal OCS grant funds for the five year
budget by Class Categories, showing a total of not more than $500,000.
Note: Only out-of-town travel should be entered under Category
c. Travel. Local travel costs should be entered under Category h.
Other. Costs of supplies should be included under Category e.
``Supplies'' is tangible personal property other than ``equipment''.
``Equipment'' means an article of nonexpendable, tangible personal
property having a useful life of more than one year and an
acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for financial
statement purposes, or (b) $5,000. Articles costing less should be
included in ``Supplies''.
Section C--Non Federal Resources
This section is to record the amounts of ``non-Federal'' resources
that will be used to support the project. In this context, ``Non-
Federal'' resources mean other than the OCS funds for which the
applicant is applying. Therefore, mobilized funds from other Federal
programs, such as the Job Training Partnership Act program or the
Welfare-to-Work program, should be entered on these lines. Provide a
brief listing of these ``non-Federal'' resources on a separate sheet
and describe whether it is a grantee-incurred cost or a third-party
cash or in-kind contribution. The firm commitment of these resources
must be documented and submitted with the application in order to be
given credit in the review process under the Non-Federal Resources
program element.
(Note: Even though non-Federal resources mobilized may go beyond
the amount required as match under the IDA Program, grantees will be
held accountable for any such cash or in-kind contribution proposed or
pledged as part of an approved application. (See Part IV, Section I.
and Part V, Element IV.)
Sections D, E, and F may be left blank by Applicants under Priority
Area 1.0.
As noted in Part VIII, a supporting Budget Justification must be
submitted providing details of expenditures under each budget category,
with justification of dollar amounts which relate the proposed
expenditures to the work program and goals of the project.
C. SF-424B Assurances: Non-Construction Programs
Applicants requesting financial assistance for a non-construction
project
[[Page 36196]]
must file the Standard Form 424B, ``Assurances: Non-Construction
Programs.'' (Attachment C) Applicants must sign and return the Standard
Form 424B with their applications.
Applicants must provide a certification concerning Lobbying. Prior
to receiving an award in excess of $100,000, applicants shall furnish
an executed copy of the lobbying certification. (See Attachments D and
E) Applicants must sign and return the certification with their
applications. Applicants should note that the Lobbying Disclosure Act
of 1995 has simplified the lobbying information required to be
disclosed under 31 USC 1352.
Applicants must make the appropriate certification on their
compliance with the Drug-Free Workplace Act of 1988 and the Pro-
Children Act of 1994 (Certification Regarding Smoke Free Environment).
(See Attachments G and H) By signing and submitting the applications,
applicants are attesting to their intent to comply with these
requirements and need not mail back the certification with the
applications.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award.
(See Attachment I) By signing and submitting the applications,
applicants are providing the certification and need not mail back the
certification with the applications. Copies of the certifications and
assurances are located at the end of this announcement.
Part VIII. Contents of Application and Receipt Process
Application pages should be numbered sequentially throughout the
application package, beginning with an Abstract of the proposed project
as page number one; and each application must include all of the
following, in the order listed below:
A. Content and Order of IDA Program Application
1. Table of Contents;
2. An Abstract of the project--very brief, not to exceed 300 words,
that would be suitable for use in an announcement that the application
has been selected for a grant award; which identifies the type of
project(s), the target population, the applicant, partners, and the
major elements of the work plan.
3. A completed Standard Form 424 (Attachment A) which has been
signed by an official of the organization applying for the grant who
has authority to obligate the organization legally; [Note: The original
SF-424 must bear the original signature of the authorizing
representative of the applicant organization];
4. A completed Budget Information-Non-Construction Programs (SF-
424A) (Attachment B);
5. A narrative budget justification for each object class category
included under Section B;
6. Proof of tax-exempt status;
7. A project narrative, limited to the number of pages specified
below, which includes all of the required elements described in Part V.
[Specific information/data required under each component is described
in Part V Section C, Application Elements and Review Criteria.]
8. Appendices, which should include the following:
a. Filled out, signed and dated Assurances--Non-Construction
Programs (SF-424B), Attachment C;
b. Restrictions on Lobbying--Certification for Contracts, Grants,
Loans, and Cooperative Agreements: filled out, signed and dated form
found at Attachment D;
c. Disclosure of Lobbying Activities, SF-LLL: Filled out, signed
and dated form found at Attachment E, if appropriate (omit Items 11-15
on the SF LLL and ignore references to continuation sheet SF-LLL-A)
d. Maintenance of Effort Certification (See Attachment F);
e. Signed Agreement with partnering Financial Institution(s) (in
the case of Application under Priority Area 1.0 only);
f. Signed Agreements with providers of Required non-Federal
matching contributions (see Program Element IV);
g. Resumes and/or position descriptions;
h. Any letters from cooperating or partnering agencies in target
communities. [Such letters are not part of the Narrative and should be
included in the Appendices. These letters are therefore not counted
against the page limitations of the Narrative.]; and
i. Single points of contact comments, if applicable.
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8\1/2\ x 11 inch paper only.
They must not include colored, oversized or folded materials. Do not
include organizational brochures or other promotional materials,
slides, films, clips, etc. in the proposal. They will be discarded if
included. The applications should be two-hole punched at the top center
and fastened separately with a compressor slide paper fastener, or a
binder clip. The submission of bound plans, or plans enclosed in
binders is specifically discouraged.
B. Acknowledgement of Receipt
Acknowledgment of Receipt--All applicants will receive an
acknowledgement with an assigned identification number. Applicants are
requested to supply a self-addressed mailing label with their
Application, or a FAX number or e-mail address which can be used for
acknowledgement. The assigned identification number, along with any
other identifying codes, must be referenced in all subsequent
communications concerning the Application. If an acknowledgement is not
received within three weeks after the deadline date, please notify ACF
by telephone at (202) 401-5103.
Part VII. Post Award Information and Reporting Requirements
A. Notification of Grant Award
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which provides the amount of Federal funds approved
for use in the project, the project and budget period for which support
is provided, the terms and conditions of the award, and the total
project period for which support is contemplated.
B. Attendance at Evaluation Workshops
OCS hopes to sponsor one or more national evaluation workshops in
Washington, D.C. or in other locations during the course of the five-
year project. Project Directors will be expected to attend such
workshops provided funds can be made available by OCS for expenses of
attending.
C. Reporting Requirements
Grantees will be required to submit a semi-annual program progress
and financial report (SF 269) covering the six months after grant
award, and similar reports after conclusion of the first Project Year.
Such reports will be due 60 days after the reporting period. Thereafter
grantees will be required to submit annual program progress and
financial reports (SF 269), as well as a final program progress and
financial report within 90 days of the expiration of the grant.
D. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR Parts 74
(non-profit organization) and OMB Circular A-133.
[[Page 36197]]
E. Prohibitions and Requirements With Regard to Lobbying
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or subgrantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of non-appropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or subgrantees will pay with the non-appropriated funds and
(3) to file quarterly up-dates about the use of lobbyists if an event
occurs that materially affects the accuracy of the information
submitted by way of declaration and certification.
The law establishes civil penalties for noncompliance and is
effective with respect to contracts, grants, cooperative agreements and
loans entered into or made on or after December 23, 1989. See
Attachment H, for certification and disclosure forms to be submitted
with the applications for this program.
F. Applicable Federal Regulations
Attachment K indicates the regulations which apply to all
applicants/grantees under the Assets for Independence Demonstration
Program.
Dated: June 16, 1999.
Donald Sykes,
Director, Office of Community Services.
Assets for Independence Demonstration Program
List of Attachments
Attachment A: Application for Federal Assistance
Attachment B: Budget Information--Non-Construction Programs
Attachment C: Assurances--Non-Construction Programs
Attachment D: Certification Regarding Lobbying
Attachment E: Disclosure of Lobbying Activities
Attachment F: Certification Regarding Maintenance of Effort
Attachment G: Certification Regarding Drug-Free Workplace Requirements
Attachment H: Certification Regarding Environmental Tobacco Smoke
Attachment I: Certification Regarding Debarment, Suspension and Other
Responsibility Matters
Attachment J: E.O. 12372 State Single Point of Contact List
Attachment K: DHHS Regulations Applying to All Applicants/Grantees
Under the Assets for Independence Demonstration program (IDA Program)
BILLING CODE 4184-01-P
[[Page 36198]]
[GRAPHIC] [TIFF OMITTED] TN02JY99.021
BILLING CODE 4184-01-C
[[Page 36199]]
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) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of t he
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 4181-01-M
[[Page 36200]]
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[[Page 36201]]
[GRAPHIC] [TIFF OMITTED] TN02JY99.023
BILLING CODE 4184-01-C
[[Page 36202]]
Instructions for the SF-424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0044),
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 should 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, either on Line 1 under Column (a)
the Catalog program title and the Catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the Catalog program title on each line
in Column (a) and the respective Catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more program require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) Through (g)
For new applications, leave Column (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount in
Section A, Column (g), Line 5. For supplemental grants and changes
to grants, the total amount of the increase or decrease as shown in
Columns (1)-(4), Line 6k should be the same as the sum of the
amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any expected to
be generated from this project. Do not add or subtract this amount
from the total project amount, Show under the program narrative
statement the nature and source of income. The estimated amount of
program income may be considered by the Federal grantor agency in
determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget 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 36203]]
data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any
other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management
and Budget, Paperwork Reduction Project (0348-0040), Washington, DC
20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant, I
certify that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the comptroller General of the
United States and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
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 or interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 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 IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. Secs. 290 dd-3 and 290
ee 3), as amended, relating to confidentiality of alcohol and drug
abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U.S.C. Secs. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i)
any other nondiscrimination provisions in the specific statute(s)
under which application for Federal Assistance is being made; and,
(j) the requirements of any other nondiscrimination statute(s) which
may apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with provisions of the Hatch Act
(5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment activities are
funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 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
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended
(P.L. 93-523); and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. Sec. 470), EO 11593 (identification and
protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. Secs. 469a-1 et seq.)
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. Secs. 2131 et seq.) pertaining to
the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead-
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act Amendments
of 1996 and OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations.''
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
this program.
----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted
Attachment D--Administration for Children and Families, U.S. Department
of Health and Human Services
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
[[Page 36204]]
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
BILLING CODE 4184-01-M
[GRAPHIC] [TIFF OMITTED] TN02JY99.024
BILLING CODE 4184-01-C
[[Page 36205]]
Instructions for Completion of SF-LLL, Disclosure of Lobbying
Activities
This disclosure form shall be completed by the reporting entity,
whether subawardee or prime Federal recipient, at the initiation or
receipt of a covered Federal action, or a material change to a
previous filing, pursuant to title 31 U.S.C. section 1352. The
filing of a form is required for each payment or agreement to make
payment to any lobbying entity for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with a covered Federal action.
Complete all items that apply for both the initial filing and
material change report. Refer to the implementing guidance published
by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which
lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If
this is a followup report caused by a material change to the
information previously reported, enter the year and quarter in which
the change occurred. Enter the date of the last previously submitted
report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the
reporting entity. Include Congressional District, if known. Check
the appropriate classification of the reporting entity that
designates if it is, or expects to be, a prime or subaward
recipient. Identify the tier of the subawardee, e.g., the first
subawardee of the prime is the 1st tier. Subawards include but are
not limited to subcontracts, subgrants and contract awards under
grants.
5. If the organization filing the report in item 4 checks
``Subawardee,``then enter the full name, address, city, State and
zip code of the prime Federal recipient. Include Congressional
District, if known.
6. Enter the name of the Federal agency making the award or loan
commitment. Include at least one organizational level below agency
name, if known. For example, Department of Transportation, United
States Coast Guard.
7. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative
agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number
available for the Federal action identified in item 1 (e.g., Request
for Proposal (RFP) number; invitation for Bid (IFB) number, grant
announcement number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Include prefixes, e.g., ``RFP-DE-90-001.''
9. For a covered Federal action where there has been an award or
loan commitment by the Federal agency, enter the Federal amount of
the award/loan commitment for the prime entity identified in item 4
or 5.
10. (a) Enter the full name, address, city, State and zip code
of the lobbying registrant under the Lobbying Disclosure Act of 1995
engaged by the reporting entity identified in item 4 to influence
the covered Federal action.
(b) Enter the full names of the individual(s) performing
services, and include full address if different from 10(a). Enter
Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print
his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons
are required to respond to collection of information unless it
displays a valid OMB Control Number. The valid OMB control number of
this information collection is OMB No. 0348-0046. Public reporting
burden for this collection of information is estimated to average 10
minutes per response, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.
Send comments regarding the burden estimate or any other aspect of
this collection of information, including suggestions for reducing
this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0046), Washington, DC 20503.
Attachment F-- Administration for Children and Families, U.S.
Department of Health and Human Services
Certification Regarding Maintenance of Effort
In accordance with the applicable program statute(s) and
regulation(s), the undersigned certifies that financial assistance
provided by the Administration for Children and Families, for the
specified activities to be performed under the
____________________Program by____________________(Applicant
Organization), will be in addition to, and not in substitution for,
comparable activities previously carried on without Federal
assistance.
----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Date
Attachment G--HHS CFR Title 45
Part 76, Appendix C: Drug-free Certification
Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements for Drug-Free Workplace (Grants)
Certification Regarding Drug-Free Workplace Requirements
Instructions for Certification
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantee's attention is called, in particular, to
the following definitions from these rules: Controlled substance
means a controlled substance in Schedules I through V of the
Controlled Substance Act (21 U.S.C. 812) and as further defined by
regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, 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 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).
[[Page 36206]]
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
1. The grantee certifies that it will continue to provide a
drug-free workplace by:
1. 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;
2. 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;
3. 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);
4. 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;
5. 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 receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
6. Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is 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;
7. Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
2. The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant.
Place of Performance (Street address, city, county, state, zip
code).
Check } if there are workplaces on file that are not identified
here.
Alternate II. (Grantees Who Are Individuals)--
1. 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;
2. 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 of other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[55 FR 21690, 21702, May 25, 1990]
Attachment H--Administration for Children and Families, U.S. Department
of Health and Human Services
Certification Regarding Environmental Tobacco Smoke
Public Law 103227, Part C Environmental Tobacco Smoke, also
knows 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 any 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 impatient 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 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 the children's services and that all
subgrantees shall certify accordingly.
Attachment I--HHS CFR Title 45
Part 76, Appendix A: Debarment Certification (Primary)
Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements for Drug-Free Workplace (Grants)
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 of default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to whom this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is 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
submitted this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower
[[Page 36207]]
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 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
Nonprocurement List (Tel. 1B).
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 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:
1. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal department or agency;
2. 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;
3. 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
4. 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.
Attachment J--State Single Point of Contact Listing Maintained by OMB
In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' Section 4, ``the Office of Management
and Budget (OMB) shall maintain a list of official State entities
designated by the States to review and coordinate proposed Federal
financial assistance and direct Federal development,'' This attached
listing is the OFFICIAL OMB LISTING. This listing is also published
in the Catalogue of Federal Domestic Assistance biannually.
OMB State Single Point of Contact Listing*
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-8144, e-mail: jonis@ep.state.az.us
---------------------------------------------------------------------------
* 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.'' JURISDICTIONS WITHOUT ``STATE SINGLE POINTS OF CONTACTS''
INCLUDE: Alabama; Alaska; American Samoa; Colorado; Connecticut;
Kansas; Hawaii, Idaho; Louisiana; Massachusetts; Minnesota; Montana;
Nebraska; New Jersey; Ohio; Oklahoma; Oregon; Palau; Pennsylvania;
South Dakota; Tennessee; Vermont; Virginia; and Washington.
---------------------------------------------------------------------------
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/State
Clearinghouse, 1400 10th 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, 540 S. duPont Hi., Suite 5, Dover, Delaware
19901, Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street, N.W.--Suite 1200,
Washington, D.C. 20005, Telephone: (202) 727-6537, FAX: (202) 727-
1617, e-mail: charlesnic@yahoo.com or cnichols-ogmd@dcgov.org
Florida
Cherie L. Trainor, Coordinator, Florida State Clearinghouse,
Department of Community Affairs, 2555 Shumard Oak Boulevard,
Tallahassee, Florida 32399-2100, Telephone: (850) 922-5438 or (850)
414-5495, FAX: (850) 414-0479, e-mail:
cherie.trainor@dca.state.fl.us
Georgia
Debra S. Stephens, Coordinator, Georgia State Clearinghouse, 270
Washington Street, S.W.--8th Floor, Atlanta, Georgia 30334,
Telephone: (404) 656-3855, FAX: (404) 656-7901, e-mail:
ssda@mail.opb.state.ga.us
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, Indianapois,
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) 242-4809
Kentucky
Kevin J. Goldsmith, Director, John-Mark Hack, Deputy Director,
Sandra Brewer, Executive Secretary, Intergovernmental Affairs,
Office of the Governor, 700 Capitol Avenue, Frankfort, Kentucky
40601, Telephone: (502) 564-2611, FAX: (502) 564-2849.
Maine
Joyce Benson, State Planning Office, 184 State Street, 38 State
House Station, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX:
(207) 287-6489.
Maryland
Linda C. Janey, JD, Manager, Clearinghouse and Plan Review Unit,
Maryland Office of Planning, 301 W. Preston Street--Room 1104,
Baltimore, Maryland 21201-2305, Telephone: (410) 767-4491, FAX:
(410) 767-4480, e-mail: Linda@mail.op.state.md.us
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 660 Plaza
Drive--Suite 1900, Detroit, Michigan 48226, Telephone: (313) 961-
4266, FAX: (313) 961-4869.
Mississippi
Cathy Mallette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764.
Missouri
Lois Pohl/Carol Meyer, Federal Assistance Clearinghouse, Office Of
Administration, P.O. Box 809, Room 915, Jefferson Building,
Jefferson City, Missouri 65102, Telephone: (573) 751-4834, FAX:
(573) 522-4395.
[[Page 36208]]
Nevada
Heather Elliott, Department of Administration, State Clearinghouse,
Capitol Complex, Carson City, Nevada 89710, Telephone: (702) 687-
6367, FAX: (702) 687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, Office of State
Planning, 2\1/2\ Beacon Street, Concord, New Hampshire 03301,
Telephone: (603) 271-2155, FAX: (603) 271-1728
New Mexico
Nick Mandell, Local Government Division, Room 201, Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-4991,
FAX: (505) 827-4948
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Marsha Roth, Albany, New York 12224, Telephone: (518) 474-1605, FAX:
(518) 486-5617
North Carolina
Chrys Baggett, Director, North Carolina State Clearinghouse, Office
of the Secretary of Administration, 116 West Jones Street, Suite
5106, Raleigh, North Carolina 27603-8003, Telephone: (919) 733-7232,
FAX: (919) 733-9571
North Dakota
Jim Boyd, North Dakota Single Point of Contact, Office of
Intergovernmental Assistance, 600 East Boulevard Avenue, Department
105, Bismarck, North Dakota 58505-0170, Telephone: (701) 328-2094,
FAX: (701) 328-2308
Rhode Island
Kevin Nelson, Review Coordinator, Department of Administration,
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 222-2656, FAX: (401) 222-2083
South Carolina
Omegia Burgess, State Single Point of Contact, Budget and Control
Board, Office of State Budget, 1122 Ladies Street, 12th Floor,
Columbia, South Carolina 29201, Telephone: (803) 734-0494, FAX:
(803) 734-0645
Texas
Tom Adams, Single Point of Contact, State of Texas, Governor's
Office of Budget and Planning, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711-2428, Telephone:
(512) 463-1771, FAX: (512) 936-2681, e-mail:
tadams@governor.state.tx.us
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telehpone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Judith Dryer, Chief Program Manager, West Virginia Development
Office, Building #6, Room 645, State Capitol, Charleston, West
Virginia 25305, Telephone: (304) 558-0350, FAX: (304) 558-0362
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 Capital, Room 124, Cheyenne,
Wyoming 82002 FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444 or (809) 723-6190, FAX: (809) 724-3270 or (809) 724-3103
Northern Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, Office of Management and
Budget, Office of the Governor, Saipan, MP 96950, Telpehone: (670)
664-2256, FAX: (670) 664-2272
Please direct all questions and correspondence about
intergovernmental review to:
Ms. Jacoba T. Seman, Federal Programs Coordinator, Telephone: (670)
664-2289, FAX: (670) 664-2272
Virgin Islands
Nellon Bowry, Director, Office of Managment and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Daisey Millen, 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.
This list is based on the most current information provided by
the States. Information on any changes or apparent errors should be
provided to the Office of Management and Budget and the State in
question. Changes to the list will only be made upon formal
notification by the State. Also, this listing is published
biannually in the Catalogue of Federal Domestic Assistance.
Attachment K--DHHS Regulations Applying to all Applicants/Grantees
Under the Assets for Independence Demonstration Program (IDA Program)
Title 45 of the Code of Federal Regulations:
Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants with subgrants to
entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal
Assistance through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Regulation for the Administration and Enforcement of
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap
in Programs or Activities Conducted by the Department of Health and
Human Services
Part 86--Nondiscrimination on the Basis of Sex in Education Programs
and Activities Receiving or Benefiting from Federal Financial
Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial
Assistance
Part 92--Uniform Administrative Requirements for Grants and
Cooperative Agreements to States and Local Governments (Federal
Register, March 11, 1988)
Part 93--New Restrictions on Lobbying Part 100--Intergovernmental
Review of Department of Health and Human Services Programs and
Activities
[FR Doc. 99-16721 Filed 7-1-99; 8:45 am]
BILLING CODE 4184-01-M
