[Federal Register Volume 61, Number 72 (Friday, April 12, 1996)]
[Notices]
[Pages 16318-16345]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-8594]
[[Page 16317]]
_______________________________________________________________________
Part III
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Discretionary Grants Program, Fiscal Year 1996; Application; Notice
Federal Register / Vol. 61, No. 72 / Friday, April 12, 1996 /
Notices
[[Page 16318]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-96-01]
Request for Applications Under the Office of Community Services'
Fiscal Year 1996 Discretionary Grants Program
AGENCY: Office of Community Services, ACF, DHHS.
ACTION: Request for applications under the Office of Community
Services' Discretionary Grants Program.
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SUMMARY: The Administration for Children and Families, Office of
Community Services (OCS) announces that competing applications will be
accepted for new grants pursuant to the Secretary's discretionary
authority under sections 681(a) and (b) 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 two 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 and time for receipt of applications is
4:30 p.m., eastern time zone, on June 11, 1996. Applications received
after 4:30 p.m. on that day will be classified as late. Postmarks and
other similar documents do not establish receipt of an application.
Detailed application submission instructions including the addresses
where applications must be received are found in Part D of this
announcement.
FOR FURTHER INFORMATION CONTACT: Office of Community Services, Joseph
Carroll, Division of Community Discretionary Programs, Administration
for Children and Families, 370 L'Enfant Promenade S.W., Washington,
D.C. 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.--10. 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) and 681(b)(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 with special
emphasis on community and economic development activities.
2. Departmental Goals
This announcement is particularly relevant to the Departmental goal
of strengthening the American family and promoting self-sufficiency.
These programs have objectives of increasing the access of low-income
people to employment- 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:
--Community development corporation: a private, nonprofit entity,
governed by a board consisting of residents of the community and
business and civic leaders, which has as a principal purpose planning,
developing, or managing low-income housing or community development
projects.
--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.)
--Empowerment Zones and Enterprise Communities: Those communities
designated as such by the Secretaries of Agriculture or Housing and
Urban Development.
--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: To bring about, by activities and services funded under
this program, new jobs, that is, jobs that were not in existence before
the start of the project. These activities can be the development of
new business ventures or the expansion of existing businesses.
(Note: Do not confuse this with Job Placement which is placing a
person in a vacant job.)
--Job Retention: Jobs that are saved as a result of the OCS grant. (For
[[Page 16319]]
example, saving a business that may be headed towards bankruptcy or
stopping a business that may be relocating which would cause the loss
of low-income jobs).
--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.
4. Availability of Funds
All grant awards are subject to the availability of appropriated
funds.
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.
Sub-Priority Areas Under 1.0
1.1 Urban and Rural Community Economic Development (Operational).
1.2 Urban and Rural Community Economic Development (HBCU Set-
Aside).
1.3 Urban and Rural Community Economic Development (Pre-
Developmental Set-Aside).
1.4 Urban and Rural Community Economic Development (Developmental
Set-Aside).
1.5 Administrative and Management Expertise (Set-Aside).
1.6 Training and Technical Assistance (Set-Aside).
Priority Area 2.0 Rural Community Development Activities.
Sub-Priority Area 2.1 Rural Community Facilities Development
(Water and Waste Water Treatment Systems Development).
Priority Area 1.0 Urban and Rural Community Economic Development.
Eligible applicants are private, non-profit community development
corporations governed by a board consisting of residents of the
community and business and civic leaders which have as a principal
purpose planning, developing, or managing low-income housing or
community development projects.
The purpose of this priority area is to encourage the creation of
projects intended to provide employment and business development
opportunities for low-income people through business, physical or
commercial development, 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 1.5 is
intended to provide administrative and management expertise to current
Office of Community Services' grantees who are experiencing problems in
the implementation of urban and rural community economic development
projects. Sub-Priority Area 1.6 is intended to provide training and
technical assistance to groups of community development corporations in
developing or implementing projects funded under this section and to
generally enhance the viability and competence of community development
corporations.
To this end, the program also seeks to attract additional private
capital into distressed communities, including empowerment zones and
enterprise communities, and to build and/or expand the ability of local
institutions to better serve the economic needs of local residents.
Sub-Priority Area 1.1 Urban and Rural Community Economic Development
(Operational)
Funds will be provided to a limited number of private non-profit
community development corporations for business development activities
at the local level. Funding will be provided for specific projects and
will require the submission of business plans or developmental
proposals that meet the test of economic feasibility.
For Fiscal Year 1996, it is anticipated that approximately twenty
(20) grants up to a maximum of $350,000 will be awarded and
approximately ten (10) grants over $350,000 but up to $700,000 will be
made. Competition for these funds will be restricted to either the
$350,000 and under or over $350,000 but up to $700,000 categories. Each
category of funds will compete only among themselves.
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 empowerment zones and enterprise communities
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 community.
Applications must show that the proposed project:
(1) Creates full-time permanent jobs except where an applicant
demonstrates that a permanent part-time job produces actual wages that
exceed the HHS poverty guidelines. Seventy-five percent (75%) of 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.
[[Page 16320]]
In addition, favorable consideration in the evaluation process will
be given to applicants who demonstrate their intention to coordinate
services with the local public assistance offices 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 office 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 the terms of
the proposed transaction. For example, regarding a stock purchase, the
cost per share, number of shares and percentage of ownership is needed.
Also the application must include 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.
OCS encourages applications that will develop linkages or
agreements with local agencies responsible for administering public
assistance programs. OCS would expect these programs to train public
assistance recipients and create new jobs for public assistance
recipients through a variety of business development projects funded
under this priority area, i.e., business expansions, new business
development and start up entities, etc.
Any funds that are proposed to be used for training purposes must
be limited to providing specific job-related training to those
individuals who have been selected for employment in the grant
supported project for newly created positions. Projects involving
training and placement for existing vacant positions will be
disqualified.
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, 7, d, 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 1996, it is anticipated that a set-aside fund of
$2,100,000 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.
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. Any funds that are not
used under this sub-priority area due to the limited number of highly
scored applications will be rolled over into Sub-Priority Area 1.1.
Any funds that are proposed to be used for training must be
directly related to the project and individuals trained should be
placed in the newly created job or business.
See Part F, 7, d, 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, non-profit community development 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 funds in Fiscal Year 1996 for grants to
private non-profit community development corporations that have never
received OCS funding; have been in existence for
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no more than three years or have been in existence longer than three
years but have no record of participation in economic development type
projects. For the latter, a CDC must state that it has not been active.
We anticipate that grants of up to $75,000 each will be made to
eligible applicants. These grants will be made for a period of one year
and will not require matching funds.
These grants will be pre-developmental grants under which CDCs 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, 1.2, and 1.4; (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 1997, 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 would be
restricted to those organizations receiving Fiscal Year 1996 pre-
developmental grants. The Business Plan developed as a result of the
pre-developmental grant would be submitted as part of the competitive
application.
Each application for Fiscal Year 1996 funded under this Priority
Area must include the following as part of the project narrative.
1. Description of the impact area, i.e., a description of the low-
income area it proposes to address;
2. Analysis of need in the distressed community;
3. 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.
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.
Sub-Priority Area 1.4 Urban and Rural Community Economic Development
(Developmental Set Aside)
OCS intends in this priority area to provide funds to organizations
who received grants from OCS in Fiscal Years 1994 and 1995 under the
Pre-Developmental grant program. These organizations will compete only
among themselves. Such projects must conform to the purposes,
requirements and prohibitions applicable to those submitted under
Priority Area 1.1. 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 1.1.
Sub-Priority Area 1.5 Administrative and Management Expertise
OCS believes that one of the most effective means of assuring the
successful operation of a project under the Discretionary Grants
Program area is through the sharing amongst CDCs of their experiences
in dealing with the day to day issues and challenges presented in
promoting community economic development. Accordingly, OCS strongly
encourages more experienced CDCs to share their administrative and
management expertise with less experienced CDCs or with those who have
encountered difficulties in operationalizing their work programs. In
order to facilitate this, OCS will provide funds to one or more
community development corporations (as defined in Part A.3) to assist
with their efforts to enhance the management and operational capacities
of the less experienced CDCs or those having difficulties.
We anticipate that the grant(s) would be for a maximum of $500,000
with a project period not to exceed 17 months. OCS will share with the
grantee(s) information on other grantees seeking to benefit from such
assistance. Such formal requests could also be initiated by a grantee
with the concurrence of OCS. These contacts may occur on-site, by
telephone, or by other methods of communication. Costs incurred in
connection with participating in such activities will be borne by the
recipient(s) of the OCS grant under this sub-priority area.
Sub-Priority Area 1.6 Training and Technical Assistance
Funds will be awarded to one organization under this priority area
for the purpose of providing training and technical assistance to
strengthen the network of CDCs.
We anticipate that the grant will be for $210,000 with a grant
period not to exceed 17 months. Applicant must have the ability to
collect and analyze data nationally that may benefit CDCs and be able
to disseminate information to all of OCS funded grantees; publish a
national directory of funding sources for CDCs (public, corporate,
foundation, religious); publish research papers on specific aspects of
job creation by CDCs; design and provide information on successful
projects and economic niches that CDCs can target. The applicant will
also be responsible for the development of instructional programs,
national conferences, seminars, and other activities to assist
community development corporations.
Eligible applicants are private non-profit organizations.
Applicants must operate on a national basis and have significant and
relevant experiences in working with community development
corporations.
Priority Area 2.0 Rural Community Development Activities
Sub-Priority Area 2.1 Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)
Funds will be provided under this priority area to help low-income
rural communities develop the capability and expertise to establish
and/or maintain affordable, adequate and safe water and waste water
treatment facilities. Funds provided under this priority area may not
be used for construction of water and waste water treatment systems or
for operating subsidies for such systems, but other mobilized funds may
be used for these activities. Therefore, it is suggested that
applicants coordinate projects with the Farmers Home Administration
(FmHA) and other Federal and State agencies to ensure that funds for
hardware for local community projects are available.
Eligible applicants are multi-state, regional private non-profit
organizations that can provide training and technical assistance to
small, rural communities in meeting their community facility needs.
See Part F, 7, d, 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
[[Page 16322]]
individual priority area descriptions found in Part B, above.
2. Availability of Funds
a. FY 1996 Funds
The approximate amount of funds anticipated to be available for
each Priority Area is summarized below:
------------------------------------------------------------------------
Fiscal year 1996
Priority area funds
------------------------------------------------------------------------
1.0 Urban and Rural Community Economic Development:
1.1 Urban and Rural Community Economic
Development (Operational)........................ $14,000,000
1.2 Urban and Rural Community Economic
Development (HBCU Set-Aside)..................... 2,100,000
1.3 Urban and Rural Community Economic
Development (Pre-Developmental Set-Aside)........ 750,000
1.4 Urban and Rural Community Economic
Development (Developmental Set-Aside)............ 2,500,000
1.5 Grantee Assistance (Set-side)................ 500,000
1.6 Training & Technical Assistance (Set-Aside).. 210,000
2.1 Rural Community Facilities Development (Water
and Waste Water Treatment Systems Development)... 3,009,000
------------------------------------------------------------------------
b. Grant Amounts
The approximate amounts to be granted for projects under the
Priority Areas are indicated below:
------------------------------------------------------------------------
Sub-priority area Funding limit
------------------------------------------------------------------------
1.1.............................. Approximately 10 at $700,000.
Approximately 20 at $350,000.
1.2.............................. Approximately 6 at $350,000.
1.3.............................. Approximately 10 at $75,000.
1.4.............................. Approximately 10 at $250,000.
1.5.............................. Approximately 1 at $500,000.
1.6.............................. Approximately 1 at $210,000.
2.1.............................. Approximately 7 from $221,000-
$425,000.
------------------------------------------------------------------------
3. Project and Budget Periods
For Sub-Priority Areas 1.1, 1.2, and 1.4, applicants with projects
involving construction only, may request project and budget periods up
to 36 months. Applicants for non-construction under these priority
areas may request project periods up to 36 months and budget periods up
to 17 months. Sub-Priority Areas 1.5, and 1.6 may request project and
budget periods of up to 17 months. For Sub-Priority Area 2.1, 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.
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.
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 Poverty
Income Guidelines currently in effect. Annual revisions of these
guidelines are normally published in the Federal Register in February
or early March of each year. Grantees will be required to apply the
most recent guidelines throughout the project period. These revised
guidelines may be obtained by accessing the OCS Electronic Bulletin
Board (see ``For Further Information Contact'' at the beginning of this
Announcement), at public libraries, Congressional offices, or by
writing the Superintendent of Documents, U.S. Government Printing
Office, Washington, D.C. 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 Sub-
Priority Areas 1.3, 1.5, and 1.6) where applicants are researching
various opportunities, are sharing administrative and management
expertise with current OCS grantees, or are providing training and/or
technical assistance for current OCS grantees, including the
organization of seminars and other activities in assisting Community
Development Corporations. Applications 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 can receive only one grant in each 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 considered an important
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 CONTACT at the beginning of
this announcement.
For purposes of this announcement, all applicants will use the
following forms:
[[Page 16323]]
SF 424
SF 424A
SF 424B
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 K 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
The closing time and date for receipt of applications are 4:30 p.m.
(Eastern Standard Time) on June 11, 1996. Applications received after
4:30 p.m. will be classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U. S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, 370 L'Enfant Promenade, S. W., Mail Stop 6C-462, Washington, D.
C. 20447, Attention: Application for Discretionary Grants Program.
Applicants are responsible for mailing applications well in advance,
when using all mail services, to ensure that the applications are
received on or before the deadline time and date.
Applications handcarried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m., at the U. S. Department
of Health and Human Services, Administration for Children and Families,
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,
Aerospace Center, 901 D Street, S. W., Washington, D. C. 20024, between
Monday and Friday (excluding Federal holidays). (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is widespread disruption of the mails. However, if ACF does
not extend the deadline for all applicants, it may not waive or extend
the deadline for any applicants.
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 sub-priority area funds are being
requested (for example, 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, or 2.1). See Part
F, section 1, subsection 11 for details.
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, Colorado, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Massachusetts, Minnesota, Montana,
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee,
Virginia, 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 twenty jurisdictions
need take no action regarding E.O. 12372. Applicants for projects to be
administered by Federally-recognized Indian Tribes are also exempt from
the requirements of E.O. 12372. Otherwise, applicants should contact
their SPOCs as soon as possible to alert them of the prospective
applications and receive any necessary instructions. 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, Division of Discretionary Grants, 370
L'Enfant Promenade, S.W., 6th Floor, Washington, D.C. 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G of this announcement.
4. Application Consideration
Applications which meet the screening requirements in sections 5a
and b below may be reviewed competitively. Such applications will be
referred to reviewers for a numerical score and explanatory comments
based solely on responsiveness to program priority area guidelines and
evaluation criteria published in this announcement.
Applications submitted under all priority areas (with the exception
of Sub-Priority Area 1.6) will be reviewed by persons outside of the
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
[[Page 16324]]
three or more active OCS grants at the time of review may be denied
funding. In addition, for applications received under 1.0, OCS will
consider the relative proportion of funding among rural and urban areas
in accordance with Section 681(b)(1)(D) of the Act.
OCS reserves the right to discuss applications with other Federal
or non-Federal funding sources to ascertain the applicant's performance
record.
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) An Executive Summary 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 Sub-Priority Areas 1.3, 1.5, and 1.6) where applicants are
researching various opportunities, sharing administrative and
management expertise with current OCS grantees, or are providing
assistance to current OCS grantees, or providing training and/or
technical assistance for current OCS grantees, including the
organization of seminars and other activities to assist Community
Development Corporations and this project must be identified as
responding to one of the program priority areas stated in this
Announcement.
Applicants which are not in compliance with this requirement will
be ineligible for funding.
(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, 1.2 and 1.4);
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.
d. Paperwork Reduction
Under the Paperwork Reduction Act of 1980, Public Law 96-511, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
program announcements. This program announcement does not contain
information collection requirements beyond those approved for ACF grant
applications under OMB Control Number 0970-0062.
6. Criteria for Review and Evaluation of All Applications
Sub-Priority Areas 1.1, 1.2, and 1.4
(a) Criterion I: Analysis of Need (Maximum: 5 Points)
The application documents that the project addresses a vital need
in a distressed community. (0-3 points)
Statistics and other data and information are provided in support
of its contention. (0-2 points)
(b) Criterion II: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 25 Points)
(i) Organizational Experience in Program Area (Sub-rating: 0-15 Points)
Documentation provided indicates that projects previously
undertaken have been relevant and effective and have provided permanent
benefits to the low-income population. (0-5 Points)
The applicant has demonstrated the ability to implement major
activities in such areas as business development, commercial
development, physical development, or financial services; the ability
to mobilize dollars from sources such as the private sector
(corporations, banks, etc.), foundations, the public sector, including
State and local governments, or individuals; that it has a sound
organizational structure and proven organizational capability; and an
ability to develop and maintain a stable program in terms of business,
physical or community development activities that will provide needed
permanent jobs, services, business development opportunities, and other
benefits to community residents. (0-10 points)
(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. (0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-2 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to
[[Page 16325]]
assure timely implementation and cost effective management of the
project. (0-3 points)
(c) Criterion III: Project Implementation (Maximum: 20 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. (0-5 points)
It sets forth realistic quarterly time targets by which the various
work tasks will be completed. (0-5 points)
Critical issues or potential problems that might impact negatively
on the project are defined and the project objectives can be reasonably
attained despite such potential problems. (0-5 points)
The following financials must be included for the first three years
of the business' operations: (Profit and Loss Forecasts; Cash Flow
Projections; Proforma balance sheet); and Sources and Uses of Fund
Statement. (0-5 points)
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25
Points)
(i) Significant and Beneficial Impact (Sub-rating: Maximum: 0-10
Points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. (0-5 points)
The proposed project will produce permanent and measurable results
that will reduce the incidence of poverty in the community. (0-3
points)
The OCS grant funds, in combination with private and/or other
public resources, are targeted into low-income communities, distressed
communities, and/or designated enterprise zones and enterprise
communities. (0-2 points)
(ii) Community Empowerment Consideration (Maximum: 0-5 Points)
Special consideration will be given to applicants who are located
in areas which are characterized by poverty and other indicators of
socio-economic distress such as a poverty rate of at least 20%,
designation as an Empowerment Zone or Enterprise Community, high levels
of unemployment, and high levels of incidences of violence, gang
activity, crime, or drug use. (0-3 points)
Applicants should document that they were involved in the
preparation and planned implementation of a comprehensive community-
based strategic plan to achieve both economic and human development in
an integrated manner. (0-2 points)
(iii) Cost-per-Job (Sub-rating: 0-5 Points)
During the project period the proposed project will create new,
permanent jobs or maintain permanent jobs for low-income residents at a
cost-per-job below $15,000 in OCS funds unless there are extenuating
circumstances, i.e., Alaska where the cost of living is much higher.
(Note: The maximum number of points will be given to those
applicants proposing cost-per-job estimates of $10,000 or less of
OCS requested funds. Higher cost-per-job estimates will receive
correspondingly fewer points unless adequately justified by
extenuating circumstances.)
(iv) Career Development Opportunities (Sub-rating: 0-5 Points)
The application documents that the jobs to be created for low-
income people have career development opportunities which will promote
self-sufficiency.
(e) Criterion V: Public-Private Partnerships (Maximum: 20 Points)
(i) 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.
Note: 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.
(ii) Integration/Coordination of Services: (Sub-rating: 5 Points)
The applicant demonstrates a commitment to or agreements with local
agencies responsible for administering employment, education and
training programs (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 a 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. (0-2 points)
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. (0-2 points)
The applicant should also provide documentation that illustrates
the organizational experience related to the employment education and
training program (refer to Criterion II for guidelines). (0-1 point)
(f) Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5
Points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. (0-2 points)
The application includes a detailed budget break-down for each of
the budget categories in the SF-424A. The applicant presents a
reasonable administrative cost. (0-2 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
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
[[Page 16326]]
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. (0-10 points)
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. (0-10 points)
The project around which the Business Plan is developed with the
use of OCS grant funds must be targeted to low-income communities, and/
or designated empowerment zones or enterprise communities with the
goals of increasing the economic conditions and social self-sufficiency
of residents. (0-10 points)
Activities must be designed to achieve the specific Program
Priority Area 1.3 objectives as defined in this program announcement.
(0-5 points)
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. (0-10 points)
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 will seriously reduce an applicant's point
score in this criterion. (0-10 points)
It must define critical issues or potential problems that might
impact negatively on the project and it must indicate how the project
objectives will be attained notwithstanding any such potential
problems. (0-5 points)
(2) Evaluation component (sub-rating: 5 points). All proposals
should include a self-evaluation component. The evaluation data
collection and analysis procedures should be specifically oriented to
assess the degree to which the stated goals and objectives are
achieved. (0-3 points)
Qualitative and quantitative measures reflective of the scheduling
and task delineation in (1) above should be used to the maximum extent
possible. This 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. (0-2 points)
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. (0-10 points)
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.) (0-5 points)
8. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.5
(a) Criterion I: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 20 Points)
(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. (0-2 points)
Applicant must document a capability (including access to a network
of skilled individuals and/or organizations) in two or more of the
following areas: Business Management, including strategic planning and
fiscal management; Finance, including development of financial packages
and provision of financial/accounting services; and Regulatory
Compliance, including assistance with zoning and permit compliance. (0-
2 points)
Further, the applicant has the demonstrated ability to mobilize
dollars from sources such as the private sector (corporations, banks,
foundations, etc.) and the public sector, including state and local
governments. (0-2 points)
Applicant also demonstrates that it has a sound organizational
structure and proven organizational capability as well as an ability to
develop and maintain a stable program in terms of business, physical or
community development activities that have provided permanent jobs,
services, business development opportunities, and other benefits to
poverty community residents. (0-2 points)
Applicants must indicate why they feel that their successful
experiences would be of assistance to existing grantees which are
experiencing difficulties in implementing their projects. (0-2 points)
(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.
(0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-3 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-2 points)
(b) Criterion II: Work Program (Maximum: 30 Points)
Based upon the applicant's knowledge and experience related to
OCS's Discretionary Grants Program (particularly community economic
[[Page 16327]]
development), the application should demonstrate in some specificity a
thorough understanding of the problems a grantee may encounter in
implementing a successful project. (0-15 points)
The application should include a strategy for assessing the
specific nature of the problems, outlining a course of action and
identifying the resources required to resolve the problems. (0-15
points)
(c) Criterion III: Significant and Beneficial Impact (Maximum: 30
Points)
Project funds under this sub-priority area must be used for the
purposes of transferring expertise directly, or by a contract with a
third party, to other OCS funded grantees. Applicants must document how
the success or failure of collaboration with these grantees will be
documented. (0-15 points)
Applicants must demonstrate an ability to disseminate results on
the kinds of programmatic and administrative expertise transfer efforts
in which they participated and successful strategies that they may have
developed to share expertise with grantees during the grant period. (0-
10 points)
Applicants must also state whether the results of the project will
be included in a handbook, a progress paper, an evaluation report or a
general manual and why the particular methodology chosen would be most
effective. (0-5 points)
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.
(0-10 points)
Applicant should demonstrate how it will design a comprehensive
strategy which makes use of other available resources to resolve
typical and recurrent grantee problems. (0-5 points)
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. (0-3 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-2 points)
9. Criteria for Review and Evaluation of Applications Submitted Under
Sub-Priority Area 1.6
(a) Criterion I: Need for Assistance (Maximum: 10 Points)
The application documents that the project addresses a vital
nationwide need related to the purposes of Priority Area 1.0 and
provides data and information in support of its contention.
(b) Criterion II: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 20 Points)
(i) Organizational Experience
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. Applicant must document a capability
(including access to a network of skilled individuals and/or
organizations) in two or more of the following areas: Business
Management, including strategic planning and fiscal management;
Finance, including development of financial packages and provision of
financial/accounting services; and Regulatory Compliance, including
assistance with zoning and permit compliance. (0-10 points)
(ii) Staff Skills
The applicants's proposed project director and primary staff are
well qualified and their professional experiences are relevant to the
successful implementation of the proposed project. (0-10 points)
(c) Criterion III: Work Plan (Maximum 35 Points)
Based upon the applicant's knowledge and experience related to
OCS's Discretionary Grants Program (particularly community economic
development), the applicant must develop and submit a detailed and
specific work plan that is both sound and feasible. The work plan
should--
(i) Demonstrate that all activities are comprehensive and
nationwide in scope, and adequately described and appropriately related
to the goals of the program. (0-10 points)
(ii) Demonstrate in some specificity a thorough understanding of
the kinds of training and technical assistance that can be provided to
the network of Community Development Corporations. (0-10 points)
(iii) Delineate the tasks and sub-tasks involved in the areas
necessary to carry out the responsibilities to include training,
technical assistance, research, outreach, seminars, etc. (0-5 points)
(iv) State the intermediate and end products to be developed by
task and sub-task. (0-5 points)
(v) Provide realistic time frames and chronology of key activities
for the goals and objectives. (0-5 points)
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25
Points)
Project funds under this sub-priority area must be used for the
purpose of providing training and technical assistance on a national
basis to the network of Community Development Corporations. Applicant
must document how the success or failure of the assistance provided
will be documented.
(i) Application should adequately describe how the project will
assure long-term program and management improvements for Community
Development Corporations; (0-10 points)
(ii) The project will impact on a significant number of Community
Development Corporations; (0-10 points)
(iii) Applicant should document how the project will leverage or
mobilize significant other non-federal resources for the direct benefit
of the project; (0-5 points)
(e) Criteria V: Budget Reasonableness (Maximum 10 Points)
(i) The resources requested are reasonable and adequate to
accomplish the project. (0-5 points)
(ii) Total costs are reasonable and consistent with anticipated
results. (0-5 points)
10. Criteria for Review and Evaluation of All Applications Under
Priority Areas 2.1
(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
[[Page 16328]]
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.
(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 Business Plan is both sound and feasible. The project is
responsive to the needs identified in the Analysis of Need. It sets
forth realistic quarterly time targets by which the various tasks will
be completed. Critical issues or potential problems that might impact
negatively on the project are defined and the project objectives can be
reasonably attained despite such potential problems.
(d) Criterion IV: Significant and Beneficial Impact (Maximum: 30
Points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. The proposed
project will produce permanent and measurable results that will reduce
the incidence of poverty in the areas targeted and significantly
enhance the self sufficiency of program participants. Results are
quantifiable in terms of program area expectations, e.g., number of
units of housing rehabilitated, agricultural and non-agricultural job
placements, etc. The OCS grant funds, in combination with private and/
or other public resources, are targeted into low-income and/or
distressed communities and/or designated empowerment zones and
enterprise communities.
(e) Criterion V: Public-Private Partnerships (Maximum: 20 Points)
The application documents that the applicant will mobilize from
public and/or private sources cash and/or in-kind contributions valued
at an amount equal to the OCS funds requested. Applicants documenting
that the value of such contributions will be at least equal to the OCS
funds requested will receive the maximum number of points for this
Criterion. Lesser contributions will be given consideration based upon
the value documented.
(f) Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5
Points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The application
includes a detailed budget break-down for each of the budget categories
in the SF-424A. The applicant presents a reasonable administrative
cost. The estimated cost to the government of the project also is
reasonable in relation to the anticipated results.
Part E--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:
I. A signed ``Application for Federal Assistance'' (SF-424);
II. ``Budget Information-Non-Construction Programs'' (SF-424A);
III. A signed ``Assurances-Non-Construction Programs'' (SF-424B);
IV. A Project Abstract (a paragraph which succinctly describes the
project (in500 characters or less));
V. 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:
A. Eligibility Confirmation
B. Analysis of Need (except for Sub-Priorities 1.5, and 1.6)
C. Organizational Experience in Program Area and Staff
Responsibilities
1. Organizational experience in program area
a. Grantee
b. HBCU (if applicable)
2. Staff Skills, Resources and Responsibilities
D. Project Implementation (Business/Work Plan)
1. The Business and Its Industry (except for Priority Areas 1.5
and 1.6)
2. Products and Services
3. Financial Plans
E. Significant and Beneficial Impacts
1. Significant and Beneficial Impacts
2. Cost Per Job
3. Career Development Opportunities
F. Public/Private Partnership Agreements
G. Budget Appropriateness and Reasonableness
VI. Appendices, including By-Laws and/or Articles of Incorporation
which confirm eligibility of organization as a CDC (relevant sections);
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; smokefree workplace assurance; and a disclosure of
lobbying activities.
The application package should not exceed 65 pages for applications
submitted under sub-priority areas 1.1, 1.2 and 1.4, and 30 pages for
all applications submitted under the other sub-priority areas.
Applications should be two hole 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
[[Page 16329]]
date, please notify ACF by telephone (202) 401-9365.
Part F--Instructions for Completing Application Package
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 proposals 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 (EIN) and the Payment Identifying Number (PIN), if one has been
assigned, in the Block entitled ``Federal Identifier'' located at the
top right hand corner of the form.
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)
DD--for Sub-Priority Area 1.4. Urban and Rural Community Economic
Development (Developmental Set-Aside)
AM--for Sub-Priority Area 1.5. Administrative and Management (Set-
Aside)
UT--for Sub-Priority Area 1.6. Technical Assistance (Set-Aside)
RF--for Sub-Priority Area 2.1. Rural Community Facilities Development
(Water and Waste Water Treatment Systems Development)
2. SF-424A ``Budget Information-Non-Construction Programs''
See Instructions accompanying this form as well as the instructions
set forth below:
In completing these sections, the ``Federal Funds'' budget entries
will relate to the requested OCS discretionary funds only, and ``Non-
Federal'' will include mobilized funds from all other sources--
applicant, state, local, and other. Federal funds other than requested
OCS discretionary funding should be included in ``Non-Federal''
entries.
The budget forms in SF-424A are only to be used to present grant
administrative costs and major budget categories. Financial data that
is generated as part of a project Business Plan or other internal
project cost data must be separate and should appear as part of the
project Business Plan or other project implementation data.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal (mobilized) funds. Section B contains entries for
Federal (OCS) funds only. Clearly identified continuation sheets in SF-
424A format should be used as necessary.
Section A--Budget Summary
Lines 1-4
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. A budget narrative must be
submitted that includes the appropriate justifications as stated.
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. A breakdown of amounts and percentage of
time that comprises the salary must be noted. 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 estimated costs of all travel by
employees of the project. The purpose, traveler, number of days,
airfare and per diem rates must be stated. 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 estimated 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 estimated costs of all tangible
personal property (supplies) other than that included on line 6d.
Identify the item, unit cost and quantity to be purchased.
Contractual-Line 6f: Enter the total estimated 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. Identify the purpose and costs associated. Also include any
contracts with organizations for the provision of technical assistance.
Do not
[[Page 16330]]
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 estimated costs of renovation,
repair, or new construction. Identify the type of construction activity
and costs associated, i.e., concrete, HVAC, electrical, etc. Provide
narrative justification and breakdown of costs.
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. Note that costs identified as ``miscellaneous'' and
``honoraria'' are not allowable.
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 and State agencies, 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. The
need for equipment must be supported in program the 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
[[Page 16331]]
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
file the Standard Form 424B, ``Assurances: Non-Construction Programs.''
Applicants must sign and return the Standard Form 424B, found at
Attachment D, with their applications.
4. Restrictions on Lobbying Activities
Applicants must provide a certification concerning Lobbying. Prior
to receiving an award in excess of $100,000, applicants shall furnish
an executed copy of the lobbying certification. Applicants must sign
and return the certification, found at Attachment H, with their
applications.
5. Disclosure of Lobbying Activities
SF-LLL: Fill out, sign and date form found at Attachment H, if
applicable.
6. Certification Regarding Environmental Tobacco Smoke
Applicants must sign and return the certification, found at
Attachment J, with their applications.
7. 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 500 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.
8. 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 5c 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 sub-priority areas 1.1, 1.2, 1.4, or 2.1, contains only
one project; (3) the amount of funds requested does not exceed the
limits indicated in Part C, Section 2b for the appropriate sub-priority
area; (4) (Sub-Priority Areas 1.1, 1.2, and 1.4) 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, 1.4 and 1.5
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. Business Plan
The application must contain a detailed and specific Business Plan
(to include an Executive Summary) that is both sound and feasible. (For
those applicants submitting proposals under Sub-Priority Areas 1.5, and
1.6, a Work Plan will be accepted in lieu of the Business Plan.) 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 business plan will be evaluated according to Criteria III, IV, and
V set forth in Part D of this announcement: Project Implementation,
[[Page 16332]]
Significant and Beneficial Impact, and Public-Private Partnerships.
Projects funded under this announcement must be designed to
produce permanent and measurable results. The OCS grant funds, in
combination with private and/or other public resources, must be
targeted into low-income, distressed communities, and/or designated
empowerment zones or enterprise communities. 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, 1.2, and 1.4
Applications submitted under Sub-Priority Areas 1.1, 1.2 and 1.4
which propose to use the requested OCS funds to make an equity
investment or a loan to a business concern, including a wholly-owned
subsidiary, or to make a sub-grant with a portion of 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, 1.2, and 1.4
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
[[Page 16333]]
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 especially those for
low-income people during the grant period;
--Number of jobs 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 1.5 Only
An applicant in this priority area must document its experience
and capability in several of the following areas:
--Business/Development;
--Micro-Entrepreneurship Development;
--Commercial Development;
--Organizational and Staff Development;
--Board Training;
--Business Management, including Strategic Planning and Fiscal
Management;
--Finance, including Business Packaging and Financial/Accounting
Services, and/or
--Regulatory Compliance including Zoning and Permit Compliance
--Incubator Development
--Tax Credits and Bond Financing
--Marketing
The applicant must document staff competence or the accessibility
of third party resources with proven competence. If the work program
requires the significant use of third party (consultant/contractor)
resources, those resources should be identified and resumes of the
individuals or key organizational staff provided. Resumes of the
applicant's staff, who are to be directly involved in programmatic and
administrative expertise sharing, should also be included. The
applicant must document successful experience in the mobilization of
resources (both cash and in-kind) from private and public sources. The
applicant must also clearly state how the information learned from this
project may be disseminated to other interested grantees.
Applicable to Sub-Priority Area 1.6 Only
An applicant in this priority area must document its experience and
capability in implementing projects national in scope and have
significant and relative experiences in working with Community
Development Corporations.
The applicant must have the ability to collect and analyze data
nationally that may benefit CDCs and be able to disseminate information
to all of OCS funded grantees; publish a national directory of funding
sources for CDCs (public, corporate, foundation, religious); publish
research papers on specific aspects of job creation by CDCs; design and
provide information on successful projects and economic niches that
CDCs can target. The applicant will also be responsible for the
development of instructional programs, national conferences, seminars,
and other activities to assist community development corporations; and
provide peer-to-peer technical assistance to OCS funded CDCs.
Applicable to Sub-Priority Area 2.1
Each applicant must include a full discussion of how the proposed
use of funds will enable low-income rural communities to develop the
capability and expertise to establish and maintain affordable, adequate
and safe water and waste water systems. Applicants must also discuss
how they will disseminate information about water and waste water
programs serving rural communities, and how they will better coordinate
Federal, State, and local water and waste water program financing and
development to assure improved service to rural communities.
Among the benefits that merit discussion under this sub-priority
area are: The number of rural communities to be provided with technical
and advisory services; the number of rural poor individuals who are
expected to be directly served by applicant-supported improved water
and waste water systems; the decrease in the number of inadequate water
systems related to applicant activity; the number of newly-established
and applicant-supported treatment systems (all of the above may be
expressed in terms of equivalent connection units); the increase in
local capacity in engineering and other areas of expertise; and the
amount of non-discretionary program dollars expected to be mobilized.
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
[[Page 16334]]
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 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 1, 1996.
Donald Sykes,
Director, Office of Community Services.
Attachment A.--1996 Poverty Income Guidelines for All States (Except
Alaska and Hawaii) and the District of Columbia
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1............................................................ $7,470
2............................................................ 10,030
3............................................................ 12,590
4............................................................ 15,150
5............................................................ 17,710
6............................................................ 20,270
7............................................................ 22,830
8............................................................ 25,390
For family units with more than 8 members add $2,580 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
Poverty Income Guidelines for Alaska
------------------------------------------------------------------------
1............................................................ 9,340
2............................................................ 12,540
3............................................................ 15,740
4............................................................ 18,940
5............................................................ 22,140
6............................................................ 25,340
7............................................................ 28,540
8............................................................ 31,740
For family units with more than 8 members, add $3,200 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in figures above.)
------------------------------------------------------------------------
Poverty Guidelines for Hawaii
------------------------------------------------------------------------
1............................................................ 8,610
2............................................................ 11,550
3............................................................ 14,490
4............................................................ 17,430
5............................................................ 20,370
6............................................................ 23,310
7............................................................ 26,250
8............................................................ 29,190
For family units with more than 8 members add $2,940 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above.)
------------------------------------------------------------------------
BILLING CODE 4184-01-P
[[Page 16335]]
[GRAPHIC] [TIFF OMITTED] TN12AP96.000
BILLING CODE 4184-01-C
[[Page 16336]]
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Entry Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation for contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project, if more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 16337]]
[GRAPHIC] [TIFF OMITTED] TN12AP96.001
[[Page 16338]]
[GRAPHIC] [TIFF OMITTED] TN12AP96.002
BILLING CODE 4184-01-C
[[Page 16339]]
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6K--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment D--Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers,
[[Page 16340]]
or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are no limited to: (a) Title VI
of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i)
any other nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being made; and
(j) the requirements of any other nondiscrimination statute(s) which
may apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. Secs.
7401 et seq.); (g) protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended, (P.L.
93-523); and (h) protection of endangered species under the
Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
----------------------------------------------------------------------
Signature of authorized certifying official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant organization
----------------------------------------------------------------------
Date submitted
Attachment E--U.S. Department of Health and Human Services--
Certification Regarding Drug-Free Workplace Requirements
Grantees Other Than Individuals
By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
This certification is required by regulations implementing the
Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The
regulations, published in the May 25, 1990 Federal Register, require
certification by grantees that they will maintain a drug-free
workplace. The certification set out below is a material
representation of fact upon which reliance will be placed when the
Department of Health and Human Services (HHS) determines to award
the grant. If it is later determined that the grantee knowingly
rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, HHS, in addition to any
other remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act. False certification or
violation of the certification shall be grounds for suspension of
payments, suspension or termination of grants, or governmentwide
suspension or debarment.
Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios.)
If the workplace identified to HHS changes during the
performance of the grant, the grantee shall inform the agency of the
changes(s), if it previously identified the workplaces in question
(see above).
Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
[[Page 16341]]
``Controlled substance'' means a controlled substance in
Schedules I through V of the Controlled Substances Act (21 USC 812)
and as further defined by regulation (21 CFR 1308.11 through
1308.15).
``Conviction'' means a finding of guilt (including a plea of
nolo contendere) or imposition of sentence, or both, by any judicial
body charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
``Criminal drug statute'' means a Federal or non-Federal
criminal statute involving the manufacture, distribution,
dispensing, use, or possession of any controlled substance;
``Employee'' means the employee of a grantee directly engaged in
the performance of work under a grant, including: (i) All ``direct
charge'' employees; (ii) all ``indirect charge'' employees unless
their impact or involvement is insignificant to the performance of
the grant; and, (iii) temporary personnel and consultants who are
directly engaged in the performance of work under the grant and who
are on the grantee's payroll. This definition does not include
workers not on the payroll of the grantee (e.g., volunteers, even if
used to meet a matching requirement; consultants or independent
contractors not on the grantee's payroll; or employees of
subrecipients or subcontractors in covered workplaces).
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about:
(1) The dangers of drug abuse in the workplace; (2) The
grantee's policy of maintaining a drug-free workplace; (3) Any
available drug counseling, rehabilitation, and employee assistance
programs; and, (4) The penalties that may be imposed upon employees
for drug abuse violations occurring in the workplace.
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will:
(1) Abide by the terms of the statement; and, (2) Notify the
employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five
calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted:
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or, (2)
Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
The grantee may insert in the space provided below the site(s)
for the performance of work done in connection with the specific
grant (use attachments, if needed):
Place of Performance (Street address, City, County, State, ZIP Code
----------------------------------------------------------------------
----------------------------------------------------------------------
Check ____ if there are workplaces on file that are not identified
here.
Sections 76.630(c) and (d)(2) and 76.635 (a)(1) and (b) provide
that a Federal agency may designate a central receipt point for
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for
notification of criminal drug convictions. For the Department of
Health and Human Services, the central receipt point is: Division of
Grants Management and Oversight, Office of Management and
Acquisition, Department of Health and Human Services, Room 517-D,
200 Independence Avenue, S.W., Washington, DC 20201.
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 belief 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
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 indicated 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 Transactions'' 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 of
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--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
Fax: (602) 280-1305
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, Fax: (501) 682-5206
[[Page 16342]]
Alabama
Jon C. Strickland, Alabama Department of Economic and Community
Affairs, Planning and Economic Development Division, 401 Adams
Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483,
Fax: (205) 242-5515
California
Grants Coordinator, Office of Planning and Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone: (916)
323-7480, Fax: (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact, Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, Fax: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. and Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, Fax: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, Fax: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, Fax: (404) 656-7938
Illinois
Barbara Beard, State Single Point of Contact, Department of Commerce
and Community Affairs, 620 East Adams, Springfield, Illinois 62701,
Telephone: (217) 782-1671, Fax: (217) 534-1627
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, Fax: (317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, Fax: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, Fax: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, Fax: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, Fax: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, Fax: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, Fax: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, Fax: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
Fax: (603) 271-1728
New Jersey
Gregory W. Adkins, Assistant Commissioner, New Jersey Department of
Community Affairs
Please direct all correspondence and questions about
intergovernmental review to:
Andrew J. Jaskolka, State Review Process, Intergovernmental Review
Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone:
(609) 292-9025, Fax: (609) 633-2132
New Mexico
Robert Peters, State Budget Division, Room 190, Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, Fax: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, Fax: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about
intergovernmental review to:
Linda Wise, Telephone: (614) 466-0698, Fax: (614) 466-5400
Rhode Island
Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, Fax: (401) 277-2083
Please direct correspondence and questions to:
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, Fax: (803) 734-0385
Texas
Tom Adams, Governor's Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, Fax: (512) 463-1880
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, Fax: (801) 538-1547
Vermont
Nancy McAvoy, State Single Point of Contact, Pavilion Office
Building, 109 State Street, Montpelier, Vermont 05609, Telephone:
(802) 828-3326, Fax: (802) 828-3339
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, Fax: (304) 558-3248
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,
Fax: (608) 267-6931
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-
7574, Fax: (307) 638-8967
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, Fax: 011-671-472-2825
[[Page 16343]]
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444, (809) 723-6190, Fax: (809) 724-3270, (809) 724-3103
North Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Linda Clarke, Telephone: (809) 774-0750, Fax: (809) 776-0069
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 the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontractors, 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 required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
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[GRAPHIC] [TIFF OMITTED] TN12AP96.003
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Attachment I
Optional Checklist (for Use of Applicant Only) to Verify Contents
of Application
------------------------------------------------------------------------
Check
------------------------------------------------------------------------
A. Application contains:
1. Table of Contents............................... [ ]
2. A Project Abstract (no more than 200 words)..... [ ]
3. Completed SF-424, Application for Federal
Assistance........................................ [ ]
4. Completed SF-424A, Budget Information--Non-
construction Programs............................. [ ]
5. Signed SF 424B, Assurances--Non-Construction
Programs.......................................... [ ]
6. A project narrative with the following
components:
a. Analysis of need............................ [ ]
b. Project design.............................. [ ]
c. Organizational experience in program........ [ ]
d. Management history.......................... [ ]
e. Staffing and resources (resume or job
description).................................. [ ]
f. Staff responsibilities...................... [ ]
7. Relevant portions of the organization's By-Laws
or Articles of Incorporation confirming
eligibility....................................... [ ]
8. A signed copy of Certification Regarding the
Anti-Lobbying Provision........................... [ ]
9. A completed Disclosures of Lobbying Activities
Form, if appropriate.............................. [ ]
10. A self-addressed mailing label which can be
used to acknowledge receipt of application........ [ ]
B. Application does not exceed a total of 30 pages..... [ ]
C. Application includes one original and four copies,
printed on white 8-\1/2\ by 11 inch paper............. [ ]
D. Applicant is aware that in signing and submitting
the application for funds under the CFN Program, it is
certifying that it has read and understood the Federal
Guidelines concerning a drug-free workplace, the
debarment regulations, and environmental tobacco
smoke, set forth in Attachments C, D and E
respectively.......................................... [ ]
------------------------------------------------------------------------
Attachment J--Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor facility owned or
leased or contracted for by an entity and used routinely or
regularly for the provision of health, day care, education, or
library services to children under the age of 18, if the services
are funded by Federal programs either directly or through State or
local governments, by Federal grant, contract, loan, or loan
guarantee. The law does not apply to children's services provided in
private residences, facilities funded solely by Medicare or Medicaid
funds, and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that is will require the language
of the certification be included in any subawards which contain
provisions for children's services and that all subgrantees shall
certify accordingly.
Attachment K--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 ``Assurances--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 1.5)
(c) Organizational Experience in Program Area and Staff
Responsibilities
(1) Organizational experience in program area
(2) Staff Skills, Resources and Responsibilities
(d) Project Implementation (Business Plan)
(1) The Business and Its Industry
(2) Products and Services
(e) Significant and Beneficial Impacts
(1) Significant and Beneficial Impacts
(2) Cost Per Job
(3) Career Development Opportunities
(f) Public/Private Partnerships
(g) Budget Appropriateness and Reasonableness
(h) Appendices (including relevant sections of By-Laws and/or
Articles of Incorporation which confirm applicant's eligibility as a
CDC; 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; anti-smoking assurance; and a disclosure of
lobbying activities.
6. A signed copy of ``Certification Regarding Anti-Lobbying
Activities.''
7. A completed ``Disclosures of Lobbying Activities'', if
appropriate; and
8. 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 65 pages for
applications submitted under sub-priority areas 1.1, 1.2, and 1.4
and 30 pages for all applications submitted under the other sub-
priority 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. 96-8594 Filed 4-11-96; 8:45 am]
BILLING CODE 4184-01-P