[Federal Register Volume 59, Number 88 (Monday, May 9, 1994)] [Unknown Section] [Page 0] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 94-10914] [[Page Unknown]] [Federal Register: May 9, 1994] _______________________________________________________________________ Part II Department of Health and Human Services _______________________________________________________________________ Administration for Children and Families Office of Community Services _______________________________________________________________________ Request for Applications Under the Office of Community Services' Fiscal Year 1994 Discretionary Grants Program; Notice DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children and Families Office of Community Services [Program Announcement No. OCS-94-9] Request for Applications Under the Office of Community Services' Fiscal Year 1994 Discretionary Grants Program AGENCY: Office of Community Services, Administration for Children and Families, Department of Health and Human Services. ACTION: Request for applications under the Office of Community Services' Discretionary Grants Program. ----------------------------------------------------------------------- SUMMARY: The Administration for Children and Families, Office of Community Services (OCS) announces that competing applications will be accepted for new grants pursuant to the Secretary's discretionary authority under section 681(a)(2) of the Community Services Block Grant Act of 1981, as amended. This Program Announcement consists of seven parts: Part A covers information on legislative authorities and defines terms used in the Program Announcement; Part B lists the three program priority areas under which grants will be made, describes the types of projects that will be considered for funding under each priority area, and defines which organizations are eligible to apply; Part C provides details on application prerequisites, funds available in each priority area, limitations on grant amounts, project periods, who should benefit from the programs, and other application requirements; Part D describes the application procedures, including the availability of forms, where and how to submit an application, the criteria used in screening and evaluating applications, and compliance with Federal requirements regarding the drug-free workplace and debarment requirements in submitting the application; Part E describes the contents of the application package and receipt process; Part F provides instructions for completing the SF-424 following standard Federal guidelines as well as OCS specific requirements, and describes how the project narrative should be ordered and presented; and Part G details post-award information and reporting requirements. CLOSING DATES: The closing date for submission of applications is June 23, 1994. FOR FURTHER INFORMATION CONTACT: Office of Community Services, Joseph D. Reid, Acting Director, Division of Community Discretionary Programs, Administration for Children and Families, 370 L'Enfant Promenade SW., Washington, DC 20447, Telephone (202) 401-9345. Table of Contents Part A--Preamble 1. Legislative Authority 2. Departmental Goals 3. Definition of Terms Part B--Program Priority Areas Part C--Application Prerequisites 1. Eligible Applicants 2. Availability of Funds 3. Project and Budget Periods 4. Mobilization of Resources 5. Program Beneficiaries 6. Number of Projects in Application 7. Multiple Submittals 8. Sub-contracting or Delegating Projects 9. Previous Performance and Current Grants Part D--Application Procedures 1. Availability of Forms 2. Application Submission 3. Intergovernmental Review 4. Application Consideration 5. Criteria for Screening Applicants 6, 7 & 8. Criteria for Review and Evaluation of all Applications Part E--Contents of Application and Receipt Process 1. Contents of Application 2. Acknowledgement of Receipt Part F--Instructions for Completing Application Package 1. SF-424 Application for Federal Assistance 2. SF-424A Budget Information--Non-Construction Programs 3. SF-424B Assurances--Non-Construction 4. Restrictions on Lobbying Activities 5. Disclosure of Lobbying Activities 6. Project Narrative Part G--Post Award Information and Reporting Requirements Part A--Preamble 1. Legislative Authority Section 681(a)(2) of the Community Services Block Grant Act, as amended, authorizes the Secretary to make funds available to support program activities of national or regional significance to alleviate the causes of poverty in distressed communities. 2. Departmental Goals This announcement is particularly relevant to the Departmental goal of strengthening the American family and promoting self-sufficiency. These programs have objectives of increasing the access of low-income people to employment-related opportunities, improving job skills, and improving the integration, coordination, and continuity of the various HHS (and other Federal Departments') funded services potentially available to families living in poverty. 3. Definition of Terms For purposes of this Program Announcement the following definitions apply: --Affiliate: A private non-profit entity which has legal and/or financial ties to a community development corporation, and which also meets the statutory requirement that it be governed by a board consisting of residents of the community and business and civic leaders. --Community development corporation: A private, locally initiated, nonprofit entity, governed by a board consisting of residents of the community and business and civic leaders, which has a record of implementing economic development projects or whose Articles of Incorporation and/or By-Laws indicate that it has a focus in the area of economic development. --Displaced worker: An individual who is in the labor market but has been unemployed for six months or longer. --Distressed community: A geographic urban neighborhood or rural community of high unemployment and pervasive poverty. --Eligible applicant: (See appropriate Priority Area under part B.) --Indian tribe: A tribe, band, or other organized group of Indians recognized in the State in which it resides or which is considered by the Secretary of the Interior to be an Indian tribe or an Indian organization for any purpose. For the purpose of Priority Area 1.0 (Urban and Rural Community Economic Development) an Indian tribe or Indian organization is ineligible unless the applicant organization is a private non-profit community economic development corporation. --Job Creation: Jobs that were not in existence prior to grant. (NOTE: Do not confuse this with Job Placement which is putting a person in a vacant job.) --Migrant farmworker: An individual who works in agricultural employment of a seasonal or other temporary nature who is required to be absent from his/her place of permanent residence in order to secure such employment. --Rural: An area that is not within the outer boundary of a metropolitan entity having a population of 25,000 or more and contiguous communities with a population density of 100 persons or more per square mile according to the latest decennial census. Such an area may be located entirely within one State or made up of contiguous interstate communities. --Seasonal farmworker: Any individual employed in agricultural work of a seasonal or other temporary nature who is able to remain at his/her place of permanent residence while employed. --Budget period: The interval of time into which a grant period of assistance is divided for budgetary and funding purposes. --Project period: The total time for which a project is approved for support, including any approved extensions. --Employment Education and Training Program: A program that provides education and/or training to welfare recipients, at-risk youth, public housing tenants, displaced workers, homeless and low-income individuals and that has demonstrated organizational experience in education and training for these populations (JOBS, JTPA, etc). --Technical Assistance: A problem-solving event generally utilizing the services of an expert. Such services may be provided on-site, by telephone, or other communications. These services address specific problems and are intended to assist with the immediate resolution of a given problem or set of problems. Part B--Program Priority Areas The program priority areas of the Office of Community Services' Discretionary Grants Program are as follows: Priority Area 1.0 Urban and Rural Community Economic Development. 1.1 Urban and Rural Community Economic Development (Operational). 1.2 Urban and Rural Community Economic Development (HBCU Set- Aside). 1.3 Urban and Rural Community Economic Development (Pre- Developmental Set-Aside). 1.4 Technical Assistance (Set-Aside) Priority Area 2.0 The Planning and Development of Rural Housing (including rental housing for low-income individuals) and Community Facilities. 2.1 Rural Housing (including rental housing for low-income individuals). 2.2 Rural Community Facilities Development (Water and Waste Water Treatment Systems Development). Priority Area 3.0 Assistance for Migrants and Seasonal Farmworkers. 3.1 Assistance for Migrants and Seasonal Farmworkers (General). 3.2 Assistance for Migrants and Seasonal Farmworkers (HBCU Set- Aside). Priority Area 1.0 Urban and Rural Community Economic Development Eligible applicants are private, locally initiated, non-profit community development corporations (or private non-profit affiliates of such corporations) governed by a board consisting of residents of the community and business and civic leaders which sponsor enterprises providing employment and business development opportunities for low- income residents of the community. The purpose of this priority area is to encourage the creation of projects intended to provide employment and business development opportunities for low-income people through business, physical or commercial development, and generally to improve the quality of the economic and social environment of low-income residents, including displaced workers, at-risk teenagers, individuals residing in public housing, and individuals who are homeless, especially those with developmental disabilities. It is intended to provide resources to eligible applicants but also has the broader objectives of arresting tendencies toward dependency, chronic unemployment, and community deterioration in urban and rural areas. Sub-Priority Area 1.4 is intended to provide technical assistance to current Office of Community Services' grantees who are experiencing problems in urban and rural community economic development projects. To this end, the program also seeks to attract additional private capital into distressed communities, including state enterprise zones, and to build and/or expand the ability of local institutions to better serve the economic needs of local residents. Sub-Priority Area 1.1 Urban and Rural Community Economic Development (Operational) Funds will be provided to a limited number of private non-profit community development corporations (or private non-profit affiliates of such corporations) for business development activities at the local level. Funding will be provided for specific projects and will require the submission of business plans or developmental proposals that meet the test of economic feasibility. Projects must further the Departmental goals of strengthening American families and promoting their self-sufficiency. OCS is particularly interested in receiving applications that stress public- private partnerships that are directed toward the development of economic self-sufficiency through a focus on economic expansion. Applicants located in State enterprise zones, i.e., an area in which a legislative entity has enacted a program of tax and regulatory relief to encourage business development, are urged to submit applications. Such applicants may request funds for a business development project or a project that demonstrates innovative ways to create jobs in the poverty community. Applications must show that the proposed project: (1) Creates full-time permanent jobs. Seventy-five percent (75%) of those jobs created must be filled by low-income residents of the community and must also provide for career development opportunities. Project emphasis should be on employment of individuals who are unemployed or on public assistance, with particular emphasis on at-risk teenagers, AFDC recipients who are participating in the JOBS program, individuals residing in public housing, and individuals who are homeless. While projected employment in future years may be included in the application, it is essential that the focus of employment projects concentrate on those jobs created during the duration of the OCS project period; and/or (2) Creates a significant number of business development opportunities for low-income residents of the community or significantly aids such residents in maintaining economically viable businesses; and (3) Provides for establishing the self-sufficiency of program participants. In the evaluation process, favorable consideration will be given to applicants under this priority area who show the lowest cost-per-job created. Unless there are extenuating circumstances, OCS will not fund projects where the cost-per-job in OCS funds exceeds $15,000. In addition, favorable consideration in the evaluation process will be given to applicants who demonstrate their intention to coordinate services with the local JOBS office and/or other employment education and training offices that serve the proposed area. The JOBS or other employment education and training offices should serve welfare recipients, at-risk youth, public housing tenants, displaced workers, homeless and low-income individuals (as defined by DHHS poverty guidelines). Applicants should submit a written agreement from the JOBS or other local employment education and training office that indicates what actions will be taken to integrate/coordinate services that relate directly to the project for which funds are being requested. The agreement should include the goals and objectives (including target groups) that the applicant and the employment education and training office expect to reach through their collaboration. It should describe the cooperative relationship, including specific activities and/or actions each of these entities proposes to carry out in support of the project, and the mechanism(s) to be used in coordinating those activities if the project is funded by OCS. Documentation that illustrates the organizational experience of the employment education and training program should also be included. Any applicant which proposes to use the requested OCS funds to make an equity investment such as the purchase of stock, or a loan to a business concern, including a wholly-owned subsidiary, or to make a sub-grant with a portion of the OCS funds, must include in its application a written agreement with the third party that commits the latter to the following: 1. A minimum of 75% of the jobs to be created under the grant will be for low-income individuals. 2. The grantee will have authority to screen applicants for jobs to be filled by low-income individuals and to verify their eligibility. 3. The grantee will have a seat on the Board of Directors of the third party's firm if the grantee's investment equals 25% or more of the firm's assets. (Not applicable to loans made to third parties.) 4. Reports will be made on a quarterly basis to the grantee on the use of grant funds. 5. A procedure will be developed to assure that there are no duplicative counts of jobs created. 6. Detailed information will be provided on how the grant funds will be used by the third party by submitting a Source and Use of Funds Statement. In addition, the agreement will provide details on how the community development corporation will provide support and technical assistance to the third-party in areas of recruitment and retention of low-income individuals. Any funds that are proposed to be used for training purposes must be limited to providing specific job-related training to those poverty level individuals who have been selected for employment in the grant supported project. OCS encourages applications that create linkages with community organizations administering the JOBS program which will train and place residents dependent on public assistance into jobs created by the project funded under this priority area. Projects which would result in the relocation of a business from one geographic area to another with the possible displacement of employees are discouraged. OCS will not consider applications that propose to establish or expand revolving loan funds, nor proposals that are geared towards the establishment of Small Business Investment Corporations or Minority Enterprise Small Business Investment Corporations. OCS does not anticipate approving the funding of applications which propose to sub-grant all or most of the grant activities to an unrelated entity. Applicants must be aware that projects funded under this priority area must be operational by the end of the project period, i.e., businesses must be in place, and low-income individuals actually employed in those businesses. See Part F, 6, for special instructions on developing a work program for this priority area. Sub-Priority Area 1.2 Urban and Rural Community Economic Development (HBCU Set-Aside) For Fiscal Year 1994, a set-aside fund of $2,250,000 will be included under this priority area for eligible applicants that submit projects that will be carried out in conjunction with Historically Black Colleges and Universities through contract or sub-grant. Such projects must conform to the purposes, requirements and prohibitions applicable to those submitted under Sub-Priority Area 1.1. Any funds that are proposed to be used for training must be directly related to the project and all individuals trained must be placed in a newly created job or business. These projects should reflect a significant partnership role for the college or university, and the applicant in doing so will be considered to have fulfilled the goals of the Public-Private Partnerships evaluation criterion and will be granted the maximum number of points in that category. Applications for these set-aside funds which are not funded due to the limited amount of funds available will also be considered competitively within the larger pool of eligible applicants under Sub-Priority Area 1.1. See Part F, 6, for special instructions on developing a work program for this priority area. Sub-Priority Area 1.3 Urban and Rural Community Economic Development (Pre-Developmental Set-Aside) OCS intends in this priority area to provide funds to recently- establishment private, locally initiated non-profit community development corporations (or affiliates of such corporations) which propose to undertake economic development activities in distressed communities. OCS recognizes that there are a number of newly-organized non- profit community development corporations who have identified needs in their communities but who have not had the staff or other resources to develop projects to address those needs. This lack of resources also might be affecting their ability to compete for funds, such as those provided under OCS's Urban and Rural Community Development Program (Operational Grants) since their limited resources would preclude them from developing a comprehensive business plan and/or mobilizing resources. OCS has an interest in providing support to these new entities in order to enable them to become more firmly established in their communities, thereby bringing technical expertise and new resources to these previously unserved or underserved communities. Therefore, OCS is setting aside $750,000 in Fiscal Year 1994 for grants to private non-profit community development corporations which have been in existence for no more than three years and have never received OCS funding. From this sum, grants of up to $75,000 each will be made to eligible applicants. These grants will be made for a period of one year and will not require matching funds. The grants will be pre-developmental grants under which CDCs or their affiliates may incur costs to: (1) Evaluate the feasibility of potential projects which address identified needs in the low-income community and which conform to those projects and activities allowable under Sub-Priority Areas 1.1 and 1.2; (2) develop a Business Plan related to one of those projects; and (3) mobilize resources to be contributed to projects, including the utilization of Historically Black Colleges and Universities. Based on the availability of funds in Fiscal Year 1996, OCS will consider establishing a set-aside to provide operational funds to those organizations which received pre- developmental grants. Grants might be for a maximum of $250,000 and competition for those funds will be restricted to those organizations receiving Fiscal Year 1994 pre-developmental grants. The Business Plan developed as a result of the pre-developmental grants would be submitted as part of the competitive application. Each application for Fiscal Year 1994 funded under this Priority Area must include the following as part of the project narrative in Part IV of the SF-424. 1. Description of the impact area, i.e., a description of the low- income area it proposes to address; 2. Analysis of need in the distressed community; 3. Project objectives and measurable impact, i.e., a discussion of the types of projects that might be implemented to address the identified needs and how the proposed projects relate to the applicant's organizational goals and previous experience (if any); and 4. Implementation factors and quarterly work plans with specific task timelines. Sub-Priority Area 1.4 Technical Assistance Funds will be awarded under this sub-priority area for the purpose of providing technical assistance to grantees funded under the Office of Community Services' Discretionary Grants Program. OCS recognizes that there are grantees which encounter problems in attempting to implement their projects. Some of the grantees lack staff capability or resources to resolve these problems. Therefore, OCS intends to provide funds to two private, non-profit, locally initiated community development corporations which will allow these organizations to provide assistance to other grantees. The grants would be for a maximum of $250,000 with a grant period not to exceed 17 months. Requests for assistance would be initiated by OCS with the concurrence of the grantee to be assisted, or the request could be initiated by the grantee with the concurrence of OCS. The requests should relate to specific, identified problems. The assistance may be given on-site, by telephone, or by other means of communication. Assistance will be provided free of charge to the grantee by the technical assistance provider. Priority Area 2.0 The Planning and Development of Rural Housing (Including Rental Housing for Low-Income Individuals) and Community Facilities Sub-Priority Area 2.1 Rural Housing (Including Rental Housing for Low- Income Individuals) Eligible applicants are States, public agencies or private non- profit organizations, including Historically Black Colleges and Universities. The purpose of this priority area is to assist low-income residents in rural communities by providing grants to eligible applicants to: (a) Provide technical assistance to help low-income families and individuals more effectively utilize existing local, State and Federal housing assistance programs; and (b) develop innovative ways to meet the housing needs of low-income people, e.g., the rehabilitation or repair of existing substandard housing units for occupancy by low- income residents, the conversion of non-residential buildings to low- income residential use, and the purchase of homes by low-income people. OCS encourages applications that will assist low-income homeowners to improve their housing through self-help rehabilitation. These applications should not include projects which can be funded through other existing Federal programs. OCS also encourages the submission of proposals with the aim of assisting homeless families and those at risk of homelessness. Innovative ways to address housing needs of homeless families is of particular interest to OCS. Projects should produce the following types of tangible improvements and benefits related to housing conditions for rural poor people: interior or exterior structural repairs including weatherization and alternative energy systems; jobs created for local unskilled residents while assuring quality work; technical assistance and professional services related to housing and community planning by community-based design and planning organizations. (Such projects should be conducted with maximum use of voluntary services of professional and community personnel, and development of innovative housing strategies to help low-income rural residents acquire housing.) Applications calling for new construction or gut rehabilitation will only be considered if the application documents that there is insufficient existing housing stock that can be economically rehabilitated. Funds will not be available for the repair or rehabilitation of low-income rental housing unless the structure is either occupied by a low-income owner or the properties to be repaired are (a) owned by a private non-profit organization and (b) covered by a written agreement which will ensure continued occupancy by low-income people for at least three years after completion of repairs and rehabilitation. OCS is particularly interested in receiving applications from such entities as rural housing development corporations, cooperatives, and other public and private organizations with proven accomplishments in the area of rural housing. See Part F, 6, for special instructions on developing a work program for this priority area. Sub-Priority Area 2.2 Rural Community Facilities Development (Water and Waste Water Treatment Systems Development) Funds will be provided under this priority area to help low-income rural communities develop the capability and expertise to establish and/or maintain affordable, adequate and safe water and waste water treatment facilities. Funds provided under this priority area may not be used for construction of water and waste water treatment systems or for operating subsidies for such systems, but other mobilized funds may be used for these activities. Therefore, it is suggested that applicants coordinate projects with the Farmers Home Administration (FmHA) and other Federal and State agencies to ensure that funds for hardware for local community projects are available. Eligible applicants are public or private non-profit organizations, including Historically Black Colleges and Universities. In accordance with the authorizing legislation, funding priority will be given to private non-profit organizations that, before the date of the enactment of the Human Services Reauthorization Act of 1986, carried out such programs under the authority found at section 681(1)(2)(D) of the Community Services Block Grant Act. See Part F.6, for special instructions on developing a work program for this priority area. Priority 3.0 Assistance for Migrants and Seasonal Farmworkers Sub-Priority 3.1 Assistance for Migrants and Seasonal Farmworkers (General) Eligible applicants are States, public agencies and private non- profit organizations, including Historically Black Colleges and Universities. The purpose of this priority area is to fund a limited number of projects which focus exclusively on the problems and special needs of migrants and seasonal farmworkers in order to improve their quality of life and advance self-sufficiency. OCS will entertain proposals that directly meet farmworker needs in such areas as: Homelessness; crisis nutritional relief; the development of self-help systems of food production; emergency health and social services referral and assistance; home repair, rehabilitation, and ownership; direct assistance to low-income farmworkers, including at- risk teenagers, to improve their job skills for them to qualify for long term and permanent full-time employment in agriculture; and/or assistance to low-income farmworkers, including at-risk teenagers, who wish to leave agricultural employment and find jobs in other lines of work. Linkages with the local JOBS program are encouraged wherever appropriate. Applicants must provide quantifiable objectives for each of the above activities which will be included in the project. OCS encourages applicants to develop linkages with other public and private sector service providers who also are working with migrant and seasonal farmworkers or with issues affecting this target group. For projects that relate to job skills and training, OCS will not consider applications proposing to use funds exclusively for classroom instruction. Placement in permanent jobs must be an integral activity of any training project. Applications submitted under this priority area must not contain requests for OCS funding for projects that would duplicate Community Services Block Grant funding or activities for which funding is available from other Federal agencies such as the Department of Labor and the Department of Agriculture's Women, Infants and Children (WIC) program. See Part F, 6, for special instructions on developing a work program for this priority area. Sub-Priority Area 3.2 Assistance for Migrants and Seasonal Farmworkers (HBCU Set-Aside) For Fiscal Year 1994, a fund of $300,000 will be set aside for Historically Black Colleges and Universities to enable them to offer continuing education to migrants and seasonal farmworkers and to increase participant employment opportunities. Applicants must provide quantifiable objectives for each of the activities which will be included in the project. Applications which are not funded within this set-aside due to the limited amount of funds available will also be considered competitively within the larger pool of eligible applicants under Sub-Priority Area 3.1. See Part F, 6, for special instructions on developing a work program for this priority area. Part C--Application Prerequisites 1. Eligible Applicants Priority areas included in this Program Announcement have differing eligibility requirements. Therefore, eligible applicants are identified in the individual priority area descriptions found in Part B, above. 2. Availability of Funds a. FY 1994 Funds. The Office of Community Services expects to award funds by September 30, 1994 for new grants. The maximum amount of funds available for each Priority Area is summarized below: ------------------------------------------------------------------------ Fiscal year Priority area 1994 funds ------------------------------------------------------------------------ 1.0Urban and Rural Community Economic Development:........ 1.1Urban and Rural Community Economic Development (Operational)............................................ $18,733,000 1.2Urban and Rural Community Economic Development (HBCU Set-Aside)............................................... 2,250,000 1.3Urban and Rural Community Economic Development (Pre- Developmental Set-Aside)................................. 750,000 1.4Technical Assistance (Set Aside)....................... 500,000 2.0Planning and Development of Rural Housing and Community Facilities Development................................... 5,460,000 3.0Assistance for Migrants and Seasonal Farmworkers....... 3.1Assistance for Migrants and Seasonal Farmworkers (General)................................................ 2,647,000 3.2Assistance for Migrants and Seasonal Farmworkers (HBCU Set-Aside)............................................... 300,000 ------------------------------------------------------------------------ b. Grant Amounts. No more than the below stated amounts will be granted for projects under the Priority Areas as indicated: ------------------------------------------------------------------------ Funding Sub-priority area limit ------------------------------------------------------------------------ 1.1......................................................... $700,000 1.2......................................................... 750,000 1.3......................................................... 75,000 1.4......................................................... 250,000 2.1......................................................... 250,000 2.2......................................................... 425,000 3.1......................................................... 250,000 3.2......................................................... 75,000 ------------------------------------------------------------------------ 3. Project and Budget Periods For Sub-Priority Areas 1.1, and 1.2, applicants with projects involving construction only, may request project and budget periods of up to 36 months. Applicants for other economic development projects under those priority areas and Sub-Priority Areas 1.4, 2.1, 3.1 and 3.2 may request project and budget periods of up to 17 months. For Sub- Priority Area 2.2, grantees will be funded for a 12 month project period. For Sub-Priority Area 1.3, applicants may request project and budget periods of up to 12 months. By fully funding the projects in FY 94 funding stability in future years will be insured. 4. Mobilization of Resources OCS encourages and strongly supports mobilization of resources through public/private partnerships which can mobilize cash and/or third-party in-kind contributions. (See Part D, Criteria VA.) 5. Program Beneficiaries Projects proposed for funding under this Announcement must result in direct benefits to low-income people as defined in the most recent Annual Revision of Poverty Income Guidelines published by DHHS. Attachment A to this Announcement is an excerpt from the guidelines currently in effect. Annual revisions of these guidelines are normally published in the Federal Register in February or early March of each year. Grantees will be required to apply the most recent guidelines throughout the project period. These revised guidelines also may be obtained at public libraries, Congressional offices, or by writing the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. No other government agency or privately-defined poverty guidelines are applicable for the determination of low-income eligibility for these OCS programs. Note, however, that low-income individuals granted lawful temporary resident status under Sections 245A or 210A of the Immigration and Nationality Act, as amended by the Immigration Reform and Control Act of 1986 (Public law 99-603) may not be eligible for direct or indirect assistance based on financial need under this program for a period of five years from the date such status was granted. 6. Number of Projects in Application An application may contain only one project (except for Priority Areas 1.3, 1.4, and 3.1 where applicants are researching various opportunities, providing assistance to current OCS grantees, or having a multi-faceted approach to Migrants' issues) and this project must be identified as responding to one of the program priority areas stated in this Announcement. Applications which are not in compliance with this requirement will be ineligible for funding. 7. Multiple Submittals There is no limit to the number of applications that can be submitted under a specific program priority area as long as each application contains a proposal for a different project. However, an applicant will receive only one grant in any Priority Area. 8. Sub-Contracting or Delegating Projects OCS does not fund projects where the role of the applicant is primarily to serve as a conduit for funds to organizations other than the applicant. The applicant must have a substantive role in the implementation of the project for which funding is requested. 9. Previous Performance and Current Grants Previous performance of applicants will be a determining factor in the grant award decisions. Any applicant which has three or more active OCS grants may only be funded under exceptional circumstances. Part D--Application Procedures 1. Availability of Forms Attachments B, C, and D contain all of the standard forms necessary for the application for awards under these OCS programs. These forms may be photocopied for the application. Copies of the Federal Register containing this announcement are available at most local libraries and Congressional District Offices for reproduction. If copies are not available at these sources, they may be obtained by writing or telephoning the office listed under the section entitled FOR FURTHER INFORMATION at the beginning of this announcement. For purposes of this announcement, all applicants will use SF-424, SF-424A, and SF-424B, regardless of the priority area governing the project. Applications proposing construction projects will also present all required financial data using SF-424A. Instructions for completing the SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D. Part F contains instructions for the project narrative and project abstract. They will be submitted on plain bond paper along with the SF- 424 and related forms. Attachment J provides a checklist to aid applicants in preparing a complete application package for OCS. The applicant must be aware that in signing and submitting the application for this award, it is certifying that it will comply with the Federal requirements concerning the drug-free workplace and debarment regulations set forth in Attachments E and F. 2. Application Submission Applications must be submitted to ACF by the closing date. Refer to Closing Date at the beginning of this document for the specific date. Applications may be mailed to: Administration for Children and Families, Office of Financial Management, Division of Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor (OCS-94-9), Washington, DC 20447. Hand-delivered applications are accepted during normal working hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the established closing date at the below listed address: Administration for Children and Families, Office of Financial Management, Division of Discretionary Grants, 901 D Street SW., 6th Floor (OCS-94-9), Washington, DC 20447. An application will be considered to be received on time if sent on or before the closing date as evidenced by a legible U.S. Postal Service postmark or a legibly dated receipt from a commercial carrier. Private metered postmarks will not be considered acceptable as proof of timely mailing. Applications submitted by any means other than through the U.S. Postal Service or commercial carrier shall be considered as acceptable only if physically received at the above address before close of business on or before the deadline date. Note: Applicants should note that the U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, applicants should check with their local post office. In some instances packages presented for mailing after a pre-determined time are postmarked with the next day's date. In other cases, postmarks are not routinely placed on packages. Applicants are cautioned to verify that there is a date on the package, and that it is the correct date of mailing, before accepting a receipt. Applications which have a postmark later than the closing date, or which are hand-delivered after the closing date, will be returned to the sender without consideration in the competition. One signed original application and four copies are required. The first page of the SF-424 must contain in the lower right-hand corner, a designation indicating under which priority area funds are being requested (See Part F, section 1, subsection 11). 3. Intergovernmental Review This program is covered under Executive Order 12372, Intergovernmental Review of Federal Programs, and 45 CFR part 100, Intergovernmental Review of Department of Health and Human Services Programs and Activities. Under the Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. All States and Territories except Alaska, Alabama, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska, Oklahoma, Oregon, Virginia, Pennsylvania, Washington, American Samoa and Palau have elected to participate in the Executive Order process and have established Single Points of Contact (SPOCs). Applicants from these seventeen jurisdictions need take no action regarding Executive Order 12372. Applicants for projects to be administered by Federally- recognized Indian Tribes are also exempt from the requirements of Executive Order 12372. Otherwise, applicants should contact their SPOCs as soon as possible to alert them of the prospective applications and receive any necessary instructions. Applicants must submit any required material to the SPOCs as soon as possible so that the program office can obtain and review SPOC comments as part of the award process. It is imperative that the applicant submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline date to comment on proposed new or competing continuation awards. SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations. Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations which they intend to trigger the ``accommodate or explain'' rule. When comments are submitted directly to ACF, they should be addressed to: Department of Health and Human Services, Administration for Children and Families, Office of Financial Management, Division of Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor, Washington, DC 20447. A list of the Single Points of Contact for each State and Territory is included as Attachment G of this announcement. 4. Application Consideration Applications which meet the screening requirements in sections 5a and b below will be reviewed competitively. Such applications will be referred to reviewers for a numerical score and explanatory comments based solely on responsiveness to program priority area guidelines and evaluation criteria published in this announcement. Applications submitted under all priority areas will be reviewed by persons outside of the OCS unit which will be directly responsible for programmatic management of the grant. The results of these reviews will assist the Director and OCS program staff in considering competing applications. Reviewers' scores will weigh heavily in funding decisions but will not be the only factors considered. Applications generally will be considered in order of the average scores assigned by reviewers. However, highly ranked applications are not guaranteed funding since the Director may also consider other factors deemed relevant including, but not limited to, the timely and proper completion of projects funded with OCS funds granted in the last five (5) years; comments of reviewers and government officials; staff evaluation and input; geographic distribution; previous program performance of applicants; compliance with grant terms under previous DHHS grants; audit reports; investigative reports; and applicant's progress in resolving any final audit disallowances on previous OCS or other Federal agency grants. Applicants with three or more incomplete grants at the time of review may be denied funding. OCS reserves the right to discuss applications with other Federal or non-Federal funding sources to ascertain the applicant's performance record. 5. Criteria for Screening Applicants a. Initial screening. All applications that meet the published deadline for submission will be screened to determine completeness and conformity to the requirements of this announcement. Only those applications meeting the following requirements will be reviewed and evaluated competitively. Others will be returned to the applicants with a notation that they were unacceptable. (1) The application must contain a Standard Form 424 Application for Federal Assistance (SF 424), a budget (SF-424A), and signed Assurances (SF 424B) completed according to instructions published in Part F and Attachments B, C, and D of this Program Announcement. (2) A project narrative and a project abstract must also accompany the standard forms. (3) The SF-424 and the SF-424B must be signed by an official of the organization applying for the grant who has authority to obligate the organization legally. (4) The application must be submitted for consideration under one priority area only. b. Pre-rating review. Applications which pass the initial screening will be forwarded to reviewers and/or OCS staff prior to the programmatic review to verify that the applications comply with this Program Announcement in the following areas: (1) Eligibility: Applicant meets the eligibility requirements for the priority area under which funds are being requested. Proof of non- profit status must be included in the Appendices of the Project Narrative where applicable. Applicants must also be aware that the applicant's legal name as required in SF-424 (Item 5) must match that listed as corresponding to the Employer Identification Number (Item 6). (2) Number of Projects: An application may contain only one project (except for Priority Areas 1.3, 1.4, and 3.1 where applicants are researching various opportunities, providing assistance to current OCS grantees, or have a multi-faceted approach to Migrants' issues) and this project must be identified as responding to one of the program priority areas stated in this Announcement. (3) Grant amount: The amount of funds requested does not exceed the limits indicated in Part C, 2, b for the appropriate priority area. (4) Written Agreement When Applicant Proposes to Make Equity Investment, Loan, or Sub-Grant: (Sub-Priority Areas 1.1, and 1.2); The application contains a written agreement signed by the applicant and the third party which includes all of the elements required in Part B. An application may be disqualified from the competition and returned if it does not conform to one or more of the above requirements. c. Evaluation criteria. Applications which pass the pre-rating review will be assessed and scored by reviewers. Each reviewer will give a numerical score for each application reviewed. These numerical scores will be supported by explanatory statements on a formal rating form describing major strengths and weaknesses under each applicable criterion published in the announcement. The in-depth evaluation and review process will use the following criteria coupled with the specific requirements contained under each program priority area as described in Part B. Note: the following review criteria reiterate collection of information requirements contained in Part F of this announcement. These requirements are approved under OMB Control Number 0970-0062. 6. Criteria for Review and Evaluation of all Applications Except Sub- Priority Areas 1.3 and 1.4 (a) Criterion I: Analysis of Need (Maximum: 5 points). The application documents that the project addresses a vital need in a distressed community and provides statistics and other data and information in support of its contention. (b) Criterion II: Organizational Experience in Program Area and Staff Responsibilities (Maximum: 15 points)--(i) Organizational Experience in Program Area (sub-rating: 0-5 points). Documentation provided indicates that projects previously undertaken have been relevant and effective and have provided permanent benefits to the low- income population. Organizations which propose providing training and technical assistance have detailed competence in the specific program priority area and as a deliverer with expertise in the fields of training and technical assistance. If applicable, information provided by these applicants also addresses related achievements and competence of each cooperating or sponsoring organization. Applicable to Sub-Priority Areas 1.1, and 1.2 The applicant has demonstrated the ability to implement major activities in such areas as business development, commercial development, physical development, or financial services; the ability to mobilize dollars from sources such as the private sector (corporations, banks, etc.), foundations, the public sector, including State and local governments, or individuals; that it has a sound organizational structure and proven organizational capability; and an ability to develop and maintain a stable program in terms of business, physical or community development activities that will provide needed permanent jobs, services, business development opportunities, and other benefits to community residents. (ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10 points). The application describes in brief resume form the experience and skills of the project director who is not only well qualified, but his/her professional capabilities are relevant to the successful implementation of the project. If the key staff person has not yet been identified, the application contains a comprehensive position description which indicates that the responsibilities to be assigned to the project director are relevant to the successful implementation of the project. The applicant has adequate facilities and resources (i.e. space and equipment) to successfully carry out the work plan. The assigned responsibilities of the staff are appropriate to the tasks identified for the project and sufficient time of senior staff will be budgeted to assure timely implementation and cost effective management of the project. (c) Criterion III: Project Implementation (Maximum: 25 points). The Work Plan, or Business Plan where appropriate, is both sound and feasible. The project is responsive to the needs identified in the Analysis of Need. It sets forth realistic quarterly time targets by which the various work tasks will be completed. Critical issues or potential problems that might impact negatively on the project are defined and the project objectives can be reasonably attained despite such potential problems. (d) Criterion IV A: Significant and Beneficial Impact (Maximum: 30 points) (Applicable to Sub-Priority Areas 1.1, and 1.2)--(i) Significant and Beneficial Impact (sub-rating: 0-15 points). The application contains a full and accurate description of the proposed use of the requested financial assistance. The proposed project will produce permanent and measurable results that will reduce the incidence of poverty in the community. The OCS grant funds, in combination with private and/or other public resources, are targeted into low-income communities, distressed communities, and/or designated enterprise zones. (ii) Cost-per-Job (sub-rating: 0-10 points). During the project period the proposed project will create new, permanent jobs or maintain permanent jobs for low-income residents at a cost-per-job below $15,000 in OCS funds. Note: The maximum number of points will be given to those applicants proposing cost-per-job estimates of $5,000 or less of OCS requested funds. Higher cost-per-job estimates will receive correspondingly fewer points. (iii) Career Development Opportunities (sub-rating: 0-5 points). The application documents that the jobs to be created for low-income people have career development opportunities which will promote self- sufficiency. (e) Criterion IV B: Significant and Beneficial Impact (Maximum: 30 points) Applicable to Sub-Priority Areas 2.1, 2.2, 3.1 and 3.2) The application contains a full and accurate description of the proposed use of the requested financial assistance. The proposed project will produce permanent and measurable results that will reduce the incidence of poverty in the areas targeted and significantly enhance the self sufficiency of program participants. Results are quantifiable in terms of program area expectations, e.g., number of units of housing rehabilitated, agricultural and non-agricultural job placements, etc. The OCS grant funds, in combination with private and/ or other public resources, are targeted into low-income and/or distressed communities and/or designated enterprise zones. (f) Criterion V: Public-Private Partnerships (Maximum: 20 points)-- (1) Mobilization of resources: (sub-rating: 15 points). The application documents that the applicant will mobilize from public and/or private sources cash and/or in-kind contributions valued at an amount equal to the OCS funds requested. Applicants documenting that the value of such contributions will be at least equal to the OCS funds requested will receive the maximum number of points for this Criterion. Lesser contributions will be given consideration based upon the value documented. Applicants under Sub-Priority Area 1.2 who are proposing to enter into a partnership with Historically Black Colleges and Universities are deemed to have fully met this criterion and will receive the maximum number of points if they document the participation of the HBCU. (2) Integration/coordination of services: (sub-rating: 5 points) The applicant demonstrates a commitment to coordination with the local JOBS office and/or other employment education and training program (such as JTPA) to ensure that welfare recipients, at-risk youth, displaced workers, public housing tenants, homeless and low-income individuals will be trained and placed in the newly created jobs. The applicant provides written agreement from the local JOBS or other employment education and training office indicating what actions will be taken to integrate/coordinate services that relate directly to the project for which funds are being requested. Specifically, the agreement should include: (1) The goals and objectives that the applicant and the JOBS or other employment education and training office expect to achieve through their collaboration; (2) the specific activities/actions that will be taken to integrate/coordinate services on an on-going basis; (3) the target population that this collaboration will serve; (4) the mechanism(s) to be used in integrating/coordinating activities; (5) how those activities will be significant in relation to the goals and objectives to be achieved through the collaboration; and (6) how those activities will be significant in relation to their impact on the success of the OCS-funded project. The applicant should also provide documentation that illustrates the organizational experience related to the employment education and training program (refer to Criterion II for guidelines). (g) Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5 points). Funds requested are commensurate with the level of effort necessary to accomplish the goals and objectives of the project. The application includes a detailed budget break-down for each of the budget categories in the SF-424A. The applicant presents a reasonable administrative cost. The estimated cost to the government of the project also is reasonable in relation to the anticipated results. 7. Criteria for Review and Evaluation of Applications Submitted Under Sub-Priority Area 1.3 a. Criterion I: Organizational Capability and Capacity (Maximum: 20 Points)--(1) Organizational experience in program area (sub-rating: 5 Points). Where the applicant has a history of prior achievement in economic development, the documentation must address the relevance and effectiveness of projects undertaken, especially their cost effectiveness and the relevance and effectiveness of any services and the permanent benefits provided to the targeted population. Applicants must also indicate why they feel that they can successfully implement the project for which they are requesting funds. (2) Management capacity (sub-rating: 5 points). Applicants must fully detail their ability to implement sound and effective management practices and if they have been recipients of other Federal or other governmental grants, they must also detail that they have consistently complied with financial and program progress reporting and audit requirements. Applicants should submit any available documentation on their management practices and progress reporting procedures along with a statement by a Certified or Licensed Public Accountant as to the sufficiency of the applicant's financial management system to protect adequately any Federal funds awarded under the application submitted. (3) Staffing (sub-rating: 5 points). The application must fully describe (e.g., resumes) the experience and skills of key staff showing that they are not only well qualified but that their professional capabilities are relevant to the successful implementation of the project. (4) Staffing responsibilities (sub-rating: 5 points). The application must describe how the assigned responsibilities of the staff are appropriate to the tasks identified for the project. b. Criterion II: Significant and Beneficial Impact (Maximum: 35 Points). The work plan funded under this announcement must show that there is a clearly identified need in a low-income area which is not being effectively addressed currently. Project funds under this announcement must be used to develop a Business Plan for a project which would produce permanent and measurable results that will reduce the incidence of poverty in the areas targeted and mobilize non-discretionary program dollars from private sector individuals, public resources, corporations, and foundations if the project is implemented. The project around which the Business plan is developed with the use of OCS grant funds must be targeted into low-income communities, and/or designated enterprise zones, with the goals of increasing the economic conditions and social self-sufficiency of residents. Activities must be designed to achieve the specific Program Priority Area 1.3 objectives as defined in this program announcement. c. Criterion III: Project Implementation and Evaluation (Maximum: 30 Points). (1) Project implementation component (sub-rating: 25 points). The application must contain a detailed and specific work plan that is both sound and feasible. It must set forth realistic quarterly time targets by which the various work tasks will be completed. Because quarterly time schedules are used by OCS as a key instrument to monitor progress, failure to include these time targets may seriously reduce an applicant's point score in this criterion. It must define critical issues or potential problems that might impact negatively on the project and it must indicate how the project objectives will be attained notwithstanding any such potential problems. (2) Evaluation component (sub-rating: 5 points). All proposals should include a self-evaluation component. The evaluation data collection and analysis procedures should be specifically oriented to assess the degree to which the stated goals and objectives are achieved. Qualitative and quantitative measures reflective of the scheduling and task delineation in (1) above should be used to the maximum extent possible. This component should indicate the ways in which the potential grantee would integrate qualitative and quantitative measures of accomplishment and specific data into its program progress reports that are required by OCS from all grantees. d. Criterion IV: Budget Appropriateness and Reasonableness (Maximum: 15 points). Each applicant should carefully review the requirements of Program Sub-Priority Area 1.3 and the budget submitted must coincide with those requirements. The proposal's request for funds must include a detailed budget breakout for each of the pertinent budget categories in part III, section B of the SF-424. (Please identify any positions for which less than full-time funding is requested.) 8. Criteria for Review and Evaluation of Applications Submitted Under Sub-Priority Area 1.4 (a) Criterion I: Organizational Experience in Program Area and Staff Responsibilities (Maximum: 20 points)--(i) Organizational Experience in Program Area (sub-rating: 0-10 points. Applicant has documented the capability to provide leadership in solving long-term and immediate problems locally and/or nationally in such areas as business development, commercial development, organizational and staff development, board training, and micro-entrepreneurship development. Applicant must document a capability (including access to a network of skilled individuals and/or organizations) in two or more of the following areas: Business Management, including strategic planning and fiscal management; Finance, including development of financial packages and provision of financial/accounting services; and Regulatory Compliance, including assistance with zoning and permit compliance. Further, the applicant has the demonstrated ability to mobilize dollars from sources such as the private sector (corporations, banks, foundations, etc.) and the public sector, including state and local governments. Applicant also demonstrates that it has a sound organizational structure and proven organizational capability as well as an ability to develop and maintain a stable program in terms of business, physical or community development activities that have provided permanent jobs, services, business development opportunities, and other benefits to poverty community residents. Applicants must indicate why they feel that their successful experiences would be of assistance to existing grantees which are experiencing difficulties in implementing their projects. (ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10 points). The application describes in brief resume form the experience and skills of the project director who is not only well qualified, but who has professional capabilities relevant to the successful implementation of the project. If the key staff person has not yet been identified, the application contains a comprehensive position description which indicates that the responsibilities to be assigned to the project director are relevant to the successful implementation of the project. The applicant has adequate facilities and resources (i.e. space and equipment) to successfully carry out the work plan. The assigned responsibilities of the staff are appropriate to the tasks identified for the project and sufficient time of senior staff will be budgeted to assure timely implementation and cost effective management of the project. (b) Criterion II: Work Program (Maximum: 30 points). Based upon the applicant's knowledge and experience related to OCS's Discretionary Grants Program (particularly community economic development), the application should demonstrate in some specificity a thorough understanding of the problems a grantee may encounter in implementing a successful project. The application should include a strategy for assessing the specific nature of the problems, outlining a course of action and identifying the resources required to resolve the problems. (c) Criterion III: Significant and Beneficial Impact (Maximum: 30 points). Project funds under this sub-priority area must be used for the purpose of providing technical assistance directly or by a contract with a third party, to other OCS funded grantees. Applicants must document how the success or failure of the assistance provided will be documented. Applicants must demonstrate an ability to disseminate results on the kinds of assistance provided and successful strategies that they may have developed to serve grantees during the grant period. Applicants must state whether the results of the project will be included in a handbook, a progress paper, an evaluation report or a general manual and why the particular methodology chosen would be most effective in assisting other grantees. d. Criterion IV: Public-Private Partnerships (15 points). The applicant demonstrates that it has worked with local, regional, state or national offices to ensure that welfare recipients, at-risk youth, displaced workers, public housing tenants, homeless and low-income individuals have been trained and placed in newly created jobs. Applicant should demonstrate how it will design a comprehensive strategy which makes use of other available resources to resolve typical and recurrent grantee problems. e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 5 points). Applicant documents that the funds requested are commensurate with the level of effort necessary to accomplish the goals and objectives of the project. The application includes a detailed budget break-down for each of the appropriate budget categories in the SF-424A. The estimated cost to the government of the project also is reasonable in relation to the anticipated results. Part E--Contents of Application and Receipt Process 1. Contents of Application Each application, whether involving construction or not, should include one original and four additional copies of the following: a. A signed Application for Federal Assistance (SF-424); b. Budget Information-Non-Construction Programs (SF-424A); c. A signed Assurances-Non-Construction Programs (SF-424B); d. A Project Abstract e. A Project Narrative consisting of the following elements preceded by a consecutively numbered Table of Contents that will describe the project in the following order: (i) Eligibility Confirmation; (ii) Analysis of Need (except for Sub-Priority 1.4); (iii) Organizational Experience and Staff Responsibilities; (iv) Work Program (including Executive Summary); (v) Appendices, including By-Laws; Articles of Incorporation; proof of non-profit status where applicable; resumes; written agreements re grants, coordination with JOBS, etc.; Single Point of Contact comments, where applicable; certification regarding anti-lobbying activities; and a disclosure of lobbying activities. The application package should not exceed 50 pages for applications submitted under sub-priority areas 1.1, and 1.2. and 30 pages for all applications submitted under the other sub-priority areas. Applications should be two holed punched at the top center and fastened with a compressor slide paper fastener or a binder clip. The submission of bound applications, or applications enclosed in binders, is especially discouraged. Applications must be uniform in composition since OCS may find it necessary to duplicate them for review purposes. Therefore, applications must be submitted on white 8 1/2 X 11 inch paper only. They must not include colored, oversized or folded materials. Do not include organizational brochures or other promotional materials, slides, films, clips, etc. in the proposal. They will be discarded, if included. 2. Acknowledgement of Receipt All applicants will receive an acknowledgement notice with an assigned identification number. Applicants are requested to supply a self-addressed mailing label with their application which can be attached to this acknowledgement notice. The identification number and the program priority area letter code must be referred to in all subsequent communications with OCS concerning the application. If an acknowledgement is not received within three weeks after the deadline date, please notify ACF by telephone (202) 401-9234. Part F--Instructions for Completing Application Package (Approved by the Office of Management and Budget under Control Number 0970-0062. The standard forms attached to this announcement shall be used to apply for funds for all priority areas described in this announcement.) It is suggested that you reproduce the SF-424 and SF-424A, and type your application on the copies. If an item on the SF-424 cannot be answered or does not appear to be related or relevant to the assistance requested, write NA for Not Applicable. Prepare your application in accordance with the standard instructions given in Attachments B and C corresponding to the forms, as well as the OCS specific instructions set forth below: 1. SF-424 Application for Federal Assistance Item 1. For the purposes of this announcement, all projects are considered Applications; there are no Pre-Applications. Also for the purposes of this announcement, construction projects are those which involve major renovations or new construction. All others are considered non-construction. Check the appropriate box under Application. 5. and 6. The legal name of the applicant must match that listed as corresponding to the Employer Identification Number. Where the applicant is a previous Department of Health and Human Services grantee, enter the Central Registry System Employee Identification Number (PIN/EIN) and the Payment Identifying Number, if one has been assigned, in the Block entitled Federal Identifier located at the top right hand corner of the form. 7. If the applicant is a non-profit corporation, enter N in the box and specify non-profit corporation in the space marked Other. Proof of non-profit status, such as IRS determination or appropriate sections of the Articles of Incorporation, or By-laws, must be included as an appendix to the project narrative. 8. For the purposes of this announcement, all applications are New. 9. Enter DHHS-ACF/OCS. 10. The Catalog of Federal Domestic Assistance number for OCS programs covered under this announcement is 93.570. The title is CSBG Discretionary Awards. 11. The following letter program priority area designations must be used: UR--for Sub-Priority Area 1.1. Urban and Rural Community Economic Development (Operational) HB--for Sub-Priority Area 1.2. Urban and Rural Community Economic Development (HBCU Set-Aside) PD--for Sub-Priority Area 1.3. Urban and Rural Community Economic Development (Pre-Developmental Set-Aside) UT--for Sub-Priority Area 1.4. Technical Assistance (Set-Aside) RH--for Sub-Priority Area 2.1. Rural Housing Repairs and Rehabilitation (including rental housing for low-income individuals). RF--for Sub-Priority Area 2.2. Rural Community Facilities Development (Water and Waste Water Treatment Systems Development) MS--for Sub-Priority Area 3.1. Assistance for Migrants and Seasonal Farmworkers (General) HM--for Sub-Priority Area 3.2 Assistance for Migrants and Seasonal Farmworkers (HBCU Set-Aside) 2. SF-424A--Budget Information--Non-Construction Programs See Instructions accompanying this form as well as the instructions set forth below: In completing these sections, the Federal Funds budget entries will relate to the requested OCS discretionary funds only, and Non-Federal will include mobilized funds from all other sources--applicant, state, local, and other. Federal funds other than requested OCS discretionary funding should be included in Non-Federal entries. The budget forms in SF-424A are only to be used to present grant administrative costs and major budget categories. Financial data that is generated as part of a project Business Plan or other internal project cost data must be separate and should appear as part of the project Business Plan or other project implementation data. Sections A and D of SF-424A must contain entries for both Federal (OCS) and non-Federal (mobilized) funds. Section B contains entries for Federal (OCS) funds only. Clearly identified continuation sheets in SF- 424A format should be used as necessary. Section A--Budget Summary Lines 1-4 Col. (a): Line 1 Enter CSBG Discretionary; Col. (b): Line 1 Enter 93.570; Col. (c) and (d): Applicants should leave columns (c) and (d) blank. Col. (e)-(g): For line 1, enter in columns (e), (f) and (g) the appropriate amounts needed to support the project for the budget period. Line 5 Enter the figures from Line 1 for all columns completed as required, (c), (d), (e), (f), and (g). Section B--Budget Categories Allowability of costs are governed by applicable cost principles set forth in 45 CFR parts 74 and 92. Columns (1) and (5): In OCS applications, it is only necessary to complete Columns (1) and (5). Column 1: Enter the total requirements for OCS Federal funds by the Object Class Categories of this section: Personnel-Line 6a: Enter the total costs of salaries and wages of applicant/grantee staff only. Do not include costs of consultants or personnel costs of delegate agencies or of specific project(s) or businesses to be financed by the applicant. Fringe Benefits--Line 6b: Enter the total costs of fringe benefits unless treated as part of an approved indirect cost rate which is entered on line 6j. Provide a breakdown of amounts and percentages that comprise fringe benefit costs. Travel--Line 6c: Enter total costs of all travel by employees of the project. Travel costs for the Executive Director or Project Director to attend a two day national workshop in Washington, DC should be included. Do not enter costs for consultant's travel. Provide justification for requested travel costs. Equipment--Line 6d: Enter the total costs of all non-expendable personal property to be acquired by the project. Non-expendable personal property means tangible non-expendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. Supplies--Line 6e: Enter the total costs of all tangible personal property (supplies) other than that included on line 6d. Contractual--Line 6f: Enter the total costs of all contracts, including (1) procurement contracts (except those which belong on other lines such as equipment, supplies, etc.) and (2) contracts with secondary recipient organizations including delegate agencies and specific project(s) or businesses to be financed by the applicant. Also include any contracts with organizations for the provision of technical assistance. Do not include payments to individual service contractors on this line. If available at the time of application, attach a list of contractors indicating the name of the organization, the purpose of the contract and the estimated dollar amount of the award. Note: Whenever the applicant/grantee intends to delegate part of the program to another agency, the applicant/grantee must submit Sections A and B of this form (SF-424A), completed for each delegate agency by agency title, along with the required supporting information referenced in the applicable instructions. The total costs of all such agencies will be part of the amount shown on Line 6f. Provide back-up documentation identifying name of contractor, purpose of contract and major cost elements. Construction--Line 6g: Enter the costs of renovation, repair, or new construction. Provide narrative justification and breakdown of costs. Other-Line 6h: Enter the total of all other costs. Such costs, where applicable, may include but are not limited to insurance, food, medical and dental costs (noncontractual), fees and travel paid directly to individual consultants, space and equipment rentals, printing and publication, computer use, training costs, including tuition and stipends, training service costs including wage payments to individuals and supportive service payments, and staff development costs. Total Direct Charges--Line 6i: Show the total of Lines 6a through 6h. Indirect Charges--Line 6j: Enter the total amount of indirect costs. This line should be used only when the applicant currently has an indirect cost rate approved by the Department of Health and Human Services or another Federal agency or is awaiting such approval. With the exception of local governments, applicants should enclose a copy of the current rate agreement if it was negotiated with a Federal agency other than the Department of Health and Human Services. If the applicant organization is in the process of initially developing or renegotiating a rate, it should immediately, upon notification that an award will be made, develop a tentative indirect cost rate proposal based on its most recently completed fiscal year in accordance with the principles set forth in the pertinent DHHS Guide for Establishing Indirect Cost Rates, and submit it to the appropriate DHHS Regional Office. It should be noted that when an indirect cost rate is requested, those costs included in the indirect cost pool should not be also charged as direct costs to the grant. Totals--Line 6k: Enter the total amounts of Lines 6i and 6j. The total amount shown in Section B, Column (5), Line 6k, should be the same as the amount shown in Section A, Line 5, Column (e). Program Income--Line 7: Enter the estimated amount of income, if any, expected to be generated from this project. Separately show expected program income generated from OCS support and income generated from other mobilized funds. Do not add or subtract this amount from the budget total. Show the nature and source of income in the program narrative statement. Column 5: Carry totals from Column 1 to Column 5 for all line items. Section C--Non-Federal Resources This section is to record the amounts of non-Federal resources that will be used to support the project. Non-Federal resources mean other than OCS funds for which the applicant is applying. Therefore, mobilized funds from other Federal programs, such as the Job Training Partnership Act program, should be entered on these lines. Provide a brief listing of the non-Federal resources on a separate sheet and describe whether it is a grantee-incurred cost or a third-party in-kind contribution. The firm commitment of these resources must be documented and submitted with the application in order to be given credit in the Public-Private Partnerships criterion. Except in unusual situations, this documentation must be in the form of letters of commitment from the organization(s)/individuals from which funds will be received. Line 8: Column (a): Enter the project title. Column (b): Enter the amount of contributions to be made by the applicant to the project. Column (c): Enter the State contribution. If the applicant is a State agency, enter the non-Federal funds to be contributed by the State other than the applicant. Column (d): Enter the amount of cash and in-kind contributions to be made from all other sources. Column (e): Enter the total of columns (b), (c), and (d). Lines 9, 10, and 11 should be left blank. Line 12: Carry the total of each column of Line 8, (b) through (e). The amount in Column (e) should be equal to the amount on Section A, Line 5, column (f). Section D--Forecasted Cash Needs Line 13: Enter the amount of Federal (OCS) cash needed for this grant by quarter. During the budget period for grants which are more than twelve (12) months, submit a separate sheet for each additional twelve (12) months or portion thereof. Line 14: Enter the amount of cash from all other sources needed by quarter during the budget period. Line 15: Enter the total of Lines 13 and 14. Section E--Budget Estimates of Federal Funds Needed for Balance of Project(s) Completion not required. Section F--Other Budget Information Line 21: Use this space and continuation sheets as necessary to fully explain and justify the major items included in the budget categories shown in Section B. Include sufficient detail to facilitate determination of allowability, relevance to the project, and cost benefits. Particular attention must be given to the explanation of any requested direct cost budget item which requires explicit approval by the Federal agency. Budget items which require identification and justification shall include, but not be limited to, the following: A. Salary amounts and percentage of time worked for those key individuals who are identified in the project narrative; B. Any foreign travel; C. A list of all equipment and estimated cost of each item to be purchased wholly or in part with grant funds which meet the definition of nonexpendable personal property provided on Line 6d, Section B. Need for equipment must be supported in program narrative. D. Contractual: Major items or groups of smaller items; and E. Other: group into major categories all costs for consultants, local transportation, space, rental, training allowances, staff training, computer equipment, etc. Provide a complete breakdown of all costs that make up this category. Line 22. Enter the type of HHS or other Federal agency approved indirect cost rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied and the total indirect expense. Also, enter the date the rate was approved, where applicable. Attach a copy of the rate agreement if it was negotiated with a Federal agency other than the Department of Health and Human Services. Line 23. Provide any other explanations and continuation sheets required or deemed necessary to justify or explain the budget information. 3. SF-424B Assurances-Non-Construction--All applicants, whether or not project involves construction, must fill out, sign and date form found at Attachment D. 4. Restrictions on Lobbying Activities--Certification for Contracts, Grants, Loans, and Cooperative Agreements: Fill out, sign and date form found at Attachment H. 5. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and date form found at Attachment H, if applicable. 6. Project Abstract The project abstract is a brief summary of the project to include specific benefits such as number of jobs to be created, especially jobs for low-income individuals. The abstract must not exceed 150 characters (including words, spaces and punctuation) on a separate sheet of plain paper headed by the applicant's name as shown in item 5 of the SF 424 and the priority area number as shown by you at the bottom of the SF 424. 7. Project Narrative The project narrative must address the specific concerns mentioned under the relevant priority area description in Part B. The narrative should provide information on how the application meets the evaluation criteria in Part D, Section 5 c of this Program Announcement and should follow the format below: a. Eligibility confirmation. This section must explain how the applicant has complied with each of the basic requirements listed in Part D, 5b(1)-(5), i.e., (1) that the applicant meets the eligibility requirements for the sub-priority area under which funds are being requested; (2) an application submitted under subpriority areas 1.1, 1.2, 2.1, 2.2, or 3.2 contains only one project; (3) the amount of funds requested does not exceed the limits indicated in Part C, Section 2, b for the appropriate sub-priority area; (4) (Sub-Priority Areas 1.1, and 1.2) if an applicant proposes to use OCS funds for an equity investment, a loan, or a sub-grant, the application contains a written agreement signed by the applicant and the third party which includes all of the elements required in Part B. An application may be disqualified from the competition and returned if it does not conform to one or more of the above requirements. b. Analysis of need. The application should include a description of the target area and population to be served as well as a discussion of the nature and extent of the problem to be solved. It should also include documentation supportive of its needs assessment such as employment statistics, housing statistics, etc. c. Organizational experience and staff responsibilities. (i) Organizational experience. Each applicant must document competence in the specific program priority area under which an application is submitted. Documentation must be provided which addresses the relevance and effectiveness of projects previously undertaken in the specific priority area for which funds are being requested and especially their cost effectiveness, the relevance and effectiveness of any services provided, and the permanent benefits provided to the low-income population. Organizations which propose providing training and technical assistance must detail their competence in the specific program priority area and as a deliverer with expertise in the fields of training and technical assistance. If applicable, information provided by these applicants must also address related achievements and competence of each cooperating or sponsoring organization. Applicable to Sub-Priority Areas 1.1, 1.2 and 1.4 Applicants in these priority areas must also document a firmly established and quantifiable performance record that shows the following: --The ability to implement major activities such as business development, commercial development, physical development, or financial services; --Successful working relationships within the community including public officials, financial institutions, corporations, other community organizations and residents; --A sound asset base and organizational structure in terms of (a) net worth, (b) management stability, and (c) organizational capability; --An ability to develop and maintain a stable program in terms of business, physical or community development activities that will provide needed permanent jobs, services, business development opportunities and other benefits to community residents, and impact on community-wide economic problems and needs; --Sound administrative and fiscal systems and controls, and the ability to establish and maintain partnerships with the private sector in such forms as financial support, volunteerism or executives on loan. (ii) Staff Skills, Resources and Responsibilities. The application must fully describe (e.g. a resume or position description) the experience and skills of the proposed project director showing that the individual is not only well qualified but that his/her professional capabilities are relevant to the successful implementation of the project. The application must include statements regarding who will have the responsibilities of the chief executive officer, who will be responsible for grant coordination with OCS, and how the assigned responsibilities of the staff are appropriate to the tasks identified for the project. It must show clearly that sufficient time of senior staff will be budgeted to assure timely implementation and cost effective management of the project. d. Work program. The application must contain a detailed and specific work program, or Business Plan where appropriate, (to include an Executive Summary) that is both sound and feasible. (For those applicants submitting proposals under Sub-Priority Areas 1.1, and 1.2, the Business Plan will be accepted in lieu of the work program.) The Executive Summary should not exceed five pages. This summary must address the program principles within this announcement and document that the proposed project will have national or regional significance. The work program will be evaluated according to Criteria III, IV, and V set forth in Part D of this announcement: Project Implementation, Significant and Beneficial Impact, and Public-Private Partnerships. Projects funded under this announcement must be designed to produce permanent and measurable results that will reduce the incidence of poverty in the areas targeted. The OCS grant funds, in combination with private and/or other public resources, must be targeted into low-income communities, distressed communities, and/or designated enterprise zones. Projects must be designed to achieve the specific program priority area objectives defined in this Program Announcement. It must set forth realistic quarterly time targets by which the various work tasks will be completed. It must identify critical issues or potential problems that might impact negatively on the project and it must indicate how the project objectives will be attained despite such potential problems. If an applicant is proposing a project which will affect a property listed in, or eligible for inclusion in the National Register of Historic Places, it must identify this property in the narrative and explain how it has complied with the provisions of Section 106 of the National Historic Preservation Act of 1966 as amended. If there is any question as to whether the property is listed in or eligible for inclusion in the National Register of Historic Places, the applicant should consult with the State Historic Preservation Officer. (See Attachment D: SF-424B, Item 13 for additional guidance.) The applicant should contact OCS early in the development of its application for instructions regarding compliance with the Act and data required to be submitted to the Department of Health and Human Services. Failure to comply with the cited Act may result in the application being ineligible for funding consideration. Applicable to Sub-Priority Areas 1.1, and 1.2 Applications submitted under Sub-Priority Areas 1.1, and 1.2 which propose to use the requested OCS funds to make an equity investment or a loan to a business concern, including a wholly-owned subsidiary, or to make a sub-grant with a portion of the OCS funds, must include a written agreement between the community development corporation and the recipient of the grant funds which contains all of the elements listed in Part B under the appropriate Priority Area. Applications submitted under Sub-Priority Areas 1.1, and 1.2 must include a complete Business Plan where it is appropriate to the project/venture. An application that does not include a Business Plan where one is appropriate may be disqualified and returned to the applicant. In some cases a Business Plan may not be required under the Priority Areas. All applicants under the Priority Areas, however, must nevertheless submit the information which is required in Sections 7 through 10, as set forth below. The Business Plan is one of the major components that will be evaluated by OCS to determine the feasibility of an economic development project. It must be well prepared and address all the major issues noted herein. The following guidelines show what should be included in order to produce a complete and professional Business Plan which makes an orderly presentation of the facts necessary to be judged responsive to the program announcement. Because the guidelines were written to cover a variety of possibilities, rigid adherence to them is not possible nor even desirable for all projects. For example, a plan for a service business would not require a discussion of manufacturing nor product design. The Business Plan should include the following: 1. The business and its industry. This section should describe the nature and history of the business and provide some background on its industry. a. The Business: as a legal entity; the general business category; b. Description and Discussion of Industry: Current status and prospects for the industry; 2. Products and Services: This section deals with the following: a. Description: Describe in detail the products or services to be sold; b. Proprietary Position: Describe proprietary features if any of the product, e.g. patents, trade secrets; c. Potential: Features of the product or service that may give it an advantage over the competition; 3. Market Research and Evaluation: This section should present sufficient information to show that the product or service has a substantial market and can achieve sales in the face of competition; a. Customers: Describe the actual and potential purchasers for the product or service by market segment. b. Market Size and Trends: State the size of the current total market for the product or service offered; c. Competition: An assessment of the strengths and weaknesses of competitive products and services; d. Estimated Market Share and Sales: Describe the characteristics of the product or service that will make it competitive in the current market; 4. Marketing Plan: The marketing plan should detail the product, pricing, distribution, and promotion strategies that will be used to achieve the estimated market share and sales projections. The marketing plan must describe what is to be done, how it will be done and who will do it. The plan should address the following topics--Overall Marketing Strategy, Packaging, Service and Warranty, Pricing, Distribution and Promotion. 5. Design and Development Plans: If the product, process or service of the proposed venture requires any design and development before it is ready to be placed on the market, the nature and extent and cost of this work should be fully discussed. The section should cover items such as Development Status and Tasks, Difficulties and Risks, Product Improvement and New Products, and Costs. 6. Manufacturing and Operations Plan: A manufacturing and operations plan should describe the kind of facilities, plant location, space, capital equipment and labor force (part and/or full time and wage structure) that are required to provide the company's product or service. 7. Management Team: The management team is the key in starting and operating a successful business. The management team should be committed with a proper balance of technical, managerial and business skills, and experience in doing what is proposed. This section must include a description of: the key management personnel and their primary duties; compensation and/or ownership; the organizational structure; Board of Directors; management assistance and training needs; and supporting professional services. 8. Overall Schedule: A schedule that shows the timing and interrelationships of the major events necessary to launch the venture and realize its objectives. Prepare, as part of this section, a month- by-month schedule that shows the timing of such activities as product development, market planning, sales programs, and production and operations. Sufficient detail should be included to show the timing of the primary tasks required to accomplish each activity. 9. Critical Risks and Assumptions: The development of a business has risks and problems and the Business Plan should contain some explicit assumptions about them. Accordingly, identify and discuss the critical assumptions in the Business Plan and the major problems that will have to be solved to develop the venture. This should include a description of the risks and critical assumptions relating to the industry, the venture, its personnel, the product's market appeal, and the timing and financing of the venture. 10. Community Benefits: The proposed project must contribute to economic, community and human development within the project's target area. A section that describes and discusses the potential economic and non-economic benefits to low-income members of the community must be included as well as a description of the strategy that will be used to identify and hire individuals being served by public assistance programs and how linkages with community agencies/organizations administering the JOBS program will be developed. The following project benefits must be described: Economic --Number of permanent jobs that will be created for low-income people during the grant period; --Number of jobs to be created for low- income people that will have career development opportunities and a description of those jobs --number of jobs that will be filled by individuals on public assistance; --Ownership opportunities created for poverty-level project area residents; --Specific steps to be taken to promote the self-sufficiency of program participants. Other benefits which might be discussed are: Human Development --New technical skills development and associated career opportunities for community residents; --Management development and training. Community Development --Development of community's physical assets; --Provision of needed, but currently unsupplied, services or products to community; --Improvement in the living environment. 11. The Financial Plan: The Financial Plan is basic to the development of a Business Plan. Its purpose is to indicate the project's potential and the timetable for financial self-sufficiency. In developing the Financial Plan, the following exhibits must be prepared for the first three years of the business' operation: a. Profit and Loss Forecasts--quarterly for each year; b. Cash Flow Projections--quarterly for each year; c. Pro forma balance sheets--quarterly for each year; d. Initial sources of project funds; e. Initial uses of project funds; and f. Any future capital requirements and sources. Applicable to Sub-Priority Area 1.4 Only Applicants in this priority area must document its experience and capability to provide assistance and leadership in two or more of the following areas: --Business/Development; --Micro-Entrepreneurship Development; --Commercial Development; --Organizational and Staff Development; --Board Training; --Business Management, including Strategic Planning and Fiscal Management; --Finance, including Business Packaging and Financial/Accounting Services, and/or --Regulatory Compliance including Zoning and Permit Compliance The applicant must document staff competence or the accessibility of third party resources with proven competence. If the work program requires the significant use of third party (consultant/contractor) resources, those resources should be identified and resumes of the individuals or key organizational staff provided. Resumes of the applicant's staff, who are to directly provide assistance, should also be included. The applicant must document successful experience in the mobilization of resources (both cash and in-kind) from private and public sources. The applicant must also clearly state how the information learned from this project may be disseminated to other interested grantees. Applicable to Sub-Priority Area 2.1 Only Each applicant must include a full discussion of the project including the following information: --Basic Housing Data for Targeted Area. Information on the number of sub-standard housing units available to low-income people in the target area, deficiencies of the housing units to be repaired, i.e., lack of or inadequate plumbing, upgrading of electrical systems, etc., new construction inventory, property values, rents and mortgage rates. While specific census data may be included, this information must be project specific. Applicants must show that other Federal programs do not exist to address the rehabilitation needs of the targeted area. --Priorities. Provide a rationale for the strategies and priorities for which OCS support is requested. --Participant Application Process. A description of the participant application process including: (a) Verification of participant need and income eligibility, (b) proposed diagnostic repair forms and contract bid procedures (where applicable), and (c) completion verification and quality workmanship assurance procedures. --Types of Work to be Performed. The quantitative and qualitative measures in the work plan should reflect the types of work to be performed, e.g. (a) technical assistance and training for each proposed organization/community; and/or (b) repairs or rehabilitation or construction work, noting which types of work will be done in order to bring properties up to minimum housing standards, inspection procedures and construction schedules. Applications proposing to repair or rehabilitate low-income rental housing (see Part B, Sub-Priority Area 2.1, regarding restrictions) must state the current rents for the units in question as well as what rents will be charged for the rehabilitated units. Applicants should also state the number of low-income residents who will be helped to purchase or acquire adequate housing. --Job Creation. Data regarding the number of direct jobs that will be created in the proposed project, noting the number of low-income residents that will be trained and/or placed in these jobs. --Public-Private Partnership. A description of the degree of involvement by private sector individuals, corporations, and foundations in the implementation of the project and the amount of dollars which will be mobilized. Applicable to Sub-Priority Area 2.2 Each applicant must include a full discussion of how the proposed use of funds will enable low-income rural communities to develop the capability and expertise to establish and maintain affordable, adequate and safe water and waste water systems. Applicants must also discuss how they will disseminate information about water and waste water programs serving rural communities, and how they will better coordinate Federal, State, and local water and waste water program financing and development to assure improved service to rural communities. Among the benefits that merit discussion under this sub-priority area are: The number of rural communities to be provided with technical and advisory services; the number of rural poor individuals who are expected to be directly served by applicant-supported improved water and waste water systems; the decrease in the number of inadequate water systems related to applicant activity; the number of newly-established and applicant-supported treatment systems (all of the above may be expressed in terms of equivalent connection units); the increase in local capacity in engineering and other areas of expertise; and the amount of non-discretionary program dollars expected to be mobilized. Applicable to Sub-Priority Areas 3.1 and 3.2 Each applicant must include a full discussion of the proposed project and how it will address one or more farmworker needs as described in Part B. Among the benefits which merit discussion under these priority areas are: The number of farmworkers who are expected to improve their agricultural skills and thus improve their agricultural employment situation; the number of farmworkers and/or their dependents who will be afforded an opportunity to continue their formal education; the number of farmworkers/families who will receive crisis nutritional relief, emergency health and social services referrals and assistance, and assistance in the development of self-help systems of food production; the number of farmworkers who are expected to gain longer term or permanent private sector employment in areas outside agriculture; the number of farmworkers who will receive help in the areas of housing; the number of housing units to be repaired or rehabilitated; the degree and kind of such help; the amount of non- Discretionary program dollars expected to be mobilized, and the degree of private sector involvement that will be utilized in developing and carrying out projects funded under this Announcement. Part G--Post Award Information and Reporting Requirements Following approval of the applications selected for funding, notice of project approval and authority to draw down project funds will be made in writing. The official award document is the Financial Assistance Award which provides the amount of Federal funds approved for use in the project, the budget period for which support is provided, the terms and conditions of the award, the total project period for which support is contemplated, and the total financial participation from the award recipient. General Conditions and Special Conditions (where the latter are warranted) which will be applicable to grants, are subject to the provisions of 45 CFR parts 74 and 92. Grantees will be required to submit semi-annual progress and financial reports (SF-269) as well as a final progress and financial report. Grantees are subject to the audit requirements in 45 CFR parts 74 and 92 and OMB Circular A-128 or A-133. If an applicant will not be requesting indirect costs, it should anticipate in its budget request the cost of having an audit performed at the end of the grant period. Section 319 of Public Law 101-121, signed into law on October 23, 1989, imposes new prohibitions and requirements for disclosure and certification related to lobbying on recipients of Federal contracts, grants, cooperative agreements, and loans. It provides limited exemptions for Indian tribes and tribal organizations. Current and prospective recipients (and their subtier contractors and/or grantees) are prohibited from using appropriated funds for lobbying Congress or any Federal agency in connection with the award of a contract, grant, cooperative agreement or loan. In addition, for each award action in excess of $100,000 (or $150,000 for loans) the law requires recipients and their subtier contractors and/or subgrantees (1) to certify that they have neither used nor will use any appropriated funds for payment to lobbyists, (2) to submit a declaration setting forth whether payments to lobbyists have been or will be made out of nonappropriated funds and, if so, the name, address, payment details, and purpose of any agreements with such lobbyists whom recipients or their subtier contractors or subgrantees will pay with the nonappropriated funds and (3) to file quarterly up-dates about the use of lobbyists if an event occurs that materially affects the accuracy of the information submitted by way of declaration and certification. The law establishes civil penalties for noncompliance and is effective with respect to contracts, grants, cooperative agreements and loans entered into or made on or after December 23, 1989. See Attachment H for certification and disclosure forms to be submitted with the applications for this program. Attachment I indicates the regulations which apply to all applicants/grantees under the Discretionary Grants Program. Dated: April 26, 1994. Donald Sykes, Director, Office of Community Services. Attachment A 1994 Poverty Income Guidelines for all States (Except Alaska and Hawaii and the District of Columbia ------------------------------------------------------------------------ Poverty Size of family unit guideline ------------------------------------------------------------------------ 1.......................................................... $7,360 2.......................................................... 9,840 3.......................................................... 12,320 4.......................................................... 14,800 5.......................................................... 17,280 6.......................................................... 19,760 7.......................................................... 22,240 8.......................................................... 24,720 ------------------------------------------------------------------------ For family units with more than 8 members, add $2,480 for each additional member. Poverty Income Guidelines for Alaska ------------------------------------------------------------------------ Poverty Size of family unit guideline ------------------------------------------------------------------------ 1.......................................................... $9,200 2.......................................................... 12,300 3.......................................................... 15,400 4.......................................................... 18,500 5.......................................................... 21,600 6.......................................................... 24,700 7.......................................................... 27,800 8.......................................................... 30,900 ------------------------------------------------------------------------ For family units with more than 8 members, add $3,100 for each additional member. Poverty Income Guidelines for Hawaii ------------------------------------------------------------------------ Poverty Size of family unit guideline ------------------------------------------------------------------------ 1.......................................................... $8,470 2.......................................................... 11,320 3.......................................................... 14,170 4.......................................................... 17,020 5.......................................................... 19,870 6.......................................................... 22,720 7.......................................................... 25,570 8.......................................................... 28,420 ------------------------------------------------------------------------ For family units with more than 8 members, add $2,850 for each additional member. (The same increment applies to smaller family sizes also, as can be seen in the figures above.) BILLING CODE 4184-01-P![]()
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TN09MY94.009 BILLING CODE 4184-01-C Attachment F--Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered Transactions By signing and submitting this proposal, the applicant, defined as the primary participant in accordance with 45 CFR Part 76, certifies to the best of its knowledge and believe that it and its principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal Department or agency; (b) have not within a 3-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) are not presently indicted or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1) (b) of this certification; and (d) have not within a 3-year period preceding this application/ proposal had one or more public transactions (Federal, State, or local) terminated for cause or default. The inability of a person to provide the certification required above will not necessarily result in denial of participation in this covered transaction. If necessary, the prospective participant shall submit an explanation of why it cannot provide the certification. The certification or explanation will be considered in connection with the Department of Health and Human Services (HHS) determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction. The prospective primary participant agrees that by submitting this proposal, it will include the clause entitled ``Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered Transaction.'' provided below without modification in all lower tier covered transactions and in all solicitations for lower tier covered transactions. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions (To Be Supplied to Lower Tier Participants) By signing and submitting this lower tier proposal, the prospective lower tier participant, as defined in 45 CFR Part 76, certifies to the best of its knowledge and belief that it and its principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (b) where the prospective lower tier participant is unable to certify to any of the above, such prospective participant shall attach an explanation to this proposal. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause entitled ``Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered Transactions,'' without modification in all lower tier covered transactions and in all solicitations for lower tier covered transactions. Attachment G--Executive Order 12372--State Single Points of Contact Arizona Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315 Arkansas Tracie L. Copeland, Manager, State Clearinghouse, Office of Intergovernmental Services, Department of Finance and Administration, P.O. Box 3278, Little Rock, Arkansas 72203, Telephone (501) 682-1074 California Glenn Stober, Grants Coordinator, Office of Planning and Research, 1400 Tenth Street, Sacramento, California 95814, Telephone (916) 323-7480 Colorado State Single Point of Contact, State Clearinghouse, Division of Local Government, 1313 Sherman Street, Room 520, Denver, Colorado 80203, Telephone (303) 866-2156 Delaware Ms. Francine Booth, State Single Point of Contact, Executive Department, Thomas Collins Building, Dover, Delaware 19903, Telephone (302) 736-3326 District of Columbia Rodney T. Hallman, State Single Point of Contact, Office of Grants Management and Development, 717 14th Street, N.W., Suite 500, Washington, DC 20005, Telephone (202) 727-6551 Florida Florida State Clearinghouse, Intergovernmental Affairs Policy Unit, Executive Office of the Governor, Office of Planning and Budgeting, The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-8441 Georgia Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 254 Washington Street, S.W., Atlanta, Georgia 30334, Telephone (404) 656- 3855 Illinois Steve Klokkenga, State Single Point of Contact, Office of the Governor, 107 Stratton Building, Springfield, Illinois 62706, Telephone (217) 782-1671 Indiana Jean S. Blackwell, Budget Director, State Budget Agency, 212 State House, Indianapolis, Indiana 46204, Telephone (317) 232-5610 Iowa Mr. Steven R. McCann, Division of Community Progress, Iowa Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, Telephone (515) 281-3725 Kentucky Ronald W. Cook, Office of the Governor, Department of Local Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601, Telephone (502) 564-2382 Maine Ms. Joyce Benson, State Planning Office, State House Station #38, Augusta, Maine 04333, Telephone (207) 289-3261 Maryland Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of State Planning, 301 West Preston Street, Baltimore, Maryland 21201- 2365, Telephone (301) 225-4490 Massachusetts Karen Arone, State Clearinghouse, Executive Office of Communities and Development, 100 Cambridge Street, Room 1803, Boston, Massachusetts 02202, Telephone (617) 727-7001 Michigan Richard S. Pastula, Director, Michigan Department of Commerce, Lansing, Michigan 48909, Telephone (517) 373-7356 Mississippi Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant Management and Reporting, 301 West Pearl Street, Jackson, Mississippi 39203, Telephone (601) 960-2174 Missouri Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, P.O. Box 809, Room 430, Truman Building, Jefferson City, Missouri 65102, Telephone (314) 751-4834 Nevada Department of Administration, State Clearinghouse, Capitol Complex, Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron Sparks, Clearinghouse Coordinator New Hampshire Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, Attn: Intergovernmental Review, Process/James E. Bieber, 2\1/ 2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603) 271- 2155 New Jersey Gregory W. Adkins, Acting Director, Division of Community Resources, N.J. Department of Community Affairs, Trenton, New Jersey 08625-0803, Telephone (609) 292-6613 Please direct correspondence and questions to: Andrew J. Jaskolka, State Review Process, Division of Community Resources, CN 814, Room 609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025. New Mexico George Elliott, Deputy Director, State Budget Division, Room 190, Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone (505) 827-3640, FAX (505) 827-3006 New York New York State Clearinghouse, Division of the Budget, State Capitol, Albany, New York 12224, Telephone (518) 474-1605 North Carolina Mrs. Chrys Baggett, Director, Office of the Secretary of Admin., N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North Carolina 27603-8003, Telephone (919) 733-7232 North Dakota N.D. Single Point of Contact, Office of Intergovernmental Assistance, Office of Management and Budget, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-0170, Telephone (710) 224-2094 Ohio Larry Weaver, State Single Point of Contact, State/Federal Funds Coordinator, State Clearinghouse, Office of Budget and Management, 30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411, Telephone (614) 466-0698 Rhode Island Mr. Daniel W. Varin, Associate Director, Statewide Planning Program, Department of Administration, Division of Planning, 265 Melrose Street, Providence, Rhode Island 02907, Telephone (401) 277-2656 Please direct correspondence and questions to: Review Coordinator, Office of Strategic Planning. South Carolina Omeagia Burgess, State Single Point of Contact, Grant Services, Office of the Governor, 1205 Pendleton Street, Room 477, Columbia, South Carolina 29201, Telephone (803) 734-0494 South Dakota Ms. Susan Comer, State Clearinghouse Coordinator, Office of the Governor, 500 East Capitol, Pierre, South Dakota 57501, Telephone (605) 773-3213 Tennessee Mr. Charles Brown, State Single Point of Contact, State Planning Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville, Tennessee 37219, Telephone (615) 741-1676 Texas Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box 12428, Austin, Texas 78711, Telephone (512) 463-1778 Utah Utah State Clearinghouse, Office of Planning and Budget, ATTN: Carolyn Wright, Room 116 State Capitol, Salt lake City, Utah 84114, Telephone (801) 538-1535 Vermont Mr. Bernard D. Johnson, Assistant Director, Office of Policy Research & Coordination, Pavilion Office Building, 109 State Street, Montpelier, Vermont 05602, Telephone (802) 828-3326 West Virginia Mr. Fred Cutlip, Director, Community Development Division, West Virginia Development Office, Building #6, Room 553, Charleston, West Virginia 25305, Telephone (304) 348-4010 Wisconsin Mr. William C. Carey, Federal/State Relations, Wisconsin Department of Administration, 101 South Webster Street, P.O. Box 7864, Madison, Wisconsin 53707, Telephone (608) 266-0267 Wyoming Sheryl Jeffries, State Single Point of Contact, Herschler Building, 4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-7574 Guam Mr. Michael J. Reidy, Director, Bureau of Budget and Management Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910, Telephone (671) 472-2285 Northern Mariana Islands State Single Point of Contact, Planning and Budget Office, Office of the Governor, Saipan, CM, Northern Mariana Islands 96950 Puerto Rico Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto Rico 00940-9985, Telephone (809) 727-4444 Virgin Islands Jose L. George, Director, Office of Management and Budget, #41 Norregade Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 00802 Please direct correspondence to: Linda Clarke, Telephone (809) 774- 0750. Attachment H--Certification Regarding Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriate funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. State for Loan Guarantee and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL ``Disclosure Form to Report Lobbying,'' in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the require statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. ---------------------------------------------------------------------- Signature ---------------------------------------------------------------------- Title ---------------------------------------------------------------------- Organization ---------------------------------------------------------------------- Date BILLING CODE 4184-01-P ![]()
TN09MY94.010 BILLING CODE 4184-01-C Attachment I The following DHHS regulations apply to all applicants/grantees under the Discretionary Grants Program: Title 45 of the Code of Federal Regulations: Part 16--Procedures of the Department Grant Appeals Board Part 74--Administration of Grants (non-governmental) Part 74--Administration of Grants (state and local governments and Indian Tribal affiliates): Sections 74.62(a) Non-Federal Audits 74.173 Hospitals 74.174(b) Other Nonprofit Organizations 74.304 Final Decisions in Disputes 74.710 Real Property, Equipment and Supplies 74.715 General Program Income Part 75--Informal Grant Appeal Procedures Part 76--Debarment and Suspension form Eligibility for Financial Assistance Subpart F--Drug Free Workplace Requirements Part 80--Non-discrimination Under Programs Receiving Federal Assistance through the Department of Health and Human Services Effectuation of Title VI of the Civil Rights Act of 1964 Part 81--Practice and Procedures for Hearings Under Part 80 of this Title Part 83--Nondiscrimination on the basis of sex in the admission of individuals to training programs Part 84--Non-discrimination on the Basis of Handicap in Programs Part 91--Non-discrimination on the Basis of Age in Health and Human Services Programs or Activities Receiving Federal Financial Assistance Part 92--Uniform Administrative Requirements for Grants and Cooperative Agreements to States and Local Governments (Federal Register, March 11, 1988) Part 93--New Restrictions on Lobbying Part 100--Intergovernmental Review of Department of Health and Human Services Programs and Activities Attachment J--Checklist for Use in Submitting OCS Grant Applications (Optional) The application should contain: 1. A completed, signed SF-424, ``Application for Federal assistance''. The letter code for the priority area e.g., UR) should be in the lower right hand corner. 2. A completed ``Budget Information--Non-Construction'' (SF-424A); 3. A signed ``Assurance--Non-Construction'' (SF-424A); 4. A Project Abstract 5. A Project Narrative beginning with a Table of Contents that describes the project in the following order: (a) Eligibility Confirmation (b) Analysis of Need (except for Sub-Priority 1.4) (c) Organizational Experience and Staff Responsibilities (d) Work Program (including Executive Summary) 6. Appendices, including By-Laws; Articles of Incorporation, proof of non-profit status where applicable; resumes, written agreements re grants, coordination with JOBS, etc.; Single Point of Contact comments (where applicable); certification regarding anti-lobbying activities; and a disclosure of lobbying activities. 7. A signed copy of ``Certification Regarding Anti-Lobbying Activities. 8. A completed ``Disclosures of Lobbying Activities'', if appropriate; and 9. A self-addressed mailing label which can be affixed to a notice to acknowledge receipt of application. The application should not exceed a total of 50 pages for applications submitted under sub-priority areas 1.1 and 1.2 and 30 pages for all applications submitted under the other subpriority areas. It should include one original and four identical copies, printed on white 8\1/2\ by 11 inch paper only. Applications should be two holed punched at the top center and fastened with a compressor slide paper fastener or a binder clip. All pages should be numbered. [FR Doc. 94-10914 Filed 5-6-94; 8:45 am] BILLING CODE 4184-01-P