[Federal Register Volume 64, Number 160 (Thursday, August 19, 1999)]
[Notices]
[Pages 45302-45333]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-21355]
_______________________________________________________________________
[[Page 45301]]
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Request for Applications for the Office of Community Services' Fiscal
Year 2000 Discretionary Grants Program; Notice
Federal Register / Vol. 64, No. 160 / Thursday, August 19, 1999 /
Notices
[[Page 45302]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-2000-01]
Program Announcement; Request for Applications for the Office of
Community Services' Fiscal Year 2000 Discretionary Grants Program
AGENCY: Office of Community Services, Administration for Children and
Families, Department of Health and Human Services.
ACTION: Request for applications for the Office of Community Services'
Fiscal Year 2000 Discretionary Grants Program.
-----------------------------------------------------------------------
SUMMARY: The Administration for Children and Families (ACF), Office of
Community Services (OCS), announces that competing applications will be
accepted for new grants pursuant to the Secretary's discretionary
authority under sections 681(a) and (b) of the Community Services Block
Grant Act of 1981, as amended.
CLOSING DATE: The closing date for submission of applications is
November 15, 1999. Mailed applications postmarked after the closing
date will be classified as late.
APPLICATION SUBMISSION:
Mailing Address: Discretionary applications must be mailed to the
U.S. Department of Health and Human Services, Administration for
Children and Families, Office of Grants Management/OCSE, 4th
Floor West, Aerospace Center, 370 L'Enfant Promenade, S.W., Washington,
D.C. 20447; Attention: Discretionary Grants Program.
Submission Instructions: Mailed applications shall be considered as
meeting an announced deadline if they are either received on or before
the closing date or postmarked on or before the closing date and
received by ACF in time for the independent review.
Applications mailed must bear a legibly dated U.S. Postal Service
postmark or a legibly dated, machine produced postmark of a commercial
mail service affixed to the envelope/package containing the
application(s). To be deemed acceptable as proof of timely mailing, a
postmark from a commercial mail service must include the logo/emblem of
the commercial mail service company and must reflect the date the
package was received by the commercial mail service company from the
applicant. Private metered postmarks shall not be acceptable as proof
of timely mailing. (Applicants are cautioned that express/overnight
mail services do not always deliver as agreed.)
Applications handcarried by applicants, applicant couriers, or by
other representatives of the applicant shall be considered as meeting
an announced deadline if they are received on or before the closing
date, between the hours of 8:00 a.m. and 4:30 p.m., EST, at the U.S.
Department of Health and Human Services, Administration for Children
and Families, Office of Grants Management/OCSE, ACF Mailroom, 2nd Floor
Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C.
20024, between Monday and Friday (excluding Federal holidays). The
address must appear on the envelope/package containing the application
with the note Attention: Discretionary Grants Program. (Applicants are
again cautioned that express/overnight mail services do not always
deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late applications: Applications that do not meet the criteria above
are considered late applications. ACF shall notify each late applicant
that its application will not be considered in the current competition.
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (floods, hurricanes, etc.) occur, or
when there are widespread disruptions of the mail service.
Determinations to extend or waive deadline requirements rest with ACF's
Chief Grants Management Officer.
Number of Copies Required: One signed original application and four
copies must be submitted at the time of the initial submission. (OMB-
0970-0062, expires 10/31/2001)
The first page of the SF-424 must contain in the lower right-hand
corner, a designation indicating under which sub-priority area funds
are being requested (for example UR for 1.1, HB for 1.2, PD for 1.3, DD
for 1.4, AM for 1.5, UT for 1.6, or RF for 2.0). See Part G, section 1,
item 11 for details.
For General Questions on the Announcement, Contact:
Veronica Terrell--(202) 401-5295
David Matthews--(202) 401-5271
Walter Thaxton--(202) 401-5269
Bobby Malone--(202) 401-5270
Calvin Brockington--(202) 401-5273
Debra Brown--(202) 401-3446
Thelma Woodland--(202) 401-5294
Ruth Walston--(202) 401-9340
For a Copy of the Announcement, Contact: Administration for
Children and Families, Office of Community Services, 370 L'Enfant
Promenade, S.W., 5th Floor West, Washington, DC 20447, (202) 401-9345,
(202) 401-9354, (202) 401-4687 (fax).
In addition, the announcement will be accessible on the OCS website
for reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/
kits1.htm.
The Catalog of Federal Domestic Assistance number for this program
is 93.570. The title is Community Services Block Grant--Discretionary
Awards.
Table of Contents
Part A--PREAMBLE
1. Legislative Authority
2. Departmental Goals
3. Definitions of Terms
Part B--APPLICATION PREREQUISITES
1. Eligible Applicants
2. Availability of Funds
3. Project and Budget Periods
4. Mobilization of Resources
5. Program Beneficiaries
6. Number of Projects in Application
7. Multiple Submittals
8. Subawarding Projects
9. Third Party Agreements
10. Funding Considerations
11. Prohibited Activities
Part C--PROGRAM PRIORITY AREAS
Part D--CRITERIA FOR REVIEW AND EVALUATION OF ALL APPLICATIONS
1. Criteria for Review and Evaluation of All Applications
Submitted Under Sub-Priority Areas 1.1, 1.2, and 1.4
2. Criteria for Review and Evaluation of Applications Submitted
Under Sub-Priority Area 1.3
3. Criteria for Review and Evaluation of Applications Submitted
Under Sub-Priority Area 1.5
4. Criteria for Review and Evaluation of Applications Submitted
Under Sub-Priority Area 1.6
5. Criteria for Review and Evaluation of All Applications Under
Priority Area 2.0
Part E--APPLICATION PROCEDURES
1. Availability of Forms
2. Intergovernmental Review
3. Application Consideration
4. Criteria for Screening Applicants
Part F--CONTENTS OF APPLICATION AND RECEIPT PROCESS
1. Contents of Application
2. Acknowledgment of Receipt
Part G--INSTRUCTIONS FOR COMPLETING APPLICATION PACKAGE
1. SF-424 Application for Federal Assistance
2. SF-424A Budget Information--Non-Construction Programs
Part H--POST AWARD INFORMATION AND REPORTING REQUIREMENTS
1. Notification of Grant Award
2. Attendance at OCS Training Conference
3. Reporting Requirements
[[Page 45303]]
4. Audit Requirements
5. Applicable Federal Regulations
Attachments
A--Poverty Income Guidelines
B--Standard Form 424, Application for Federal Assistance
C--Standard Form 424A, Budget Information--Non-Construction
Programs
D--Standard Form 424B, Assurances--Non-Construction Programs
E--Certification Regarding Drug-Free Workplace Requirements
F--Certification Regarding Debarment, Suspension and Other
Responsibility Matters
G--State Single Point of Contact List
H--Certification Regarding Lobbying; Disclosure of Lobbying
Activities, SF-LLL
I--DHHS Regulations Applying to All Applicants/Grantees Under
the Fiscal Year 2000 Discretionary Grants Program
J--Certification Regarding Environmental Tobacco Smoke
K--Guidelines for a Business Plan
L--Table of Standard Industrial Codes and Occupational
Classifications
M--Applicant's Checklist
Part A--Preamble
1. Legislative Authority
The Community Services Block Grant Act of 1981, as amended,
(Section 680 of the Coats Human Services Reauthorization Act of 1998),
authorizes the Secretary to make funds available to support program
activities of national or regional significance to alleviate the causes
of poverty in distressed communities with special emphasis on community
and economic development activities.
2. Departmental Goals
This announcement is particularly relevant to the Departmental goal
of strengthening the American family and promoting self-sufficiency.
These programs have objectives of increasing the access of low-income
people to employment and business development opportunities, and
improving the integration, coordination, and continuity of the various
HHS (and other federal Departments') funded services potentially
available to families living in poverty.
3. Definitions of Terms
For purposes of this Program Announcement, the following
definitions apply:
--Budget period: The interval of time into which a grant period of
assistance is divided for budgetary and funding purposes.
--Cash contributions: The cash outlay that includes the money
contributed to the project or program by the recipient and third
parties.
--Community development corporation (CDC): A private, nonprofit entity,
governed by a board of directors consisting of low-income residents of
the community and business and civic leaders, that has as a principal
purpose planning, developing, or managing low-income housing or
community development projects.
--Community economic development (CED): A process by which a community
uses resources to attract capital and increase physical, commercial,
and business development and job opportunities for its residents.
--Construction projects: For the purpose of this announcement,
construction projects involve land improvements and development or
major renovation of (new or existing) facilities and buildings,
including their improvements, fixtures and permanent attachments.
--Displaced worker: An individual who is in the labor market but has
been unemployed for six months or longer.
--Distressed community: A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
--Eligible applicant: (See appropriate Program Priority Area under Part
C.)
--Employment education and training program: A program that provides
education and/or training to welfare recipients, at-risk youth, public
housing tenants, displaced workers, homeless and low-income individuals
and that has demonstrated organizational experience in education and
training for these populations.
--Empowerment Zones and Enterprise Communities (EZ/EC): Those
communities designated as such by the Secretaries of Agriculture or
Housing and Urban Development.
--Equity investment: The provision of capital to a business entity for
some specified purpose in return for a portion of ownership using a
third party agreement as the contractual instrument.
--Indian tribe: A tribe, band, or other organized group of Indians
recognized in the State in which it resides or which is considered by
the Secretary of the Interior to be an Indian tribe or an Indian
organization for any purpose. For the purpose of Priority Area 1.0
(Urban and Rural Community Economic Development), an Indian tribe or
Indian organization is ineligible unless the applicant organization is
a private non-profit community economic development corporation.
--Job creation: New jobs, i.e. jobs not in existence prior to the start
of the project, that result from new business startups, business
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
--Job placement: Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
--Letter of commitment: A signed letter or agreement from a third party
to the applicant that pledges financial or other support for the grant
activities only subject to receiving an award of OCS grant funds.
--Loan: Money lent to a borrower under a binding pledge for a given
purpose to be repaid, usually at a stated rate of interest and within a
specified period of time.
--Poverty Income Guidelines: Guidelines published annually by the U.S.
Department of Health and Human Services that establish the level of
poverty defined as low-income for individuals and their families.
--Program income: Gross income earned by the grant recipient that is
directly generated by an activity supported with grant funds.
--Project period: The total time for which a project is approved for
OCS support, including any approved extensions.
--Revolving loan fund: A capital fund established to make loans whereby
repayments are re-lent to other borrowers.
--Self-employment: The state of an individual or individuals who engage
in self-directed economic activities.
--Self-sufficiency: The economic state not requiring public assistance
for an individual and his (her) immediate family.
--Subaward: An award of financial assistance in the form of money, or
property in lieu of money, made under an award by a recipient to an
eligible subrecipient or by a subrecipient to a lower tier
subrecipient. The term includes financial assistance when provided by
any legal agreement, even if the agreement is called a contract, but
does not include procurement of goods and services nor does it include
any form of assistance which is excluded from the definition of
``award'' in 45 CFR 74.2. (Note: Subawards do not include equity
investments or loan transactions since they are promulgated under third
party agreements.)
[[Page 45304]]
--Technical assistance: A problem-solving event generally utilizing the
services of an expert. Such services may be provided on-site, by
telephone, or by other communications. These services address specific
problems and are intended to assist with the immediate resolution of a
given problem or set of problems.
--Temporary Assistance to Needy Families (TANF): Title I of the
Personal Responsibility and Work Opportunity Reconciliation Act of 1996
(Pub.L. 104-193) creates the TANF program that transforms welfare into
a system that requires work in exchange for time-limited assistance.
The law specifically eliminates any individual entitlement to or
guarantee of assistance, repeals the Aid to Families with Dependent
Children (AFDC) program, Emergency Assistance (EA) and Job
Opportunities and Basic Skills Training (JOBS) programs, and replaces
them with a Block grant entitlement to States under Title IV of the
Social Security Act.
--Third party: Any individual, organization, or business entity that is
not the direct recipient of grant funds.
--Third party agreement: A written agreement entered into by the
grantee and an organization, individual or business entity (including a
wholly-owned subsidiary), by which the grantee makes an equity
investment or a loan in support of grant purposes.
--Third party in-kind contributions: The value of non-cash
contributions provided by non-federal third parties which may be in the
form of real property, equipment, supplies and other expendable
property, and the value of goods and services directly benefitting and
specifically identifiable to the project or program.
Part B--Application Prerequisites
1. Eligible Applicants
Priority areas included in this Program Announcement have differing
eligibility requirements. Therefore, eligible applicants are identified
in the individual priority area descriptions found in Part C.
2. Availability of Funds
a. Appropriation Amounts
All grant awards are subject to the availability of appropriated
funds. Approximately $26,560,000 is expected to be available for FY
2000. The approximate amount of funds anticipated to be available for
each priority area is summarized below:
------------------------------------------------------------------------
Sub-priority areas FY 2000 funds
------------------------------------------------------------------------
Priority Area 1.0: Urban and Rural Community Economic
Development
------------------------------------------------------------------------
1.1 Urban and Rural Community Economic Development 17,000,000
(Operational)........................................
1.2 Urban and Rural Community Economic Development 2,100,000
(HBCU Set-Aside).....................................
1.3 Urban and Rural Community Economic Development 750,000
(Pre-Developmental Set-Aside)........................
1.4 Urban and Rural Community Economic Development 2,500,000
(Developmental Set-Aside)............................
1.5 Administrative and Management Expertise (Set 500,000
Aside)...............................................
1.6 Training and Technical Assistance (Set Aside).... 210,000
------------------------------------------------------------------------
Priority Area 2.0: Rural Community Development
Activities
------------------------------------------------------------------------
2.0 Rural Community Facilities Development (Water and 3,500,000
Waste Water Treatment Systems Development)...........
------------------------------------------------------------------------
b. Grant Amounts
The approximate amounts to be granted for projects under the sub-
priority areas are indicated below:
------------------------------------------------------------------------
Sub-priority area Funding limit
------------------------------------------------------------------------
1.1....................................... Approximately 13 at $350,000
but not more than $500,000
........................................ Approximately 30 at $349,999
or less
1.2....................................... Approximately 6 at $350,000
1.3....................................... Approximately 10 at $75,000
1.4....................................... Approximately 10 at $250,000
1.5....................................... Approximately 1 at $500,000
1.6....................................... Approximately 1 at $210,000
2.0....................................... Approximately 8 from
$300,000-$533,000
------------------------------------------------------------------------
3. Project and Budget Periods
For Sub-Priority Areas 1.1, 1.2, and 1.4, applicants with projects
involving construction only, may request a project period of up to 60
months and a budget period of up to 36 months. Applicants for non-
construction projects under these priority areas may request project
periods of up to 36 months and budget periods of up to 17 months.
Applicants for Sub-Priority Areas 1.5 and 1.6 may request project and
budget periods of up to 17 months. For Sub-Priority Area 1.3,
applicants may request project and budget periods of up to 12 months.
For Priority Area 2.0, grantees will be funded for 24 month project
periods and 12 month budget periods.
4. Mobilization of Resources
OCS encourages and strongly supports leveraging of resources
through public/private partnerships which can mobilize cash and/or
third-party in-kind contributions.
5. Program Beneficiaries
Projects proposed for funding under this Announcement must result
in direct benefits to low-income people as defined in the most recent
annual revision of the Poverty Income Guidelines published by DHHS.
Attachment A of the appendices to this Announcement is an excerpt
from the Poverty Income Guidelines currently in effect. Annual
revisions of these guidelines are normally published in the Federal
Register in February or early March of each year. Grantees will be
required to apply the most recent guidelines throughout the project
period. These revised guidelines may be obtained at public libraries,
Congressional offices, or by writing the Superintendent of Documents,
U.S. Government Printing Office (GPO), Washington, D.C. 20402. Also,
see ``For General Questions On the Announcement Contact'' at the
beginning of this Announcement.
No other government agency or privately-defined poverty guidelines
are applicable for the determination of low-income eligibility for
these OCS programs.
Note, however, that low-income individuals granted lawful temporary
resident status under Sections 245A or 210A of the Immigration and
Nationality Act, as amended by the Immigration Reform and Control Act
of 1986 (Public law 99-603), may not be eligible for direct or indirect
assistance based on financial need under this program for a period of
five years from the date such status was granted.
[[Page 45305]]
6. Number of Projects in Application
All Priority Area 1.0 applications may contain only one project
except for Sub-Priority Areas 1.3, 1.5, and 1.6 where applicants are
researching various opportunities, are sharing administrative and
management expertise with current OCS grantees, or are providing
training and/or technical assistance for current OCS grantees,
including the organization of seminars and other activities in
assisting community development corporations. Applications that are not
in compliance with this requirement may be disqualified.
7. Multiple Submittals
There is no limit to the number of applications that can be
submitted under a specific program priority area as long as each
application contains a proposal for a different project. However, an
applicant can receive only one grant in each priority area. Also,
applicants who receive more than one grant for a common budget/project
period must be mindful that salaries and wages claimed for the same
persons cannot collectively exceed 100% of total annual salary.
8. Subawarding Projects
OCS does not fund projects where the role of the applicant is
primarily to serve as a conduit for funds through the use of subawards
to other organizations. In cases where the applicant proposes to make
one or more subawards, it must retain a substantive role in the
implementation and operation of the project for which funding is
requested.
9. Third Party Agreements
Any applicant submitting a proposal for funding under Sub-Priority
Areas 1.1, 1.2, or 1.4 who proposes to use some or all of the requested
OCS funds to enter into a third party agreement in order to make an
equity investment (such as the purchase of stock) or a loan to an
organization, or business entity (including a wholly-owned subsidiary),
must include in the application, along with the business plan, a copy
of the signed third party agreement for approval by OCS.
A third party agreement covering an equity investment must contain,
at a minimum, the following:
1. The type of equity transaction (e.g. stock purchase).
2. Purpose(s) for which the equity investment is being made.
3. Cost per share.
4. Number of shares being purchased.
5. Percentage of ownership of the business.
6. Number of seats on the board, if applicable.
A third party agreement covering a loan transaction must contain,
at a minimum, the following information:
1. Purpose(s) for which the loan is being made.
2. Rates of interest and other fees.
3. Terms of loan.
4. Repayment schedules.
5. Collateral security.
6. Default and collection procedures.
All third party agreements must include written commitments as
follows:
From the third party (as appropriate):
1. A minimum of 75% of the jobs to be created as a result of the
injection of grant funds will be filled by low-income individuals.
2. The grantee will have the right to screen applicants for jobs to
be filled by low-income individuals and to verify their eligibility.
3. If the grantee's equity investment equals 25% or more of the
business's assets, the grantee will have representation on the board of
directors.
4. Reports will be made to the grantee regarding the use of grant
funds no less than on a quarterly basis.
5. A procedure will be developed to assure that there are no
duplicate counts of jobs created.
6. Detailed information will be provided on how the grant funds
will be used by the third party by submitting a Source and Use of Funds
Statement. In addition, the agreement must provide details on how the
grantee will provide support and technical assistance to the third
party in areas of recruitment and retention of low-income individuals.
From the grantee:
Detailed information on how the grantee will provide support and
technical assistance to the third party in areas of recruitment and
retention of low-income individuals.
All third party agreements should be accompanied by:
1. A signed statement from a Certified or Licensed Public
Accountant as to the sufficiency of the third party's financial
management system in accordance with 45 CFR 74, to protect adequately
any federal funds awarded under the application.
2. Financial statements for the third party organization for the
prior three years. (If not available because the organization is a
newly-formed entity, include a statement to this effect.)
3. The third party agreement will specify how the grantee will
provide oversight of the third party for the life of the agreement.
Also, the agreement will specify that the third party will maintain
documentation related to the grant objectives as specified in the
agreement and will provide the grantee and HHS access to that
documentation.
If a signed third party agreement is not available when the
application is submitted, the applicant must submit as part of the
narrative as much of the above-mentioned information as possible in
order to enable reviewers to evaluate the proposal. It should be noted
that portion of a grant which will be used to fund a third party
agreement will not be released until the agreement has been approved by
OCS.
10. Funding Considerations
In cases where an application ranks highly and is competitive, the
following may apply:
1. When the applicant is proposing to enter into a third party
agreement for all of the grant's operational funds, OCS will send a
time-limited letter of intent to fund pending receipt of a signed third
party agreement. Once OCS has determined that the agreement is
acceptable, an award will be forwarded to the applicant.
2. Previous performance of applicants will be considered an
important determining factor in the grant award decisions.
3. Any applicant that has three or more active OCS grants may only
be funded under exceptional circumstances.
4. Pre-award site visits may be performed for the purpose of
undertaking assessments of many of these applications prior to OCS
making final determinations on grant awards.
5. OCS will consider applications that include revolving loan funds
as a grant activity.
11. Prohibited Activities
OCS will not consider applications that propose the establishment
of Small Business Investment Corporations or Minority Enterprise Small
Business Investment Corporations.
Part C--Program Priority Areas
The program priority areas of the Office of Community Services'
Discretionary Grants Program are as follows:
Priority Area 1.0 Urban and Rural Community Economic Development
Sub-Priority Areas Under 1.0
1.1 Urban and Rural Community Economic Development (Operational)
1.2 Urban and Rural Community Economic Development (HBCU Set-Aside)
1.3 Urban and Rural Community Economic Development (Pre-Developmental
Set-Aside)
[[Page 45306]]
1.4 Urban and Rural Community Economic Development (Developmental Set-
Aside)
1.5 Administrative and Management Expertise (Set-Aside)
1.6 Training and Technical Assistance (Set-Aside)
Priority Area 2.0 Rural Community Facilities Development (Water and
Waste Water Treatment Systems Development)
Priority Area 1.0 Urban and Rural Community Economic Development
Eligible applicants are private, non-profit community development
corporations (CDCs) governed by a board consisting of residents of the
community and business and civic leaders that has as a principal
purpose planning, developing, or managing low-income housing or
community development projects.
The purpose of this priority area is to encourage the creation of
projects intended to provide employment and business development
opportunities for low-income people through business, physical or
commercial development. Generally the opportunities must aim to improve
the quality of the economic and social environment of TANF recipients;
low-income residents including displaced workers; at-risk teenagers;
non-custodial parents, particularly those of children receiving TANF
assistance; individuals residing in public housing; individuals who are
homeless; and those with developmental disabilities. Grant funds under
this sub-priority area are intended to provide resources to eligible
applicants (CDCs) but also have the broader objectives of arresting
tendencies toward dependency, chronic unemployment, and community
deterioration in urban and rural areas.
Sub-Priority Area 1.5 is intended to provide administrative and
management expertise to current Office of Community Services' grantees
who are experiencing problems in the implementation of urban and rural
community economic development projects.
Sub-Priority Area 1.6 provides funds for providing training and
technical assistance to groups of community development corporations in
developing or implementing projects funded under this section and its
aim is to generally enhance the viability and competence of community
development corporations.
This Priority Area also seeks to attract additional private capital
into distressed communities, including empowerment zones and enterprise
communities, and to build and/or expand the ability of local
institutions to better serve the economic needs of local residents.
Applicant must submit proof of non-profit status in its application
at the time of submission. The non-profit agency can accomplish this by
providing a copy of the applicants listing in the Internal Revenue's
Service's (IRS) most recent list of tax-exempt organizations described
in Section 501 (C)(3) of the IRS tax code. Applications that do not
include proof of this status will be disqualified.
Sub-Priority Area 1.1 Urban and Rural Community Economic Development
(Operational)
Funds will be provided to a limited number of private non-profit
community development corporations for business development activities
at the local level. Funding will be provided for specific projects and
will require the submission of business plans or work plans, where
applicable, that meet the test of economic feasibility. Attachment K
should be used as a guideline for the business plan.
The applicant should select a project in an industry in its region
that promotes economic sustainability and self-sufficiency for families
in the low-income community. OCS encourages each applicant to describe
the project scope that includes the low-income community served, the
business activities undertaken, and types of jobs to be created. The
business activities should be described by Standard Industrial Codes
(SIC) and jobs by occupational classifications. This information is
published by the U.S. Department of Commerce in the Statistical
Abstract of the United States, 1998, Tables No. 679 and 680. Also,
applicants may use the material included in Attachment L to identify
industrial areas and occupational classifications.
For Fiscal Year 2000, it is anticipated that approximately 30
grants up to a maximum of $349,999 will be awarded and approximately 13
grants of $350,000 but not more than $500,000 will be made. Competition
for these funds will be restricted to either the $349,999 and under
category or the $350,000 up to $500,000 category. Applications will
compete within the category in which they fall.
Projects must further the Departmental goals of strengthening
American families and promoting their self-sufficiency. OCS is
particularly interested in receiving applications that involve public-
private partnerships that are directed toward the development of
economic self-sufficiency in distressed communities through projects
that focus on providing employment and business development
opportunities for low-income people through business startups, business
expansions, development of new services industries, and/or other newly-
undertaken physical and commercial activities.
Eligible organizations located in Empowerment Zones and Enterprise
Communities are urged to submit applications. Likewise, applicants are
encouraged to foster partnerships with child support enforcement
agencies to increase the capability of low-income non-custodial
parents, particularly those of children receiving TANF assistance, to
fulfill their parental responsibilities. Such applicants may request
funds for a business development project or a project that demonstrates
innovative ways to create jobs for low-income persons in the targeted
group or community.
Applicants must show that the proposed project:
(1) Creates full-time permanent jobs except where an applicant
demonstrates that a permanent part-time job produces actual wages that
exceed the HHS poverty guidelines. Seventy-five percent (75%) of the
jobs created must be filled by low-income residents of the community
and must also provide for career development opportunities. Project
emphasis should be on employment of individuals who are unemployed or
on public assistance, with particular emphasis on those that are at-
risk teenagers, TANF recipients, low-income noncustodial parents
(particularly those of children receiving TANF assistance), individuals
residing in public housing, and individuals who are homeless. While
projected employment in future years may be included in the
application, it is essential that the focus of employment projects
concentrates on those permanent jobs created during the duration of the
OCS project period; and/or
(2) Creates a significant number of business development
opportunities for low-income residents of the community or
significantly aids such residents in maintaining economically viable
businesses; and
(3) Assists low-income participants to become self-sufficient.
In the evaluation process, favorable consideration will be given to
applicants under this priority area who show the lowest cost-per-job
created. Unless there are extenuating circumstances, OCS will not fund
projects where the cost-per-job in OCS funds exceeds $15,000.
In addition, favorable consideration in the evaluation process will
be given to applicants who demonstrate their intention to coordinate
services with the
[[Page 45307]]
local TANF offices and/or other employment education and training
offices and child support enforcement agencies that serve the proposed
area. The offices and agencies should serve welfare recipients, at-risk
youth, public housing tenants, displaced workers, homeless and low-
income individuals (as defined by the annual revision to the Poverty
Income Guidelines published by DHHS) including non-custodial parents.
Applicants should submit a written agreement from the applicable office
or agency that indicates what actions will be taken to integrate/
coordinate services that relate directly to the project for which funds
are being requested. The agreement should include the goals and
objectives (including target groups) that the applicant and the
employment education and training office and child support enforcement
agencies expect to reach through their collaboration. It should
describe the cooperative relationship, including specific activities
and/or actions each of these entities proposes to carry out in support
of the project, and the mechanism(s) to be used in coordinating those
activities if the project is funded by OCS. Documentation that
illustrates the organizational experience of the employment education
and training office should also be included.
OCS encourages applications that will develop linkages or
agreements with local agencies responsible for administering TANF
programs and child support enforcement agreements. OCS would expect
these programs to create new jobs for TANF recipients and low-income
non-custodial parents, particularly those of children receiving TANF
assistance. These initiatives can be accomplished through a variety of
business development projects funded under this priority area, i.e.,
business expansions, new business development and self-employment
activities, etc.
OCS does not fund education and training programs. In projects
where participants must be trained, any funds that are proposed to be
used for training purposes must be limited to providing specific job-
related training to those individuals who have been selected for
employment in the grant supported project which includes new business
startups, business expansions, development of new service industries,
and/or other newly-undertaken physical and commercial activities.
Projects involving training and placement for existing vacant
positions will be disqualified.
Projects that would result in the relocation of a business from one
geographic area to another with the possible displacement of employees
are discouraged.
Applicants must be aware that projects funded under this priority
area must be operational by the end of the project period, i.e.,
businesses must be in place, and low-income individuals actually
employed in those businesses.
Sub-Priority Area 1.2 Urban and Rural Community Economic Development
(HBCU Set-Aside)
For Fiscal Year 2000, it is anticipated that a set-aside fund of
$2,100,000 will be included under this sub-priority area for eligible
applicants who submit proposals for projects that will be carried out
in conjunction with Historically Black Colleges and Universities
(HBCUs), as defined in Executive Order Number 12876, dated Nov. 1,
1993, through contract or sub-grant. Such projects must conform to the
purposes, requirements, and prohibitions applicable to those submitted
under Sub-Priority Area 1.1.
These projects should reflect a significant partnership role for
the college or university, and the applicant in doing so will be
considered to have fulfilled the goals of the evaluation criterion for
Public-Private Partnerships and will be granted the maximum number of
points in that category. Applications for these set-aside funds that
are not funded due to the limited amount of funds available may also be
considered competitively within the larger pool of eligible applicants
under Sub-Priority Area 1.1. Any funds that are not used under this
sub-priority area due to the limited number of highly scored
applications will be rolled over into Sub-Priority Area 1.1.
Any funds that are proposed to be used for training purposes must
be limited to providing specific job related training to those
individuals who have been selected for employment in the grant
supported project which includes new business startups, business
expansions, development of new service industries, and/or other newly-
undertaken physical or commercial activities.
Sub-Priority Area 1.3 Urban and Rural Community Economic Development
(Pre-Developmental Set-Aside)
OCS intends in this sub-priority area to provide funds to recently-
established private, non-profit community development corporations that
propose to undertake economic development activities in distressed
communities.
OCS recognizes that there are a number of newly-organized non-
profit community development corporations that have identified needs in
their communities but have not had the staff or other resources to
develop projects to address those needs. This lack of resources also
might be affecting their ability to compete for funds, such as those
provided under Sub-Priority Area 1.1 (operational grants), since their
limited resources would preclude them from developing a comprehensive
business plan and/or mobilizing resources.
OCS has an interest in providing support to these new entities in
order to enable them to become more firmly established in their
communities, thereby bringing technical expertise and new resources to
previously unserved or underserved communities. Therefore, OCS is
setting aside funds in Fiscal Year 2000 for grants to private, non-
profit community development corporations that have never received OCS
funding and have been in existence for no more than three years, or
have been in existence longer than three years but have no record of
participation in economic development type projects. For the latter, a
CDC must state that it has not been active. Also, for this sub-priority
area only, the phrase ``no participation in economic development-type
projects'' means an eligible applicant has not sponsored nor had any
significant participation in projects that have provided employment or
business development opportunities through business startups, business
expansions, development of new service industries, and/or newly-
undertaken physical or commercial activities.
In addition, applicants with housing experience must not have had
primary responsibility in planning, developing, and managing housing.
OCS anticipates that grants of up to $75,000 each will be made to
eligible applicants. These grants will be made for a period of one year
and will not require leveraged or mobilized funds.
With funding received under this sub-priority area, CDCs may incur
costs to: (1) Evaluate the feasibility of potential projects that
address identified needs in the low-income community and that conform
to those projects and activities allowable under Sub-Priority Areas
1.1, 1.2, and 1.4; (2) develop a business plan related to one of those
projects; and (3) mobilize resources to be contributed to one of those
projects, including the utilization of HBCUs.
Based on the availability of funds in Fiscal Year 2001, OCS will
consider establishing a set-aside in Priority Area 1.4 to provide
operational funds to those organizations which received pre-
developmental grants. Grants might be for a maximum of $250,000 and
competition for those funds would be
[[Page 45308]]
restricted to those organizations that received Fiscal Years 1999 and
2000 pre-developmental grants. The business plan developed as a result
of the pre-developmental grant would be submitted as part of the
competitive application.
Specifically, each application for Fiscal Year 2000 funds under
this sub-priority area must include the following as part of the
project narrative:
1. Description of the impact area, i.e., a description of the low-
income area it proposes to address;
2. Analysis of need in the distressed community;
3. How the potential projects relate to applicant's organizational
goals and previous experience (if any);
4. Project design and implementation factors including a discussion
of potential projects that might be implemented to address identified
needs, a strategy for conduct of feasibility studies on potential
projects and quarterly work plans with specific task timelines and a
self-evaluation component; and
5. Project objectives and measurable impact, i.e., a discussion of
preparing a business plan on only one selected project based on results
of the feasibility studies and plan for mobilization of
nondiscretionary dollars to implement it.
Applications that are not funded within this set-aside due to the
limited amount of funds available may also be considered competitively
within the larger pool of eligible applicants. Any funds that are not
used under this sub-priority area due to the limited number of highly
scored applications will be rolled over into another priority area.
Sub-Priority Area 1.4 Urban and Rural Community Economic Development
(Developmental Set-Aside)
OCS intends in this sub-priority area to provide funds to
organizations that received grants from OCS in Fiscal Years 1998 and
1999 under Priority Area 1.3, the pre-developmental grant program.
These organizations will compete only among themselves. Such projects
must conform to the purposes, requirements and prohibitions applicable
to those submitted under Sub-Priority Area 1.1. Applications that are
not funded within this set-aside due to the limited amount of funds
available may also be considered competitively within the larger pool
of eligible applicants under Sub-Priority Area 1.1. Any funds that are
not used under this sub-priority area due to the limited number of
highly scored applications will be rolled over into Sub-Priority Area
1.1.
Sub-Priority Area 1.5 Administrative and Management Expertise (Set-
Aside)
OCS believes that one of the most effective means of assuring the
successful operation of a project under the Discretionary Grants
Program area is through the sharing amongst CDCs of their experiences
in dealing with the day-to-day issues and challenges presented in
promoting community economic development. Accordingly, OCS strongly
encourages more experienced CDCs to share their administrative and
management expertise with less experienced CDCs or with those who have
encountered difficulties in operationalizing their work programs. In
order to facilitate this, OCS will provide funds to one or more
community development corporations to assist with their efforts to
enhance the management and operational capacities of the less
experienced CDCs or those having difficulties.
OCS anticipates that the grant(s) would be for a maximum of
$500,000 with project and budget periods not to exceed 17 months.
OCS will share with the grantee(s) information on other grantees
seeking to benefit from such assistance. Such formal requests could
also be initiated by a grantee with the concurrence of OCS. These
contacts may occur on-site, by telephone, or by other methods of
communication. Costs incurred in connection with participating in such
activities will be borne by the recipient(s) of the OCS grant under
this sub-priority area.
Applicants in this sub-priority area are expected to disseminate
results of the project via a handbook, a progress paper, evaluation
reports, general manual, or seminars/workshops.
Sub-Priority Area 1.6 Training and Technical Assistance (Set-Aside)
Funds will be awarded to one organization under this priority area
for the purpose of providing training and technical assistance to
strengthen the network of CDCs.
OCS anticipates that the grant will be for $210,000 with a grant
period not to exceed 17 months. Applicant must have the ability to
collect and analyze data nationally that may benefit CDCs and be able
to disseminate information to all OCS-funded grantees; publish a
national directory of funding sources for CDCs (public, corporate,
foundation, religious); publish research papers on specific aspects of
job creation by CDCs; design and provide information on successful
projects and economic niches that CDCs can target. The applicant also
will be responsible for the development of instructional programs,
national conferences, seminars, and other activities to assist
community development corporations.
Eligible applicants are private non-profit organizations.
Applicants must operate on a national basis and have significant and
relevant experience in working with community development corporations.
Priority Area 2.0 Rural Community Facilities Development (Water and
Waste Water Treatment Systems Development)
Funds will be provided under this priority area to help low-income
rural communities develop the capability and expertise to establish
and/or maintain affordable, adequate, and safe water and waste water
treatment facilities.
Funds provided under this priority area may not be used for
construction of water and waste water treatment systems or for
operating subsidies for such systems, but other mobilized funds may be
used for these activities. Therefore, it is suggested that applicants
coordinate projects with the Farmers Home Administration (FmHA) and
other Federal and state agencies to ensure that funds for hardware for
local community projects are available.
Eligible applicants are multi-state, regional private non-profit
organizations that can provide training and technical assistance to
small, rural communities in meeting their community facility needs.
Part D--Criteria for Review and Evaluation of All Applications
1. Criteria for Review and Evaluation of All Applications Submitted
Under Sub-Priority Areas 1.1, 1.2, and 1.4
a. Criterion I: Analysis of Need (Maximum: 5 points)
The application documents that the project addresses a vital need
in a distressed community. (0-3 points)
Most recent available statistics and other information are provided
in support of its contention. (0-2 points)
b. Criterion II: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 25 points)
(1) Organizational experience in program area (sub-rating: 0-15 points)
Documentation provided indicates that projects previously
undertaken have been relevant and effective and have provided permanent
benefits to the low-income population. (0-5 points)
The applicant has demonstrated the ability to implement major
activities in such areas as business development,
[[Page 45309]]
commercial development, physical development, or financial services;
the ability to mobilize dollars from sources such as the private sector
(corporations, banks, etc.), foundations, the public sector (including
state and local governments) or individuals; that it has a sound
organizational structure and proven organizational capability; and an
ability to develop and maintain a stable program in terms of business,
physical, or community development activities that will provide needed
permanent jobs, services, business development opportunities, and other
benefits to community residents. (0-10 points)
(2) Staff skills, resources and responsibilities (sub-rating 0-10
points)
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but
whose professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description that indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. (0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-2 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-3 points)
c. Criterion III: Project Implementation (Maximum: 25 points)
The business plan or work plan, where applicable, is both sound and
feasible. Briefly the plan should describe the key work tasks and show
how the project objectives will be accomplished including the
development of business and creation of jobs for low-income persons
during the allowable OCS project period. The project is responsive to
the needs identified in the Analysis of Need. (0-5 points)
It sets forth realistic quarterly time targets by which the various
work tasks would be completed. (0-5 points)
Critical issues or potential problems that might impact negatively
on the project are defined and the project objectives can be reasonably
attained despite such potential problems. (0-5 points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance.
If the applicant proposes to make an equity investment or a loan to
an individual, organization, or business entity (including a wholly-
owned subsidiary), the application includes a signed third party
agreement; a signed statement by a Certified or Licensed Public
Accountant, as to the sufficiency of the third party's financial
management system; and financial statements for the third party's prior
three years of operation. (If newly formed and unable to provide the
information regarding the prior three years of operation, a statement
to that effect should be included.) If the applicant states that an
agreement is not currently in place, the application must contain in
the narrative as much information required for third party agreements
as is available. (See Part B, item 9.)
Also, if the project proposes the development of a new or expanding
business, service, physical or commercial activity, the application
must address applicable elements of a business plan. Guidelines for a
Business Plan are included in Attachment K.
Special attention should be given to assure that the financial plan
element, which indicates the project's potential and timetable for
financial self-sufficiency, is included. It must include for the
applicant and the third party, if appropriate, the following exhibits
for the first three years (on a quarterly basis) of the business'
operations: Profit and Loss Forecasts, Cash Flow Projections, and
Proforma Balance Sheets. Based on these documents, the application must
also contain an analysis of the financial feasibility of the project.
Also, a Source and Use of Funds statement for all project funding must
be included. (0-10 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 20 points)
(1) Significant and beneficial impact (sub-rating: 0-5 points)
The proposed project will produce permanent and measurable results
that will reduce the incidence of poverty and TANF assistance in the
community. (0-3 points)
The OCS grant funds, in combination with private and/or other
public resources, are targeted into low-income communities, distressed
communities, and/or designated Empowerment Zones and Enterprise
Communities. (0-2 points)
(2) Community empowerment consideration and partnership with child
support enforcement agency (sub-rating: 0-5 points)
Special consideration will be given to applicants who are located
in areas that are characterized by poverty and other indicators of
socio-economic distress such as a poverty or TANF assistance rate of at
least 20%, designation as an Empowerment Zone or Enterprise Community
(EZ/EC), high levels of unemployment, high levels of incidences of
violence, gang activity, crime, drug use, and low-income non-custodial
parents of children receiving TANF. (0-3 points)
Applicants should document that they were involved in the
preparation and implementation of a comprehensive community-based
strategic plan to achieve both economic and human development in an
integrated manner; and how the proposed project will support the goals
of that plan. Also, applicants should document that they have entered
into partnership agreements with local Child Support Enforcement
agencies to increase capability of low-income parents and families to
fulfill their parental responsibilities. (0-2 points)
Note: Applicants who have projects located in EZ/EC target areas
or those who have included signed current agreements with child
support enforcement agencies will automatically receive the maximum
2 points.
(3) Cost-per-job (sub-rating: 0-5 points)
During the project period, the proposed project will create new,
permanent jobs or maintain permanent jobs for low-income residents at a
cost-per-job below $15,000 in OCS funds unless there are extenuating
circumstances, e.g., Alaska where the cost of living is much higher.
Note: The maximum number of points will be given to those
applicants proposing estimated cost-per-job for low-income residents
of $10,000 or less of OCS requested funds. Higher cost-per-job
estimates will receive correspondingly fewer points unless
adequately justified by extenuating circumstances.
(4) Career development opportunities (sub-rating: 0-5 points)
The application documents that the jobs to be created for low-
income people have career development opportunities which will promote
self-sufficiency.
e. Criterion V: Public-Private Partnerships (Maximum: 20 Points)
(1) Mobilization of resources: (sub-rating: 15 points)
The application documents that the applicant will mobilize from
public and/or private sources cash and/or in-kind contributions valued
at an amount equal to the OCS funds requested.
[[Page 45310]]
Applicants documenting that the value of such contributions will be at
least equal to the OCS funds requested will receive the maximum number
of points for this sub-criterion. Lesser contributions will be given
consideration based upon the value documented.
Note 1: Cash resources such as cash or loans contributed from
all project sources (except for those contributed directly by the
applicant) must be documented by letters of commitment from third
parties making the contribution. Third party in-kind contributions
such as equipment or real property contributed by the applicant or
third parties must be documented by an inventory for equipment and a
copy of deed or other legal document for real property. In addition,
future or projected program income such as gross or net profits from
the project or business operations will not be recognized as
mobilized or contributed resources.
Note 2: Applicants under Sub-Priority Area 1.2 who have a
signed, written agreement for a significant partnership role with
Historically Black Colleges and Universities are deemed to have
fully met this criterion and will receive the maximum number of
points if they include the agreement with the HBCU.
(2) Integration/coordination of services: (sub-rating: 5 points)
The applicant demonstrates a commitment to or agreements with local
agencies responsible for administering child support enforcement,
employment, education, and training programs to ensure that welfare
recipients, at-risk youth, displaced workers, public housing tenants,
homeless and low-income individuals, and low-income non-custodial
parents will be trained and placed in the newly created jobs. The
applicant provides written agreements from the local TANF or other
employment, education and training office, and child support
enforcement agency indicating what actions will be taken to integrate/
coordinate services that relate directly to the project for which funds
are being requested. (0-2 points)
Specifically, the agreements should include: (1) the goals and
objectives that the applicant and the TANF or other employment,
education and training office and/or child support enforcement agency
expect to achieve through their collaboration; (2) the specific
activities/actions that will be taken to integrate/coordinate services
on an on-going basis; (3) the target population that this collaboration
will serve; (4) the mechanism(s) to be used in integrating/coordinating
activities; (5) how those activities will be significant in relation to
the goals and objectives to be achieved through the collaboration; and
(6) how those activities will be significant in relation to their
impact on the success of the OCS-funded project. (0-2 points)
The applicant should also provide documentation that illustrates
the organizational experience related to the employment education and
training program. (Refer to Criterion II for guidelines.) (0-1 point)
f. Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5
points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. (0-2 points)
The application includes a detailed budget breakdown for each of
the budget categories in the SF-424A. The applicant presents a
reasonable administrative cost. (0-2 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
2. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.3
a. Criterion I: Analysis of Need (Maximum: 15 points)
The application documents that there are clearly identified needs
in a low-income community not being effectively addressed. (0-10
points)
Most recent available statistics and other information are provided
in support of its contention. (0-5 points)
b. Criterion II: Organizational Capability and Capacity (Maximum: 20
points)
(1) Organizational experience in program area (sub-rating: 5 points)
Each applicant must briefly show why its organization can
successfully implement the project for which it is requesting funds.
(0-5 points)
(2) Management capacity (sub-rating: 5 points)
Applicants must fully detail their ability to implement sound and
effective management practices and if they have been recipients of
other Federal or other governmental grants, they must also detail that
they have consistently complied with financial and program progress
reporting and audit requirements. (0-3 points)
Applicants should submit any available documentation on their
management practices and progress reporting procedures along with a
statement by a Certified or Licensed Public Accountant as to the
sufficiency of the applicant's financial management system to protect
adequately any Federal funds awarded under the application submitted.
(0-2 points)
Note: The documentation of the applicant's management practices,
etc., and statement from the accountant on the financial management
system must address the applicant organization's own internal system
rather than an external system of an affiliate, partner, management
support organization, etc.
(3) Staffing (sub-rating: 5 points)
The application must fully describe (e.g., resumes) the experience
and skills of key staff showing that they are not only well qualified
but that their professional capabilities are relevant to the successful
implementation of the project.
(4) Staffing responsibilities (sub-rating: 5 points)
The application must describe how the assigned responsibilities of
the staff are appropriate to the tasks identified for the project.
c. Criterion III: Project Design, Implementation and Evaluation
(Maximum: 30 Points)
(1) Project implementation component (sub-rating: 25 points)
The work plan must address a clearly identified need in the low-
income community as described in Criterion I. The plan must include a
methodology to evaluate the feasibility of potential projects that
conform to the type of projects and activities allowable under Sub-
Priority Areas 1.1, 1.2, and 1.4. (0-10 points)
It must set forth realistic quarterly time schedules of work tasks
by which the objectives (including the development of a business plan
and mobilization of resources) will be accomplished. Because quarterly
time schedules are used by OCS as a key instrument to monitor progress,
failure to include these time targets will seriously reduce an
applicant's point score in this criterion. (0-10 points)
It must define critical issues or potential problems that might
impact negatively on the project and it must indicate how the project
objectives will be attained notwithstanding any such potential
problems. (0-5 points)
(2) Evaluation component (sub-rating: 5 points)
All proposals should include a self-evaluation component. The
evaluation data collection and analysis procedures should be
specifically oriented to assess the degree to which the stated goals
and objectives are achieved. (0-3 points)
Qualitative and quantitative measures reflective of the scheduling
and task delineation in (1) above should be used to the maximum extent
possible. This
[[Page 45311]]
component should indicate the ways in which the potential grantee would
integrate qualitative and quantitative measures of accomplishment and
specific data into its program progress reports that are required by
OCS from all organizations receiving pre-developmental grants. (0-2
points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 25 Points)
Funding under this sub-priority area is targeted to result in a
business plan for a proposed project. The proposed project around which
the business plan is to be developed with the use of OCS grant funds
must be targeted into low-income communities, and/or designated
Empowerment Zones or Enterprise Communities with the goals of
increasing the economic conditions and social self-sufficiency of
residents. Also, the project proposes to produce permanent and
measurable results that will reduce the incidence of poverty and number
of TANF recipients in the low-income area targeted. (0-20 points)
Note: This sub-priority area permits applicants to conduct
several feasibility studies related to various potential projects.
However, on completion of the studies, one proposed project must be
selected and a business plan prepared for the selected project.
The activity targets mobilization of non-discretionary program
dollars from private sector individuals, public resources,
corporations, and foundations including the utilization of Historically
Black Colleges and Universities, if the proposed project is
implemented. (0-5 points)
e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 10
points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The estimated
cost to the government of the project also is reasonable in relation to
the anticipated results. (0-5 points)
The application includes a narrative detailed budget breakdown for
each of the budget categories in the SF 424-A. The applicant presents a
reasonable administrative cost. (0-5 points)
3. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.5
a. Criterion I: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 20 points)
(1) Organizational experience in program area (sub-rating: 0-10 points)
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. (0-2 points)
Applicant must document a capability (including access to a network
of skilled individuals and/or organizations) in two or more of the
following areas: Business management, including strategic planning and
fiscal management; finance, including development of financial packages
and provision of financial/accounting services; and regulatory
compliance, including assistance with zoning and permit compliance. (0-
2 points)
Further, the applicant has the demonstrated ability to mobilize
dollars from sources such as the private sector (corporations, banks,
foundations, etc.) and the public sector, including state and local
governments. (0-2 points)
Applicant also demonstrates that it has a sound organizational
structure and proven organizational capability as well as an ability to
develop and maintain a stable program in terms of business, physical or
community development activities that have provided permanent jobs,
services, business development opportunities, and other benefits to
poverty community residents. (0-2 points)
Applicants must indicate why they feel that their successful
experiences would be of assistance to existing grantees that are
experiencing difficulties in implementing their projects. (0-2 points)
(2) Staff skills, resources and responsibilities (sub-rating 0-10
points)
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but who
has professional capabilities relevant to the successful implementation
of the project. If the key staff person has not yet been identified,
the application contains a comprehensive position description that
indicates that the responsibilities to be assigned to the project
director are relevant to the successful implementation of the project.
(0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-3 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-2 points)
b. Criterion II: Work Program (Maximum: 30 points)
Based upon the applicant's knowledge and experience related to OCS'
Discretionary Grants Program (particularly community economic
development), the application should demonstrate in some specificity a
thorough understanding of the problems a grantee may encounter in
implementing a successful project. (0-15 points)
The application should include a strategy for assessing the
specific nature of the problems, outlining a course of action and
identifying the resources required to resolve the problems. (0-15
points)
c. Criterion III: Significant and Beneficial Impact (Maximum: 30
points)
Project funds under this sub-priority area must be used for the
purposes of transferring expertise directly, or by a contract with a
third party, to other OCS funded grantees. Applicants must document how
the success or failure of collaboration with these grantees will be
documented. (0-15 points)
Applicants must demonstrate an ability to disseminate results on
the kinds of programmatic and administrative expertise transfer efforts
in which they participated and successful strategies that they may have
developed to share expertise with grantees during the grant period. (0-
10 points)
Applicants must also state whether the results of the project will
be included in a handbook, a progress paper, an evaluation report, a
general manual, or seminars/workshops, and why the particular
methodology chosen would be most effective. (0-5 points)
d. Criterion IV: Public-Private Partnerships (Maximum: 15 points)
The applicant demonstrates that it has worked with local, regional,
state or national offices to ensure that TANF recipients, at-risk
youth, displaced workers, public housing tenants, low-income
noncustodial parents, homeless and otherwise low-income individuals
have been trained and placed in newly created jobs. (0-10 points)
Applicant should demonstrate how it will design a comprehensive
strategy which makes use of other available resources to resolve
typical and recurrent grantee problems. (0-5 points)
[[Page 45312]]
e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 5
points)
Applicant documents that the funds requested are commensurate with
the level of effort necessary to accomplish the goals and objectives of
the project. The application includes a detailed budget breakdown for
each of the appropriate budget categories in the SF-424A. (0-3 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-2 points)
4. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.6
a. Criterion I: Need for Assistance (Maximum: 10 points)
The application documents that the project addresses a vital,
nationwide need related to the purposes of Priority Area 1.0 and
provides data and information in support of its contention.
b. Criterion II: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 20 points)
(1) Organizational experience
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. Applicant must document a capability
(including access to a network of skilled individuals and/or
organizations) in two or more of the following areas: Business
management, including strategic planning and fiscal management;
finance, including development of financial packages and provision of
financial/accounting services; and regulatory compliance, including
assistance with zoning and permit compliance. (0-10 points)
(2) Staff skills
The applicant's proposed project director and primary staff are
well qualified and their professional experiences are relevant to the
successful implementation of the proposed project. (0-10 points)
c. Criterion III: Work Plan (Maximum: 35 points)
Based upon the applicant's knowledge and experience related to OCS'
Discretionary Grants Program (particularly community economic
development), the applicant must develop and submit a detailed and
specific work plan that is both sound and feasible. Specifically, the
work plan should:
(1) Demonstrate that all activities are comprehensive and
nationwide in scope, adequately described, and appropriately related to
the goals of the program. (0-10 points)
(2) Demonstrate in some specificity a thorough understanding of the
kinds of training and technical assistance that can be provided to the
network of community development corporations. (0-10 points)
(3) Delineate the tasks and sub-tasks involved in the areas
necessary to carry out the responsibilities, i.e. training, technical
assistance, research, outreach, seminars, etc. (0-5 points)
(4) State the intermediate and end products to be developed by task
and sub-task. (0-5 points)
(5) Provide realistic time frames and a chronology of key
activities for the goals and objectives. (0-5 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 25 points)
Project funds under this sub-priority area must be used for the
purpose of providing training and technical assistance on a national
basis to the network of community development corporations.
The applicant should describe how:
(1) The project will assure long-term program and management
improvements for community development corporations. (0-10 points)
(2) The project will impact on a significant number of community
development corporations. (0-10 points)
(3) The project will leverage or mobilize significant other non-
federal resources for the direct benefit of the project. (0-5 points)
e. Criterion V: Budget Reasonableness (Maximum: 10 points)
(1) The resources requested are reasonable and adequate to accomplish
the project. (0-5 points)
(2) Total costs are reasonable and consistent with anticipated results.
(0-5 points)
5. Criteria for Review and Evaluation of All Applications Under
Priority Area 2.0
a. Criterion I: Analysis of Need (Maximum: 5 points)
The application documents that the project addresses a vital need
in a distressed community and provides statistics and other data and
information in support of its contention.
b. Criterion II: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 15 points)
(1) Organizational Experience in Program Area (sub-rating: 0-5 points)
Documentation provided indicates that projects previously
undertaken have been relevant and effective and have provided permanent
benefits to the low-income population.
Organizations that propose providing training and technical
assistance have detailed competence in the specific program priority
area and as a deliverer with expertise in the fields of training and
technical assistance. If applicable, information provided by these
applicants also addresses related achievements and competence of each
cooperating or sponsoring organization.
(2) Staff Skills, Resources and Responsibilities (sub-rating 0-10
points)
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but
whose professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description that indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. The applicant has adequate facilities and resources (i.e.
space and equipment) to successfully carry out the work plan. The
assigned responsibilities of the staff are appropriate to the tasks
identified for the project and sufficient time of senior staff will be
budgeted to assure timely implementation and cost effective management
of the project.
c. Criterion III: Project Implementation (Maximum: 25 points)
The work plan is both sound and feasible. The project is responsive
to the needs identified in the Analysis of Need. It sets forth
realistic quarterly time targets by which the various tasks will be
completed. Critical issues or potential problems that might impact
negatively on the project are defined and the project objectives can be
reasonably attained despite such potential problems.
d. Criterion IV: Significant and Beneficial Impact (Maximum: 30 points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. The proposed
project will produce permanent and measurable results that will reduce
the incidence of poverty in
[[Page 45313]]
the areas targeted and significantly enhance the self-sufficiency of
program participants. Results are quantifiable in terms of program area
expectations, e.g., number of units of housing rehabilitated,
agricultural and non-agricultural job placements, etc. The OCS grant
funds, in combination with private and/or other public resources, are
targeted into low-income and/or distressed communities and/or
designated Empowerment Zones and Enterprise Communities.
e. Criterion V: Public-Private Partnerships (Maximum: 20 points)
The application documents that the applicant will mobilize from
public and/or private sources cash and/or in-kind contributions valued
at an amount equal to the OCS funds requested. Applicants documenting
that the value of such contributions will be at least equal to the OCS
funds requested will receive the maximum number of points for this
Criterion. Lesser contributions will be given consideration based upon
the value documented.
f. Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5
points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The application
includes a narrative detailed budget break-down for each of the budget
categories in the SF-424A. The applicant presents a reasonable
administrative cost. The estimated cost to the government of the
project also is reasonable in relation to the anticipated results.
Part E--Application Procedures
1. Availability of Forms
For purposes of this announcement, all applicants will use the
following forms: SF 424; SF 424A; SF 424B.
Applications proposing construction projects will present all
required financial data using SF-424A. Instructions for completing the
SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D.
These forms may be photocopied for this application.
Part F contains instructions for the project abstract and project
narrative. They will be submitted on plain bond paper along with the
SF-424 and related forms.
Attachment M, Applicant's Checklist, provides a checklist to aid
applicants in preparing a complete application package for OCS.
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the following regulations: Drug-
Free Workplace, Attachment E; Debarment, Attachment F; and
Environmental Tobacco Smoke, Attachment J.
2. 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.
As of March 5, 1999 the following jurisdictions have elected NOT to
participate in the Executive Order process. Applicants from these
jurisdictions or for projects administered by Federally-recognized
Indian Tribes need take no action in regard to E.O. 12372:
Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas,
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, American Samoa and Palau.
Applicants should contact their SPOCs as soon as possible to alert
them of the prospective applications and receive any necessary
instructions. Applicants must submit any required material to the SPOCs
as soon as possible so that the program office can obtain and review
SPOC comments as part of the award process. It is imperative that the
applicant submit all required materials, if any, to the SPOC and
indicate the date of this submittal (or the date of contact if no
submittal is required) on the Standard Form 424, item 16a, and submit a
copy of the letter along with its application to OCS.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline date to comment on proposed new or competing continuation
awards.
The SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to clearly differentiate between mere advisory comments and
those official state process recommendations which they intend to
trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Office of Grants Management/OCSE, 4th Floor
West, Aerospace Center, 370 L'Enfant Promenade, S.W., Washington, D.C.
20447.
A list of the Single Points of Contact for each state and territory
is included as Attachment G of this announcement.
3. Application Consideration
Applications that meet the screening requirements in sections 4.a
and b. below may be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to program priority area guidelines and
evaluation criteria published in this announcement.
Applications submitted under all priority areas (with the exception
of Sub-Priority Area 1.6) will be reviewed by persons outside of the
Office of Community Services. The results of these reviews will assist
the Director and OCS program staff in considering competing
applications. Reviewers' scores will weigh heavily in funding decisions
but will not be the only factors considered. Applications generally
will be considered in order of the average scores assigned by
reviewers. However, highly ranked applications are not guaranteed
funding since the Director may also consider other factors deemed
relevant including, but not limited to, the timely and proper
completion of projects funded with OCS funds granted in the last five
(5) years; comments of reviewers and government officials; staff
evaluation and input; geographic distribution; previous program
performance of applicants; compliance with grant terms under previous
DHHS grants; audit reports; investigative reports; and applicant's
progress in resolving any final audit disallowances on previous OCS or
other Federal agency grants. Applicants with three or more active OCS
grants at the time of review may be denied funding. In addition, for
applications received under 1.0, OCS will consider the geographic
distribution of funds among states and the relative proportion of
funding among rural and urban areas in accordance with Section
681(b)(1)(D) of the Act.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to ascertain the applicant's performance
record.
4. Criteria for Screening Applicants
a. Initial screening
All applications that meet the published deadline for submission
will be screened to determine completeness
[[Page 45314]]
and conformity to the requirements of this announcement. Only those
applications meeting the following requirements will be reviewed and
evaluated competitively. Others will be returned to the applicants with
a notation that they were unacceptable.
(1) The application must contain an Application for Federal
Assistance (SF-424), a budget (SF-424A), and signed Assurances (SF
424B) completed according to instructions published in Parts F and G
and Attachments B, C, and D of this Program Announcement.
(2) A project abstract must also accompany the standard forms.
(3) The SF-424 and the SF-424B must be signed by an official of the
organization applying for the grant who has authority to obligate the
organization legally.
(4) The application must be submitted for consideration under one
priority area only.
b. Pre-review
Applications that pass the initial screening will be forwarded to
reviewers and/or OCS staff prior to the programmatic review to verify
that the applications comply with this Program Announcement in the
following areas:
(1) Eligibility: Applicant meets the eligibility requirements for
the priority area under which funds are being requested. Proof of non-
profit status, i.e. the IRS determination letter of tax exemption, must
be included in the appendices of the project narrative where
applicable. Applicants that do not submit proof of non-profit status
will be disqualified. Applicants must also be aware that the
applicant's legal name as required in SF-424 (Item 5) must match that
listed as corresponding to the Employer Identification Number (Item 6).
(2) Number of Projects: An application may contain only one project
under Sub-Priority Areas 1.1, 1.2 and 1.4. However, an application may
contain more than one project under Sub-Priority Areas 1.3, 1.5, and
1.6 where applicants are researching various opportunities, sharing
administrative and management expertise with current OCS grantees,
providing assistance to current OCS grantees, providing training and/or
technical assistance current OCS grantees, including the organization
of seminars and other activities to assist community development
corporations and this project must be identified as responding to one
of the program priority areas stated in this Announcement.
(3) Grant amount: The amount of funds requested does not exceed the
limits indicated in Part B, 2, b or the appropriate priority area.
(4) Written Agreement When Applicant Proposes to Make Equity
Investment or Loan: (Sub-Priority Areas 1.1, 1.2 and 1.4); The
application contains a written third party agreement, or a discussion
of a proposed agreement, signed by the applicant and the third party
that includes all of the elements required in Part B, item 9.
An application will be disqualified if it does not conform to one
or more of the above requirements.
c. Panel Reviews
Applications that pass the pre-rating review will be assessed and
scored by panels of reviewers. Each reviewer will give a numerical
score for each application reviewed. These numerical scores will be
supported by explanatory statements on a formal rating form describing
major strengths and weaknesses under each applicable criterion
published in the announcement.
The panelists will use the following criteria coupled with the
specific requirements contained under each program priority area as
described in Part C.
Part F--Contents of Application and Receipt Process
1. Contents of Application
Each submission should include one signed original and four
additional copies of the application. The application package including
the narrative should not exceed 65 pages for the applications submitted
under Sub-Priority Areas 1.1, 1.2 and 1.4 and 30 pages under the other
sub-priority areas. This does not include appendices listed below.
Application pages should be numbered sequentially throughout the
application package, beginning with an abstract of the proposed project
as page number one. Each application must include all of the following,
in the order listed below:
a. Table of Contents;
b. A Project Abstract--A paragraph that succinctly describes the
project in 500 characters or less.
c. Completed Standard Form 424 (Attachment B) that has been signed
by an official of the organization applying for the grant who has
authority to obligate the organization legally.
d. A Standard Form 424A--Budget Information--Non-construction
Programs (Attachment C).
e. A narrative budget justification for each object class category
required under Section B, SF-424A.
f. A Project Narrative. The project narrative must address the
specific concerns mentioned under the relevant priority area
description in Part C. The narrative should also provide information on
how the application meets the evaluation criteria in Part D and
Guidelines for a Business Plan (Attachment K) of the Program
Announcement.
g. A Standard Form 424B Assurances--Non-Construction (Attachment
D)--All applicants, whether or not their project involves construction,
must file the Standard Form 424B. Applicants must sign and return this
form with their applications.
h. Certification Regarding Lobbying--(Attachment H)--Prior to
receiving an award in excess of $100,000, applicants must sign and
return an executed copy of the lobbying certification.
i. Disclosure of Lobbying Activities, SF-LLL (Attachment H)--Fill
out, sign and date the form.
j. DHHS Regulations Applying to All Applicants/Grantees Under the
Fiscal Year 2000 Discretionary Grants Program (Attachment I)--By
signing and submitting the application, applicant is certifying that it
will comply with these regulations.
k. Certification Regarding Environmental Tobacco Smoke (Attachment
J)--Applicants must make the appropriate certification of their
compliance with the Pro-Children Act of 1994. By signing and submitting
the applications, applicants are providing the certification regarding
environmental tobacco smoke and need not mail back the certification
with their applications.
l. Certification Regarding Drug-Free Workplace Requirement: By
signing and submitting the application, applicant is certifying that it
will comply with this regulation.
m. Certification Regarding Debarment, Suspension, and Other
Responsibility Matters: By signing and submitting the application,
applicant is certifying that it will comply with this regulation.
n. Appendices should include: Proof of non-profit status (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 a copy of the currently valid IRS tax exemption
certificate); a copy of the Articles of Incorporation bearing the seal
of the State in which the corporation or association is domiciled; a
listing of the current Board of Directors' names, titles and addresses
(Note: If the applicant is proposing an equity transaction, this is
also needed for the third party organization); resumes of the project
director and other key management team members; written
[[Page 45315]]
agreements, i.e., third party agreements, coordination with TANF, etc.;
a copy of the submission to the State Single Point of Contact, if
applicable; Single Point of Contact comments, where applicable;
certification regarding anti-lobbying activities; and a disclosure of
lobbying activities.
2. Acknowledgment of Receipt
All applicants will receive an acknowledgment notice with an
assigned identification number. Applicants are requested to supply a
self-addressed mailing label with their application that can be
attached to this acknowledgment notice. The identification number and
the program priority area letter code must be referred to in all
subsequent communications with OCS concerning the application. If an
acknowledgment is not received within three weeks after the deadline
date, please notify ACF by telephone at (202)401-5103.
(Note: To facilitate receipt of this acknowledgment from ACF,
applicant should include a cover letter with the application
containing an E-mail address and facsimile (FAX) number if these
items are available to applicant.)
Part G--Instructions for Completing Application Package
It is suggested that the applicant reproduce the SF-424 and SF-
424A, and type its organization's legal name on the copies. If an item
on the SF-424 cannot be answered or does not appear to be related or
relevant to the assistance requested, write NA for Not Applicable.
Prepare your application in accordance with the standard
instructions given in Attachments B and C corresponding to the forms,
as well as the OCS specific instructions set forth below:
1. SF-424 Application for Federal Assistance
Item 1. For the purposes of this announcement, all proposals are
considered Applications; there are no Pre-Applications. For the purpose
of this announcement, construction projects involve land improvements
and development or major renovation of (new or existing) facilities and
buildings, including their improvements, fixtures and permanent
attachments. All others are considered non-construction. Check the
appropriate box under Application. Whether applications involve
construction or non-construction projects, all applicants are required
to complete the Budget Information--Non-construction Programs sections
of SF-424A.
Items 5 and 6. The legal name of the applicant must match that
listed as corresponding to the Employer Identification Number. Where
the applicant is a previous Department of Health and Human Services
grantee, enter the Central Registry System Employee Identification
Number (EIN) and the Payment Identifying Number (PIN), if one has been
assigned, in the Block entitled Federal Identifier located at the top
right hand corner of the form.
Item 7. If the applicant is a non-profit corporation, enter N in
the box and specify non-profit corporation in the space marked Other.
Any non-profit organization submitting an application must submit proof
of its non-profit status in its applications at time of submission.
Item 9. Enter DHHS--ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this Announcement is 93.570. The title is CSBG
Discretionary Awards.
Item 11. In addition to a brief descriptive title of the project,
indicate one of the following program priority areas for which funds
are being requested.
UR--Sub-Priority Area 1.1. Urban and Rural Community Economic
Development (Operational)
HB--Sub-Priority Area 1.2. Urban and Rural Community Economic
Development (HBCU Set-Aside)
PD Sub-Priority Area 1.3. Urban and Rural Community Economic
Development (Pre-Developmental Set-Aside)
DD--Sub-Priority Area 1.4. Urban and Rural Community Economic
Development (Developmental Set-Aside)
AM--Sub-Priority Area 1.5. Administrative and Management (Set-Aside)
UT--Sub-Priority Area 1.6. Training and Technical Assistance (Set-
Aside)
RF--Priority Area 2.0. Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)
2. SF-424A--Budget Information--Non-Construction Programs
See Instructions accompanying this form as well as the instructions
set forth below:
In completing these sections, the ``Federal Funds'' budget entries
will relate to the requested OCS discretionary funds only, and Non-
Federal will include mobilized funds from all other sources--applicant,
state, local, and other. Federal funds other than requested OCS
Discretionary funding should be included in Non-Federal entries.
The budget forms in SF-424A are only to be used to present grant
administrative costs and major budget categories. Financial data that
is generated as part of a project Business Plan or other internal
project cost data must be separate and should appear as part of the
project Business Plan or other project implementation data.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (mobilized) funds. Section B contains entries for
Federal (OCS) funds only. Clearly identified continuation sheets in SF-
424A format should be used as necessary.
Section A--Budget Summary
Lines 1-4
--Column (a): Line 1 Enter CSBG Discretionary;
--Column (b): Line 1 Enter 93.570
--Columns (c) and (d): Leave Blank
--Columns (e) thru (g):Enter the appropriate amounts needed to support
the project for the budget period.
Line 5 Enter the figures from Line 1 for all columns completed as
required, (c), (d), (3), (f), and (g).
Section B--Budget Categories
Allowability of costs are governed by applicable cost principles
set forth in 45 CFR Parts 74 and 92. A budget narrative must be
submitted that includes the appropriate justifications as stated.
This section should contain entries for OCS funds only. For all
projects, this first budget period will be entered in Column (1).
Budget estimates for administrative costs must be supported by
adequate detail for the grants officer to perform a cost analysis and
review. Adequately detailed calculations for each budget object class
are those which reflect estimation methods, quantities, unit costs,
salaries, and other similar quantitative detail sufficient for the
calculation to be duplicated. For any additional object class
categories included under the object class other, identify the
additional object class(es) and provide supporting calculations.
Supporting narratives and justifications are required for each
budget category, with emphasis on unique/special initiatives; large
dollar amounts; local, regional, or other travel; new positions; and
major equipment purchases.
A detailed itemized budget with a separate budget justification for
each major item should be included as indicated below:
[[Page 45316]]
Line 6a
Personnel--Enter the total costs of salaries and wages.
Justification--Identify the project director and staff. Specify by
title or name the percentage of time allocated to the project, the
individual annual salaries and the cost to the project (both Federal
and non-Federal) of the organization's staff who will be working on the
project.
Line 6b
Fringe Benefits--Enter the total costs of fringe benefits unless
treated as part of an approved indirect cost rate which is entered on
Line 6j.
Justification--Enter the total costs of fringe benefits, unless
treated as part of an approved indirect cost rate. Provide a breakdown
of amounts and percentages that comprise fringe benefit costs.
Line 6c
Travel--Enter total cost of all travel by employees of the project.
Do not enter costs for consultant's travel.
Justification--Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, mileage rate, transportation costs
and subsistence allowances. Traveler must be a person listed under the
personnel line or employee being paid under non-federal share. (Note:
Local transportation and Consultant travel costs are entered on Line
6h.)
Line 6d
Equipment--Enter the total estimated costs for all non-expendable
personal property to be acquired by the project. Equipment means
tangible nonexpendable personal property, including exempt property,
charged directly to the award having a useful life of more than one
year and an acquisition cost of $5000 or more per unit. However,
consistent with recipient policy, lower limits may be established.
Justification--Provide breakdown of cost per item. Items that cost
less than $5,000 should be included under Supplies.
Line 6e
Supplies--Enter the total estimated costs of all tangible personal
property (supplies) other than that included on line 6d.
Justification--Provide a general description as to what is being
purchased such as type of supplies, office, classroom, medical, etc.
Also property that is not equipment and costs less than $5,000 per
item.
Line 6f
Contractual--Enter the total costs of all contracts, including (1)
procurement contracts (except those which belong on other lines such as
equipment, supplies, etc.) and (2) contracts with secondary recipient
organizations including delegate agencies and specific projects(s) or
businesses to be financed by the applicant.
Justification--Contractual cannot be a person--it must be the name
of an organization, firm, etc. Consultant cost goes in--other.
Line 6g
Construction--Enter the estimated costs of renovation, repair, or
new construction. Identify the type of construction activity and costs
associated, i.e., concrete, HVAC, electrical, etc. Provide narrative
justification and breakdown of costs.
Line 6h
Other--Enter the total of all other costs. Such costs, where
applicable, may include, but are not limited to insurance, fees and
travel paid directly to individual consultants, local transportation
(all travel which does not require per diem is considered local
travel), space and equipment rentals, printing computer use training
costs including tuition and stipends, training service costs including
wage payments to individuals and supportive service payments, and staff
development costs.
Justification--Provide as much detail as you can. Some items may
have to be defined more than others.
Line 6j
Indirect Charges--Enter the total amount of indirect costs. This
line should be used only when the applicant currently has an indirect
cost rate approved by DHHS or other Federal agencies.
If the applicant organization is in the process of initially
developing or renegotiating a rate, it should, immediately upon
notification that an award will be made, develop a tentative indirect
cost rate proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the pertinent DHHS Guide
for Establishing Indirect Cost Rates and submit it to the appropriate
DHHS Regional Office. It should be noted that when an indirect cost
rate is requested, those costs included in the indirect cost pool
cannot be also budgeted or charged as direct costs to the grant.
Indirect costs consistent with approved Indirect Cost Rate Agreements
are allowable.
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant is applying. Therefore,
mobilized funds from other Federal programs, such as the Job Training
Partnership Act program, should be entered on these lines. Provide a
brief listing of the non-Federal resources on a separate sheet and
describe whether it is a grantee-incurred cost or a third-party in-kind
contribution. The firm commitment of these resources must be documented
and submitted with the application in order to be given credit in the
Public-Private Partnerships Criterion.
Except in unusual situations, this documentation must be in the
form of letters of commitment from the organization(s)/ individuals
from which funds will be received.
(Note: Even though there is no matching requirements for the
Discretionary Grants Program, grantees will be held accountable for any
match, cash or in-kind contribution proposed or pledged as part of an
approved application.)
Part H--Post Award Information and Reporting Requirements
1. 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 that provides the amount of Federal funds approved for
use in the project, the budget period for which support is provided,
the terms and conditions of the award, the total project period for
which support is contemplated, and the total financial participation
from the award recipient.
General Conditions and Special Conditions (where the latter are
warranted) which will be applicable to grants, are subject to the
provisions of 45 CFR Parts 74 and 92.
2. Attendance at OCS Training Conference
The Executive Director and/or Project Director will be required to
attend a two-day national workshop in Washington, DC. The project
budget must include funds for travel to and attendance at this
conference.
3. Reporting Requirements
Grantees will be required to submit semi-annual progress and
financial
[[Page 45317]]
reports (SF-269) as well as a final progress and financial report.
Under the Paperwork Reduction Act of 1995, Public Law 104-13, 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
applications under OMB Control Number 0970-0062.
4. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR Parts 74
and 92 and OMB Circular A-133. If an applicant will not be requesting
indirect costs, it should anticipate in its budget request the cost of
having an audit performed at the end of the grant period.
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or subgrantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of nonappropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or subgrantees will pay with the nonappropriated funds and
(3) to file quarterly up-dates about the use of lobbyists if an event
occurs that materially affects the accuracy of the information
submitted by way of declaration and certification. The law establishes
civil penalties for noncompliance and is effective with respect to
contracts, grants, cooperative agreements and loans entered into or
made on or after December 23, 1989. See Attachment H for certification
and disclosure forms to be submitted with the applications for this
program.
5. Applicable Federal Regulations
Attachment I provides a list of the regulations that apply to all
applicants/grantees under the FY 2000 Discretionary Grants Program.
Dated: August 11, 1999.
Donald Sykes,
Director, Office of Community Services.
Attachments
A--1999 Poverty Income Guidelines
B--Standard Form 424
C--Standard Form 424A
D--Standard Form 424B
E--Certification Regarding Drug-Free Workplace
F--Certification of Debarment
G--List of Single Points of Contact
H--Certification Regarding Lobbying and Disclosure of Lobbying
Activities
I--DHHS Regulations Which Apply to all Applicants/Grantees Under The
Fiscal Year 2000 Discretionary Grants Program
J--Certification of Environmental Tobacco Smoke
K--Business Plan
L--Table of Standard Industrial Codes and Occupational Classification
M--Applicant's Checklist
Attachment A
1999 Poverty Guidelines for the 48 Contiguous States and the District of
Columbia
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $8,240
2.......................................................... 11,060
3.......................................................... 13,880
4.......................................................... 16,700
5.......................................................... 19,520
6.......................................................... 22,340
7.......................................................... 25,160
8.......................................................... 27,980
------------------------------------------------------------------------
For family units with more than 8 members, add $2,820 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
1999 Poverty Guidelines for Alaska
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $10,320
2.......................................................... 13,840
3.......................................................... 17,360
4.......................................................... 20,880
5.......................................................... 24,440
6.......................................................... 27,920
7.......................................................... 31,440
8.......................................................... 34,960
------------------------------------------------------------------------
For family units with more than 8 members, add $3,520 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
1999 Poverty Guidelines for Hawaii
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $9,490
2.......................................................... 12,730
3.......................................................... 15,970
4.......................................................... 19,210
5.......................................................... 22,450
6.......................................................... 25,690
7.......................................................... 28,930
8.......................................................... 32,170
------------------------------------------------------------------------
For family units with more than 8 members, add $3,240 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
BILLING CODE 4184-01-P
[[Page 45318]]
[GRAPHIC] [TIFF OMITTED] TN19AU99.001
BILLING CODE 4184-01C
[[Page 45319]]
Attachment B (Page 2)
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
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-M
[[Page 45320]]
[GRAPHIC] [TIFF OMITTED] TN19AU99.002
[[Page 45321]]
[GRAPHIC] [TIFF OMITTED] TN19AU99.003
BILLING CODE 4184-01-C
[[Page 45322]]
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 shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4 Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the Catalog program title and the Catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the Catalog program title on each line
in Column (a) and the respective Catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of 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 shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount on 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, Shown 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 ad necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment D
Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15
[[Page 45323]]
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 regrading 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 YOU 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,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 C.F.R. 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 confidentially 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 statue(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 Title 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 E
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
[[Page 45324]]
grantee knowingly rendered a false certification, or otherwise
violates the requirements of the Drug-Free Workplace Act, the
agency, in addition to any other remedies available to the Federal
Government, may take action authorized under the Drug-Free Workplace
Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplace).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
1. The grantee certifies that it will or 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 that 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 the 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 so convicted--
1. Taking appropriate personnel action against such an employee,
up to and including termination, consistent with the requirements of
the Rehabilitation Act of 1973, as amended; or
2. Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free
workplace through implementation of paragraph (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 {time} 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 from a violation
occurring during the conduct of any grant activity, he or she will
report the conviction, in writing, within 10 calendar days of the
conviction, to every grant officer or other designee, unless the
Federal agency designates a central point for the receipt of such
notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
(55 FR 21690, 21702, May 25, 1990)
Attachment F
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 the 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
[[Page 45325]]
or has become erroneous by reason of changed circumstances.
5. The terms covered transacted, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntary
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 begin 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
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that 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 voluntary 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 an 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 G
State Single Point of Contact Listing Maintained by OMB
In accordance with Executive Order #12374, ``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 State 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.
March 5, 1999.
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.
ARKANSAS
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Service, Department of Finance and Administration,
515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone:
(501) 682-1074; FAX: (501) 682-5206
CALIFORNIA
Grants Coordination, State Clearinghouse, Office of Planning &
Research, 1400 Tenth Street, Room 121, Sacramento, California 95814,
Telephone: (916) 445-0613; FAX: (916) 323-3018
DELAWARE
Francine Booth, State Single Point of Contact, Executive Department,
Office of the Budget, 540 S. Dupont Highway, 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
Mgmt. & Dev., 717 14th Street, N.W. Suite 1200, Washington, D.C.
20005, Telephone: (202) 727-1700 (direct), (202) 727-6537
(secretary); FAX: (202) 727-1617
FLORIDA
Florida State Clearinghouse, Department of Community Affairs, 2555
Shumard Oak Blvd, Tallahassee, Florida 32399-2100, Telephone: (850)
922-5438, FAX: (850) 414-0479; Contact: Cherie Trainor, (850) 414-
5495
GEORGIA
Deborah Stephens, Coordinator, Georgia State Clearinghouse, 270
Washington Street , S.W.--8th Floor, Atlanta, Georgia 30334,
Telephone: (404) 656-3855; FAX: (404) 656-7901
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
Renee Miller, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204-2796, Telephone: (317) 232-2971 (directline); FAX:
(317) 233-3323
IOWA
Steven R. McCann, Division of 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, Sandra Brewer, Executive Secretary,
Intergovernmental Affairs, Office of the Governor, 700 Capitol
Avenue, Frankfort, Kentucky 40601, Telephone: (502) 564-2611; FAX:
(502) 564-0437
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 Janey, Manager, Plan & Project Review, Maryland Office of
Planning, 301 W. Preston Street--Room 1104, Baltimore, Maryland
21201-2365, Staff Contact: Linda Janey, Telephone: (410) 767-4490;
FAX: (410) 767-4480
MICHIGAN
Richard Pfaff, Southeast Michigan Council of Governments, 660 Plaza
Drive--Suite 1900, Detroit, Michigan 48226, Telephone: (303) 961-
4266; FAX: (313) 961-4869
MISSISSIPPI
Cathy Mallette, Clearinghouse Officer, Department of Finance and
[[Page 45326]]
Administration, 550 High Street, 303 Walters Sillers Building,
Jackson, Mississippi 39201-3087, Telephone: (601) 359-6762; FAX:
(601) 359-6758
MISSOURI
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Jefferson Building, 9th Floor,
Jefferson City, Missouri 65102, Telephone: (314) 751-4834; FAX:
(314) 751-7819
NEVADA
Department of Administration, State Clearinghouse, 209 E. Musser
Street, Room 220, Carson City, Nevada 89710, Telephone: (702) 687-
4065; FAX: (702) 687-3983; Contact: Heather Elliot, (702) 687-6367
NEW HAMPSHIRE
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155;
FAX: (603) 271-1728
NEW MEXICO
Nick Mandell, Local Government Division, Room 201 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640;
FAX: (505) 827-4984
NEW YORK
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605; FAX: (518) 486-
5617
NORTH CAROLINA
Jeanette Furney, North Carolina Department of Administration, 116
West Jones Street--Suite 5106, Raleigh, North Carolina 27603-8003,
Telephone: (919) 733-7232; FAX: (919) 733-9571
NORTH DAKOTA
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094; FAX: (701) 224-2308
RHODE ISLAND
Kevin Nelson, Review Coordinator, Department of Administration,
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656; FAX: (401) 277-2083
SOUTH CAROLINA
Omeagia 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, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771; FAX: (512) 463-2681
UTAH
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114;
Telephone: (801) 538-1027; FAX: (801) 538-1547
WEST VIRGINIA
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010; FAX: (304) 558-3248
WISCONSIN
Jeff Smith, Section Chief, Federal/State 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
Sandy Ross, State Single Point of Contact, Department of
Administration and Information, 2001 Capitol Avenue, Room 214,
Cheyenne, Wyoming 82002, Telephone: (307) 777-5492; FAX: (307) 777-
3696
TERRITORIES
GUAM
Joseph Rivera, Acting Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96932,
Telephone: (617) 475-9411 or 9412; FAX: (671) 472-2825
PUERTO RICO
Jose Caballero-Mercado, Chairman, Puerto Rico Planning Board,
Federal Proposals Review Office, Minillas Government Center, P.O.
Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (787) 727-
4444, (787) 723-6190; FAX: (787) 724-3270
NORTH MARIANA ISLANDS
Mr. Alvaro A. Santos, Executive Officer, Office of Management and
Budget, Office of the Governor, Saipan, MP 96950, Telephone: (670)
664-2256; FAX: (670) 664-2272; Contact person: Ms. Jacoba T. Seman,
Federal Programs Coordinator, Telephone: (670) 664-2289; FAX: (670)
664-2272
VIRGIN ISLANDS
Nellon Bowry, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station; Second Floor; Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750; FAX: (809) 776-0069
If you would like a copy of this list faxed to your office,
please call our publications office at (202) 395-9068
* In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' this listing represents the designated
State Single Points of Contact. The jurisdictions not listed no
longer participate in the process, BUT GRANT APPLICANTS ARE STILL
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY,
COMMONWEALTH, ETC., DOES NOT HAVE A ``STATE SINGLE POINT OF
CONTACT.'' STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT''
INCLUDE: Alabama; Alaska; American Samoa; Colorado; Connecticut;
Hawaii; Idaho; Kansas; Louisiana; Massachusetts; Minnesota; Montana;
Nebraska; New Jersey; Ohio; Oklahoma; Oregon; Palau; Pennsylvania;
South Dakota; Tennessee; Vermont; Virginia; and Washington. This
list is based on the most current information provided by the
States. Information on any changes or apparent errors should be
provided to the Office of Management and Budget and the State in
question. Changes to the list will only be made upon formal
notification by the State. Also, this listing is published
biannually in the Catalogue of Federal Domestic Assistance.
Attachment H
Developing ACF Program Announcements
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 or will be paid to any person for influencing
or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal
contract, grant, loan, or cooperative agreement, the undersigned
shall complete and submit Standard Form-LLL, ``Disclosure Form to
Report Lobbying,'' in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly. This
certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
[[Page 45327]]
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 of 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
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Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
[[Page 45328]]
[GRAPHIC] [TIFF OMITTED] TN19AU99.004
BILLING CODE 4184-01-C
[[Page 45329]]
Attachment H (Page 3)
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 a collection of information unless if
displays a valid OMB Control Number. The valid OMB control number
for 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 Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503.
Attachment I
Department of Health and Human Services (DHHS) Regulations Applying to
All Applicants/Grantees Under The Fiscal Year 2000 Discretionary Grants
Program
Title 45 of the Code of Federal Regulations
Part 16--DHHS Grant Appeals Process
Part 74--Administration of Grants (non-governmental)
Part 74--Administration of Grants (state and local governments and
Indian Tribal affiliates):
Sections
74.26 Non-Federal Audits
74.27 Allowable cost for hospitals and non-profit organizations
among other things
74.32 Real Property
74.34 Equipment
74.35 Supplies
74.24 Program Income
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility For Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-discrimination Under Programs Receiving Federal
Assistance through DHHS 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 DHHS
Part 86--Non-discrimination 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 DHHS Programs and Activities
Attachment J
Certification Regarding Environmental Tobacco Smoke
Public Law 103227, Part C Environmental Tobacco Smoke, also
known as the Pro Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity. By signing and submitting this
application the applicant/grantee certifies that it will comply with
the requirements of the Act.
The applicant/grantee further agrees that it will require the
language of this certification be included in any subawards which
contain provisions for the children's services and that all
subgrantees shall certify accordingly.
Attachment K
Guidelines for a Business Plan
The application must contain a detailed and specific workplan or
business plan that is both sound and feasible. Generally, a business
plan is required for applications submitted under sub-priority areas
1.1, 1.2 and 1.4. For all business ventures (except for business
development opportunities for self-employed program participants) a
complete business plan will be required using guidelines discussed
in the next several paragraphs. For the remaining sub-priority
areas, a workplan is acceptable in lieu of a business plan.
Please note that OCS does not require the application to contain
business plans for each self-employed program participant. However,
a project that proposes to provide self-employed and other business
opportunities for program participants must
[[Page 45330]]
include a development plan that shows how participants will become
self-sufficient and how their technical assistance needs will be
met.
Guidelines of a Business Plan
The business plan is one of the major components that will be
evaluated by the OCS to determine the feasibility of a business
venture or an economic development project. It must be well prepared
and address all the relevant elements as follows:
(a) EXECUTIVE SUMMARY (limit summary to 3 pages)
(b) The business and its industry. This section should describe
the nature and history of the business and provide some background
on its industry.
(i) The Business: as a legal entity; the general business
category;
(ii) Description and Discussion of Industry: current status and
prospects for the industry;
(c) Products and Services: This section deals with the
following:
(i) Description: Describe in detail the products or services to
be sold;
(ii) Proprietary Position: Describe proprietary features if any
of the product, e.g., patients, trade secrets;
(iii) Potential: Features of the product or service that may
give it an advantage over the competition;
(d) Market Research and Evaluation: The applicant should
consider businesses in growth industries and occupations with skill
levels accessible to low income persons. Businesses should be
identified by Standard Industrial Codes (SIC) and jobs by
occupational classifications. This information is published by the
U.S. Department of Commerce in the ``Statistical Abstract of the
United States, 1996'', Table No. 646 and 647. Also, you may use the
table included as ``Attachment L'' to identify industrial areas and
occupational classifications. This section should present sufficient
information to show that the product or service has a substantial
market and can achieve sales in the face of competition;
(i) Customers: Describe the actual and potential purchasers for
the product or service by market segment.
(ii) Market Size and Trends: State the site of the current total
market for the product or service offered;
(iii) Competition: An assessment of the strengths and weaknesses
of competition in the current market;
(iv) Estimated Market Share and Sales: Describe the
characteristics of the product or service that will make it
competitive in the current market;
(e) Marketing Plan: The marketing plan should detail the
product, pricing, distribution, and promotion strategies that will
be used to achieve the estimated market share and sales projections.
The marketing plan must describe what is to be done, how it will be
done and who will do it. The plan should address the following
topics--Overall Marketing Strategy, Packaging, Service and Warranty,
Pricing, Distribution and Promotion.
(f) Design and Development Plans: If the product, process or
service of the proposed venture requires any design and development
before it is ready to be placed on the market, the nature and extent
and cost of this work should be fully discussed. The section should
cover items such as Development Status and Tasks, Difficulties and
Risks, Product Improvement and New Products, and Costs.
(g) Manufacturing and Operations Plan: A manufacturing and
operations plan should describe the kind of facilities, plant
location, space, capital equipment and labor force (part and/or full
time and wage structure) that are required to provide the company's
product or service.
(h) Management Team: The management team is the key in starting
and operating a successful business. The management team should be
committed with a proper balance of technical, managerial and
business skills, and experience in doing what is proposed. This
section must include a description of: the key management personnel
and their primary duties; compensation and/or ownership; the
organizational structure; Board of Directors; management assistance
and training needs; and supporting professional services.
(i) Overall Schedule: A schedule that shows the timing and
interrelationships of the major events necessary to launch the
venture and realize its objectives. Prepare, as part of this
section, a month-by-month schedule that shows the timing of such
activities as product development, market planning, sales programs,
and production and operations. Sufficient detail should be included
to show the timing of the primary tasks required to accomplish each
activity.
(j) Critical Risks and Assumptions: The development of a
business has risks and problems and the Business Plan should contain
some explicit assumptions about them. Accordingly, identify and
discuss the critical assumptions in the Business Plan and the major
problems that will have to be solved to develop the venture. This
should include a description of the risks and critical assumptions
relating to the industry, the venture, its personnel, the products
market appeal, and the timing and financing of the venture.
Also, if a ``construction project'' is involved, the Business
Plan should identify and address briefly the project's timeframes
and critical assumptions for conduct of predevelopment,
architectural/engineering and environmental studies, etc., and
acquisition of permits for building, use and occupancy that are
required for the project.
(k) Community Benefits: The proposed project must contribute to
economic, human and community development within the projects
targets area. A section that describes and discusses the potential
economic and non-economic benefits to low income members of the
community must be included as well as a description of the strategy
that will be used to identify and hire individuals being served by
public assistance programs and how linkages with community agencies/
organizations administering the AFDC/TANF program will be developed.
The following project benefits must be described:
Economic Development and Job Creation
Number of permanent jobs (with particular emphasis on jobs for
low-income people) that will be created during the project period.
Also, for low-income people, provide the following information:
--Number of jobs that will have career development opportunities and
a description of those jobs;
--Number of jobs that will be filled by individuals lifted from
AFDC/TANF assistance;
--Number of Self-employed and other ownership opportunities created
for low-income residents;
--Annual salary expected for each person employed (net profit after
deductions of business expenses for self-employed persons);
--Specific steps to be taken including on-going management support
and technical assistance provided by the grantee or a third party to
develop and sustain self-employed program participants after their
businesses are in place.
Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.
Other benefits, which might be discussed, are:
Human Development
--New technical skills development and associated career
opportunities for community residents;
--Management development and training;
--Benefits of self-sufficient for persons lifted from AFDC/TANF
assistance.
Community Development
--Development of community's physical assets;
--Provision of needed, but currently unsupplied, services or
products to community;
--Improvement in the living environment.
(1) The Financial Plan: The Financial Plan is basic to the
development of a Business Plan. Its purpose is to indicate the
project's potential and the timetable for financial self-
sufficiency. In developing the Financial Plan, the following
exhibits must be prepared for the first three years of the business'
operation:
(i) Profit and Loss Forecasts--quarterly for each year.
(ii) Cash Flow Projections--quarterly for each year.
(iii) Pro forma balance sheets--quarterly for each year.
Also, additional financial information for the business
operation that must be included are an initial Source and Use of
Funds Statement for project funds and a brief summary paragraph
discussing any further capital requirements and their sources.
If an applicant is proposing a project which will affect a
property listed in, or eligible for inclusion in the National
Register of Historic Places, it must identify this property in the
narrative and explain how it complied with the provisions of Section
106 of the National Historic Preservation Act of 1966 as amended. If
there is any question as to
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whether the property is listed in or eligible for inclusion in the
National Register of Historic Places, the applicant should consult
with the Senate Historic Preservation Officer. (See Attachment D:
SF-42B, Item 13 for additional guidance.) The applicant should
contact OCS early in the development of its application for
instructions regarding compliance with the Act and data required to
be submitted to the Department of Health and Human Services. Failure
to comply with the cited Act may result in the application being
ineligible for funding consideration.
Applicable to Sub-Priority Areas 1.1, 1.2, and 1.4
Applications submitted under Sub-Priority Areas 1.1, 1.2 and 1.4
which propose to use the requested OCS funds to make an equity
investment or a loan to a business concern, including a wholly-owned
subsidiary, or to make a sub-grant with a portion of OCS funds, must
include a written agreement between the community development
corporation and the recipient of the grant funds which contains all
of the elements listed in Part C under the appropriate Priority
Area.
Applicable to Sub-Priority Area 1.5 Only
An applicant in this priority area must document its experience
and capability in several of the following areas:
--Business/Development;
--Micro-Entrepreneurship Development;
--Commercial Development;
--Organizational and Staff Development;
--Board Training;
--Business Management, including Strategic Planning and Fiscal
Management;
--Finance, including Business Packaging and Financial/Accounting
Services, and/or;
--Regulatory compliance including Zoning and permit Compliance;
--Incubator Development;
--Tax Credits and Bond Financing;
--Marketing.
The applicant must document staff competence or the
accessibility of third party resources with proven competence. If
the work program requires the significant use of third party
(consultant/contractor) resources, those resources should be
identified and resumes of the individuals or key organizational
staff provided.
Resumes of the applicant's staff, who are to be directly
involved in programmatic and administrative expertise sharing,
should also be included. The applicant must document successful
experience in the mobilization of resources (both cash and in-kind)
from private and public sources. The applicant must also clearly
state how the information learned from this project may be
disseminated to other interested grantees.
Applicable to Sub-Priority Area 1.6 Only
An applicant in this priority area must document its experience
and capability in implementing projects national in scope and have
significant and relative experiences in working with community
development corporations.
The applicant must have the ability to collect and analyze data
nationally that may benefit CDCs and be able to disseminate
information to all of OCS funding grantees; publish a national
directory of funding sources for CDCs (public, corporate,
foundation, religious); publish research papers on specific aspects
of job creation by CDCs; design and provide information on
successful projects and economic niches that CDCs can target. The
applicant will also be responsible for the development of
instructional programs, national conferences, seminars, and other
activities to assist community development corporations; and provide
peer-to-peer technical assistance to OCS funded CDCs.
Applicable to Sub-Priority Area 2.1
Each applicant must include a full discussion of how the
proposed use of funds will enable low-income rural communities to
develop the capability and expertise to establish and maintain
affordable, adequate and safe water and waste water systems.
Applicants must also discuss how they will disseminate information
about water and waste water programs serving rural communities, and
how they will better coordinate Federal, State, and local water and
waste water program financing and development to assure improved
service to rural communities.
Among the benefits that merit discussion under this sub-priority
area are: The number of rural communities to be provided with
technical and advisory services; the number of rural poor
individuals who are expected to be directly served by applicant-
supported improved water and waste water systems; the decrease in
the number of inadequate water systems related to applicant
activity; the number of newly-established and applicant-supported
treatment systems (all of the above may be expressed in terms of
equivalent connection units); the increase in local capacity in
engineering and other areas of expertise; and the amount of non-
discretionary program dollars expected to be mobilized.
e. Significant and Beneficial Impact and Other Criteria
The project narrative must address the remaining aspects of the
project noted in the outline of Part F, ``Contents of Application
and Receipt Process'', Items V and VI. These include private
partnerships and Budget Appropriateness and Reasonableness'' areas
as well as information to be included in the appendices.
Attachment L
Table of Standard Industrial Codes and Occupational Classifications
------------------------------------------------------------------------
Standard industrial (sic) codes Occupational classifications
------------------------------------------------------------------------
Agriculture Managerial and Professional
Mining Specialty Technical sales, and
Construction Administrative support (includes
Manufacturing technicians and related support,
Transportation, and Public technicians, sales occupations,
Utilities including clerical).
Wholesale and Retail Trade Precision Production, Craft, and
Finance, Insurance and Real Estate Repair (includes mechanics,
Services repairers, construction trades,
Government crafters).
Operators, fabricators, and
laborers (includes machine
operators, assemblers, inspectors,
transportation and material moving
occupations, handlers, equip
cleaners, Helpers, laborers
including construction laborers).
Farming, Forestry and Fishing.
------------------------------------------------------------------------
Source: U.S. Department of Commerce, ``Statistical Abstract of the
United States, 1996'', Table No. 646 and 647. Updated 1998. Table No.
679 and 680.
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BILLING CODE 4184-01-C
