38336 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. OCS–2001–

01]

Request for Applications for the Office

of Community Services’ Fiscal Years

2000 (Supplementary) and 2001

Discretionary Grants Programs

AGENCY: Office of Community Services,

Administration for Children and

Families, Department of Health and

Human Services.

ACTION: Request for applications for the

Office of Community Services’

Discretionary Awards.

SUMMARY: The Administration for

Children and Families (ACF), Office of

Community Services (OCS), announces

that competing applications will be

accepted for new grants pursuant to the

Secretary’s discretionary authority

under sections 680(a) of the Community

Services Block Grant Act of 1981, as

amended. Included in the Program

Announcement are programs to be

funded with FY 2001 discretionary

funds (Urban and Rural Community

Economic Development and Rural

Community Facilities Development).

Also included are programs to be

funded with unobligated FY 2000

discretionary funds.

Since FY 2000 funds must be

obligated by September 30, 2000 and FY

2001 funds (if appropriated) by

September 30, 2001, this Program

Announcement includes separate

closing dates for applications for each

fiscal year’s funds.

Closing Date: The closing date for

submission of applications for Fiscal

Year 2000 funds (Sub-Priority Area

1.1A, 1.1B, and 1.3A, and 2.1A) is

August 4, 2000. The closing date for

submission of applications for Fiscal

Year 2001 funds (Sub-Priority Areas 1.1,

1.2, 1.3, 1.4, 1.5, 1.6, and 2.1) is October

20, 2000. Mailed applications

postmarked after the appropriate closing

date will be classified as late.

Application Submission:

Mailing Address: Discretionary

applications must be mailed to the U.S.

Department of Health and Human

Services, Administration for Children

and Families, Office of Grants

Management/OCSE, 4th Floor West,

Aerospace Center, 370 L’Enfant

Promenade, S.W., Washington, D.C.

20447; Attention: Discretionary Grants

Program.

Submission Instructions: Mailed

applications shall be considered as

meeting an announced deadline if they

are either received on or before the

closing date or postmarked on or before

the closing date and received by ACF in

time for the independent review.

Applications mailed must bear a

legibly dated U.S. Postal Service

postmark or a legibly dated, machine

produced postmark of a commercial

mail service affixed to the envelope/

package containing the application(s).

To be deemed acceptable as proof of

timely mailing, a postmark from a

commercial mail service must include

the logo/emblem of the commercial mail

service company and must reflect the

date the package was received by the

commercial mail service company from

the applicant. Private metered

postmarks shall not be acceptable as

proof of timely mailing. (Applicants are

cautioned that express/overnight mail

services do not always deliver as

agreed.)

Applications handcarried by

applicants, applicant couriers, or by

other representatives of the applicant

shall be considered as meeting an

announced deadline if they are received

on or before the closing date, between

the hours of 8 a.m. and 4:30 p.m., EST,

at the U.S. Department of Health and

Human Services, Administration for

Children and Families, Office of Grants

Management/OCSE, ACF Mailroom, 2nd

Floor Loading Dock, Aerospace Center,

901 D Street, SW., Washington, DC

20024, between Monday and Friday

(excluding Federal holidays). The

address must appear on the envelope/

package containing the application with

the note Attention: Discretionary Grants

Program. (Applicants are again

cautioned that express/overnight mail

services do not always deliver as

agreed.)

ACF cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ACF electronically will not be accepted

regardless of date or time of submission

and time of receipt.

Late applications: Applications that

do not meet the criteria above are

considered late applications. ACF shall

notify each late applicant that its

application will not be considered in

the current competition.

Extension of deadlines: ACF may

extend application deadlines when

circumstances such as acts of God

(floods, hurricanes, etc.) occur, or when

there are widespread disruptions of the

mail service. Determinations to extend

or waive deadline requirements rest

with ACF’s Chief Grants Management

Officer.

Number of Copies Required: One

signed original application and four

copies must be submitted at the time of

the initial submission. (OMB–0970–

0062, which expires 10/31/2001).

The first page of the SF–424 must

contain in the lower right-hand corner,

a designation indicating under which

sub-priority area funds are being

requested (for example UR for 1.1, URA

for 1.1A, URNA for 1.1B, HB for 1.2, PD

for 1.3, HPD for 1.3A, DD for 1.4, AM

for 1.5, UT for 1.6, RF for 2.1, or RFA

for 2.1A. See Part G, section 1, item 11

for details. (See Part C for a description

of each of the sub-priority areas.)

For general questions on the

announcement, Contact:

Kaaren Turner—(202) 260–5683

David Matthews—(202) 401–5271

Walter Thaxton—(202) 401–5269

Bobby Malone—(202) 401–5270

Calvin Brockington—(202) 401–5273

Debra Brown—(202) 401–3446

Thelma Woodland—(202) 401–5294

Ruth Walston—(202) 401–9340

For a copy of the announcement,

Contact: Administration for Children

and Families, Office of Community

Services, 370 L’Enfant Promenade, SW.,

5TH Floor West, Washington, DC 20447,

(202) 401–9345, (202) 401–9354, (202)

401–4687 (fax).

In addition, the announcement is

accessible on the OCS web site for

reading or downloading at: http://

www.acf.dhhs.gov/programs/ocs/

kits1.htm

The Catalog of Federal Domestic

Assistance number for this program is

93.570. The title is Community Services

Block Grant—Discretionary Awards.

Table of Contents

Part A—Preamble

1. Legislative Authority

2. Departmental Goals

3. Definitions of Terms

Part B—Application Prerequisites

1. Eligible Applicants

2. Availability of Funds

3. Project and Budget Periods

4. Mobilization of Resources

5. Program Beneficiaries

6. Number of Projects in Application

7. Multiple Submittals

8. Subawarding Projects

9. Third Party Agreements

10. Funding Considerations

11. Prohibited Activities

Part C—Program Priority Areas

Part D—Criteria for Review and Evaluation

of All Applications

1. Criteria for Review and Evaluation of All

Applications Submitted Under SubPriority Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38337

2. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Areas 1.3 and 1.3A

3. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.5

4. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.6

5. Criteria for Review and Evaluation of All

Applications Under Sub-Priority Areas 2.1

and 2.1A

Part E—Application Procedures

1. Availability of Forms

2. Intergovernmental Review

3. Application Consideration

4. Criteria for Screening Applications

Part F—Contents of Application and Receipt

Process

1. Contents of Application

2. Acknowledgment of Receipt

Part G—Instructions for Completing

Application Package

1. SF–424 Application for Federal Assistance

2. SF–424A Budget Information—NonConstruction Programs

Part H—Post Award Information and

Reporting Requirements

1. Notification of Grant Award

2. Attendance at OCS Training Conference

3. Reporting Requirements

4. Audit Requirements

5. Lobbying

6. Applicable Federal Regulations

Attachments

A—2000 Poverty Income Guidelines

B—Standard Form 424, Application for

Federal Assistance

C—Standard Form 424A, Budget

Information—Non-Construction Programs

D—Standard Form 424B, Assurances—NonConstruction Programs

E—Certification Regarding Drug-Free

Workplace Requirements

F—Certification Regarding Debarment,

Suspension and Other Responsibility

Matters

G—State Single Point of Contact List

H—Certification Regarding Lobbying;

Disclosure of Lobbying Activities, SF–LLL

I—DHHS Regulations Applying to All

Applicants/Grantees Under the Fiscal Year

2000 (Supplementary) and Fiscal Year

2001 Discretionary Grants Programs

J—Certification Regarding Environmental

Tobacco Smoke

K—Guidelines for a Business Plan

L—Table of Standard Industrial Codes and

Occupational Classifications

M—Applicant’s Checklist

Part A—Preamble

1. Legislative Authority

The Community Services Block Grant

Act of 1981, as amended, (Section 680

of the Community Opportunities,

Accountability, and Training and

Educational Services (COATS) Act of

1998, authorizes the Secretary to make

grants to provide technical and financial

assistance for economic development

activities designed to address the

economic needs of low-income

individuals and families, conduct rural

community development activities and

conduct neighborhood innovation

projects.

2. Departmental Goals

This announcement is particularly

relevant to the Departmental goal of

strengthening the American family and

promoting self-sufficiency. These

programs have objectives of increasing

the access of low-income people to

employment and business development

opportunities, and improving the

integration, coordination, and

continuity of the various HHS (and

other Federal Departments’) funded

services potentially available to families

living in poverty.

3. Definitions of Terms

For purposes of this Program

Announcement, the following

definitions apply:

—Budget period: The interval of time

into which a grant period of

assistance is divided for budgetary

and funding purposes.

—Building deconstruction: The

systematic disassembly of residential

and commercial buildings.

—Cash contributions: The cash outlay

that includes the money contributed

to the project or program by the

recipient and third parties.

—Community development corporation

(CDC): A private, non-profit

corporation, governed by a board of

directors consisting of residents of the

community and business and civic

leaders, that has as a principal

purpose planning, developing, or

managing low-income housing or

community development projects.

—Community economic development

(CED): A process by which a

community uses resources to attract

capital and increase physical,

commercial, and business

development and job opportunities

for its residents.

—Construction projects: For the purpose

of this announcement, construction

projects involve land improvements

and development or major renovation

of (new or existing) facilities and

buildings, including their

improvements, fixtures and

permanent attachments.

—Displaced worker: An individual who

is in the labor market but has been

unemployed for six months or longer.

—Distressed community: A geographic

urban neighborhood or rural

community of high unemployment

and pervasive poverty.

—Eligible applicant: (See appropriate

Program Priority Area under Part C.)

—Employment education and training

program: A program that provides

education and/or training to welfare

recipients, at-risk youth, public

housing tenants, displaced workers,

homeless and low-income individuals

and that has demonstrated

organizational experience in

education and training for these

populations.

—Empowerment Zones and Enterprise

Communities (EZ/EC): Those

communities designated as such by

the Secretary of Agriculture or

Housing and Urban Development.

—Equity investment: The provision of

capital to a business entity for some

specified purpose in return for a

portion of ownership using a third

party agreement as the contractual

instrument.

—Indian tribe: A tribe, band, or other

organized group of Indians recognized

in the State in which it resides or

which is considered by the Secretary

of the Interior to be an Indian tribe or

an Indian organization for any

purpose. For the purpose of Priority

Area 1.0 (Urban and Rural

Community Economic Development),

an Indian tribe or Indian organization

is ineligible unless the applicant

organization is a private non-profit

community economic development

corporation.

—Job creation: New jobs, i.e. jobs not in

existence prior to the start of the

project, that result from new business

startups, business expansion,

development of new services

industries, and/or other newlyundertaken physical or commercial

activities.

—Job placement: Placing a person in an

existing vacant job of a business,

service, or commercial activity not

related to new development or

expansion activity.

—Letter of commitment: A signed letter

or agreement from a third party to the

applicant that pledges financial or

other support for the grant activities

only subject to receiving an award of

OCS grant funds.

—Loan: Money lent to a borrower under

a binding pledge for a given purpose

to be repaid, usually at a stated rate

of interest and within a specified

period of time.

—Poverty Income Guidelines:

Guidelines published annually by the

U.S. Department of Health and

Human Services that establish the

level of poverty defined as lowincome for individuals and their

families.

38338 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

—Program income: Gross income

earned by the grant recipient that is

directly generated by an activity

supported with grant funds.

—Project period: The total time for

which a project is approved for OCS

support, including any approved

extensions.

—Revolving loan fund: A capital fund

established to make loans whereby

repayments are re-lent to other

borrowers.

—Self-employment: The state of an

individual or individuals who engage

in self-directed economic activities.

—Self-sufficiency: The economic state

not requiring public assistance for an

individual and his (her) immediate

family.

—Subaward: An award of financial

assistance in the form of money, or

property in lieu of money, made

under an award by a recipient to an

eligible sub-recipient or by a subrecipient to a lower tier sub-recipient.

The term includes financial assistance

when provided by any legal

agreement, even if the agreement is

called a contract, but does not include

procurement of goods and services

nor does it include any form of

assistance which is excluded from the

definition of ‘‘award’’ in 45 CFR 74.2.

Note: Subawards do not include equity

investments or loan transactions since they

are promulgated under third party

agreements.

—Technical assistance: A problemsolving event generally utilizing the

services of an expert. Such services

may be provided on-site, by

telephone, or by other

communications. These services

address specific problems and are

intended to assist with the immediate

resolution of a given problem or set of

problems.

—Temporary Assistance to Needy

Families (TANF): Title I of the

Personal Responsibility and Work

Opportunity Reconciliation Act of

1996 (P.L. 104–193) creates the TANF

program that transforms welfare into

a system that requires work in

exchange for time-limited assistance.

The law specifically eliminates any

individual entitlement to or guarantee

of assistance, repeals the Aid to

Families with Dependent Children

(AFDC) program, Emergency

Assistance (EA) and Job Opportunities

and Basic Skills Training (JOBS)

programs, and replaces them with a

block grant entitlement to States

under Title IV–A of the Social

Security Act.

—Third party: Any individual,

organization, or business entity that is

not the direct recipient of grant funds.

—Third party agreement: A written

agreement entered into by the grantee

and an organization, individual or

business entity (including a whollyowned subsidiary), by which the

grantee makes an equity investment or

a loan in support of grant purposes.

—Third party in-kind contributions: The

value of non-cash contributions

provided by non-federal third parties

which may be in the form of real

property, equipment, supplies and

other expendable property, and the

value of goods and services directly

benefiting and specifically

identifiable to the project or program.

Part B—Application Prerequistes

1. Eligible Applicants

Priority areas included in this

Program Announcement have differing

eligibility requirements. Therefore,

eligible applicants are identified in the

narrative descriptions of each subpriority area found in Part C. Applicant

must submit proof of non-profit status

in its application at the time of

submission. The non-profit agency can

accomplish this by providing a copy of

the applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

Section 501(c)(3) of the IRS tax code.

Applications that do not include proof

of this status will be disqualified.

2. Availability of Funds

Appropriation Amounts

Approximately $3,900,000 in funds

appropriated for FY 2000 is available.

Approximately $26,560,000 is

expected to be available for FY 2001.

However, all grant awards for FY 2001

are subject to the availability of

appropriated funds.

The grant funding levels or ranges and

the approximate number of grants to be

made under each sub-priority area are

indicated in the narrative description of

each area in Part C.

3. Project and Budget Periods

For Sub-Priority Areas 1.1, 1.1A, 1.1B,

1.2, and 1.4, applicants with projects

involving construction only may request

a project period of up to 60 months and

a budget period of up to 36 months.

Applicants for non-construction projects

under these priority areas may request

project periods of up to 36 months and

budget periods of up to 17 months.

Applicants for Sub-Priority Areas 1.5

and 1.6 may request project and budget

periods of up to 17 months. For SubPriority Areas 1.3 and 1.3A, applicants

may request project and budget periods

of up to 12 months.

For Sub-Priority Areas 2.1 and 2.1A,

grantees will be funded for 24 month

project periods and 12 month budget

periods.

4. Mobilization of Resources

OCS encourages and strongly

supports leveraging of resources through

public/private partnerships that can

mobilize cash and/or third-party in-kind

contributions.

5. Program Beneficiaries

Projects proposed for funding under

this announcement must result in direct

benefits to low-income people as

defined in the most recent annual

revision of the Poverty Income

Guidelines published by DHHS.

Attachment A to this announcement

is an excerpt from the Poverty Income

Guidelines currently in effect. Annual

revisions of these guidelines are

normally published in the Federal

Register in February or early March of

each year. Grantees will be required to

apply the most recent guidelines

throughout the project period. These

revised guidelines may be obtained at

public libraries, Congressional offices,

or by writing the Superintendent of

Documents, U.S. Government Printing

Office (GPO), Washington, D.C. 20402.

Also, see staff members listed under

‘‘For General Questions On the

Announcement, Contact’’ at the

beginning of this announcement.

No other government agency or

privately-defined poverty guidelines are

applicable for the determination of lowincome 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

All Priority Area 1.0 applications may

contain only one project except for SubPriority Areas 1.3, 1.3A, 1.5, and 1.6.

Applications that are not in compliance

with this requirement may be

disqualified.

7. Multiple Submittals

There is no limit to the number of

applications that can be submitted

under a specific program priority area as

long as each application contains a

proposal for a different project.

However, an applicant can receive only

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38339

one grant in each priority area. Also,

applicants who receive more than one

grant for a common budget/project

period must be mindful that salaries and

wages claimed for the same persons

cannot collectively exceed 100% of total

annual salary.

8. Subawarding Projects

OCS does not fund projects where the

role of the applicant is primarily to

serve as a conduit for funds through the

use of subawards to other organizations.

In cases where the applicant proposes to

make one or more subawards, it must

retain a substantive role in the

implementation and operation of the

project for which funding is requested.

9. Third Party Agreements

Any applicant submitting a proposal

for funding under Sub-Priority Areas

1.1, 1.1A, 1.1B, 1.2, or 1.4 who proposes

to use some or all of the requested OCS

funds to enter into a third party

agreement in order to make an equity

investment (such as the purchase of

stock) or a loan to an organization or

business entity (including a whollyowned subsidiary), must include in the

application, along with the business

plan, a copy of the signed third party

agreement for approval by OCS. (See

last paragraph of this section in those

instances where a signed third party

agreement is not available when the

application is submitted.)

• A third party agreement coverinig

an equity investment must contain, at a

minimum, the following:

1. The type of equity transaction (e.g.

stock purchase).

2. Purpose(s) for which the equity

investment is being made.

3. Cost per share.

4. Number of shares being purchased.

5. Percentage of ownership of the

business.

6. Number of sets on the board, if

applicable.

• A third party agreement covering a

loan transaction must contain, at a

minimum, the following information:

1. Purpose(s) for which the loan is being

made.

2. Rates of interest and other fees.

3. Terms of loan.

4. Repayment schedules.

5. Collateral security.

6. Default and collection procedures.

• All third party agreements must

include written commitments as

follows:

From the third party (as appropriate):

1. A minimum of 75% of the jobs to

be created as a result of the injection of

grant funds will be filled by low-income

individuals.

2. The grantee will have the right to

screen applicants for jobs to be filled by

low-income individuals and to verify

their eligibility.

3. If the grantee’s equity investment

equals 25% or more of the business’s

assets, the grantee will have

representation on the board of directors.

4. Reports will be made to the grantee

regarding the use of grant funds on a

quarterly basis or more frequently, if

necessary.

5. A procedure will be developed to

assure that there are no duplicate counts

of jobs created.

6. Detailed information will be

provided on how the grant funds will be

used by the third party by submitting a

Source and Use of Funds Statement. In

addition, the agreement must provide

details on how the grantee will provide

support and technical assistance to the

third party in areas of recruitment and

retention of low-income individuals.

From the grantee:

Detailed information on how the

grantee will provide support and

technical assistance to the third party in

areas of recruitment and retention of

low-income individuals.

• All third party agreements should

be accompanied by:

(1) A signed statement from a

Certified or Licensed Public Accountant

as to the sufficiency of the third party’s

financial management system in

accordance with 45 CFR 74, to protect

adequately any federal funds awarded

under the application.

(2) Financial statements for the third

party organization for the prior three

years. (If not available because the

organization is a newly-formed entity,

include a statement to this effect.)

(3) The third party agreement will

specify how the grantee will provide

oversight of the third party for the life

of the agreement. Also, the agreement

will specify that the third party will

maintain documentation related to the

grant objectives as specified in the

agreement and will provide the grantee

and HHS access to that documentation.

If a signed third party agreement is

not available when the application is

submitted, the applicant must submit as

part of the narrative as much of the

above-mentioned information as

possible in order to enable reviewers to

evaluate the proposal. It should be

noted that that portion of a grant, which

will be used to fund a third party

agreement, will not be released until the

agreement has been approved by OCS.

10. Funding Considerations

In cases where an application ranks

highly and is competitive, the following

may apply:

(1) When the applicant is proposing to

enter into a third party agreement for all

of the grant’s operational funds, OCS

will send a time-limited letter of intent

to fund pending receipt of a signed third

party agreement. Once OCS has

determined that the agreement is

acceptable, an award will be forwarded

to the applicant.

(2) Previous performance of

applicants will be considered an

important determining factor in the

grant award decisions.

(3) Any applicant that has three or

more active OCS grants may only be

funded under exceptional

circumstances.

(4) Pre-award site visits may be

performed for the purpose of

undertaking assessments of many of

these applications prior to OCS making

final determinations on grant awards.

(5) OCS will consider applications

that include revolving loan funds as a

grant activity.

11. Prohibited Activities

OCS will not consider applications

that propose the establishment of Small

Business Investment Corporations or

Minority Enterprise Small Business

Investment Corporations.

Part C—Program Priority Areas

The program priority areas of the

Office of Community Services’

Discretionary Grants Program, and

funds available for each sub-priority

area, are as follows:

Sub-priority areas FY 2000 funds FY 2001 funds

Priority Area 1.0: Urban and Rural Community Economic Development

1.1 Urban and Rural Community Economic Development (Operational) (FY 2001) ........................................... ........................ $17,000,000

1.1A Urban and Rural Community Economic Development (Operational) (FY 2000) ......................................... 3,000,000 ........................

1.1B Urban and Rural Community Economic Development (Native Americans) (FY 2000) ............................... 300,000 ........................

1.2 Urban and Rural Community Economic Development (HBCU Set-Aside) (FY 2001) .................................. ........................ 2,100,000

1.3 Urban and Rural Community Economic Development (Pre-Developmental Set-Aside) (FY 2001) .............. ........................ 750,000

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Sub-priority areas FY 2000 funds FY 2001 funds

1.3A Urban and Rural Community Economic Development (Pre-Developmental Set-Aside) (FY 2000) ............ 300,000 ........................

1.4 Urban and Rural Community Economic Development (Developmental Set-Aside) (FY 2001) ..................... ........................ 2,500,000

1.5 Administrative and Management Expertise (Set-Aside) (FY 2001) ................................................................ ........................ 500,000

1.6 Training and Technical Assistance (Set-Aside) (FY 2001) ............................................................................ ........................ 210,000

Priority Area 2.0: Rural Community Development Activities

2.1 Rural Community Facilities (Water and Waste Water Treatment Systems Development) (FY 2001) .......... ........................ 3,500,000

2.1A Rural Community Facilities (Water and Waste Water Treatment Systems Development) (FY 2000) ........ 300,000

Priority Area 1.0 Urban and Rural

Community Economic Development

Eligible applicants are private, nonprofit 501(c)(3) community

development corporations (CDCs)

governed by a board consisting of

residents of the community and

business and civic leaders that has as a

principal purpose planning, developing,

or managing low-income housing or

community development projects.

The purpose of this priority area is to

encourage the creation of projects

intended to provide employment and

business development opportunities for

low-income people through business,

physical or commercial development.

Generally the opportunities must aim to

improve the quality of the economic and

social environment of TANF recipients;

low-income residents including

displaced workers; at-risk teenagers;

non-custodial parents, particularly those

of children receiving TANF assistance;

individuals residing in public housing;

individuals who are homeless; and

individuals with developmental

disabilities. Grant funds under this

priority area are intended to provide

resources to eligible applicants (CDCs)

but also have the broader objectives of

arresting tendencies toward

dependency, chronic unemployment,

and community deterioration in urban

and rural areas.

Sub-Priority Area 1.5 is intended to

provide administrative and management

expertise to current Office of

Community Services’ grantees who are

experiencing problems in the

implementation of urban and rural

community economic development

projects.

Sub-Priority Area 1.6 makes funds

available to provide training and

technical assistance to groups of

community development corporations

in developing or implementing projects

funded under this section; its aim is to

generally enhance the viability and

competence of community development

corporations.

This priority area also seeks to attract

additional private capital into distressed

communities, including empowerment

zones and enterprise communities, and

to build and/or expand the ability of

local institutions to better serve the

economic needs of local residents.

1. Urban and Rural Community

Economic Development (Operational)

a. Urban and Rural Community

Economic Development (Operational—

FY 2001) (Sub-Priority Area 1.1)

Funds will be provided to a limited

number of private, non-profit, 501(c)(3)

community development corporations

for business development activities at

the local level. Funding will be

provided for specific projects and will

require the submission of business plans

or work plans, where applicable, that

meet the test of economic feasibility.

Attachment K should be used as a

guideline for the business plan.

The applicant should select a project

in an industry in its region that

promotes economic sustainability and

self-sufficiency for families in the lowincome community.

Projects must further the

Departmental goals of strengthening

American families and promoting their

self-sufficiency. OCS is particularly

interested in receiving applications that

involve public-private partnerships that

are directed toward the development of

economic self-sufficiency in distressed

communities through projects that focus

on providing employment and business

development opportunities for lowincome people through business

startups, business expansions,

development of new services industries,

and/or other newly-undertaken physical

and commercial activities.

Applicants are encouraged to foster

partnerships with child support

enforcement agencies to increase the

capability of low-income non-custodial

parents, particularly those of children

receiving TANF assistance, to fulfill

their parental responsibilities. Such

applicants may request funds for a

business development project or a

project that demonstrates innovative

ways to create jobs for low-income

persons in the targeted group or

community.

See other applicable requirements

under 1.d., below.

Eligible organizations located in

Empowerment Zones and Enterprise

Communities are urged to submit

applications.

For Fiscal Year 2001, it is anticipated

that approximately 30 grants up to a

maximum of $349,999 will be awarded

and approximately 13 grants of

$350,000 but not more than $500,000

will be made. Competition for these

funds will be restricted to either the

$349,999 and under category or the

$350,000 up to $500,000 category.

Applicants will compete within the

category in which they fall.

b. Urban and Rural Community

Economic Development (Operational—

FY 2000) (Sub-Priority Area 1.1A)

Funds will be provided to a limited

number of private, non-profit, 501(c)(3),

community development corporations

under this sub-priority area for purposes

described under section 1.a (SubPriority Area 1.1) above.

In addition, OCS is particularly

interested in receiving applications that

propose a realistic plan for development

of new and innovative businesses that

offer genuine career and

entrepreneurship opportunities to lowincome non-custodial parents as well as

for improving the economic

infrastructure and facilities of the

community. For example:

• One business sector that an

applicant could consider addressing is

that of the construction trades and,

within it, the new and growing subsector of building deconstruction and

materials re-use. Building

deconstruction offers new opportunities

for career and new enterprises and

provides an excellent training ground

for employment in the wider

construction field where there are

serious and growing shortages of trained

workers throughout the United States. It

also offers opportunities for significant,

vertically integrated enterprise

development through materials salvage,

recycling, re-use and re-manufacturing.

• Another new business sector that

might be considered is that of

environmental justice/sustainable

community development which

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38341

includes businesses developed to

address lead abatement in low-income

dwellings; cleanup of toxic wastes or

leaking underground storage tanks;

treatment of low-income dwellings that

combine lead abatement with

weatherization and mitigation of other

hazards such as asbestos or radon;

installation and maintenance of

alternative and renewable energy

technologies in the homes of the poor;

recycling; forest or watershed

restoration; and urban pesticide

programs designed to reduce the use of

toxic pesticides in low-income

communities through integrated pest

management and similar techniques.

• Home health care and housekeeping

care for the elderly and infirm are

businesses for which there is a serious

need and which can create higher than

minimum wage jobs for low-income

workers.

See other applicable requirements

under 1.d., below.

Eligible organizations located in

Empowerment Zones and Enterprise

Communities are urged to submit

applications.

Approximately 7 grants are

anticipated to be made up to $500,000

each under this sub-priority area.

c. Urban and Rural Community

Economic Development (OperationalNative Americans) (Sub-Priority Area

1.1B)

Funds will be provided to three

private, non-profit, 501(c)(3),

community development corporations

that enter into agreements with Native

American tribes to carry out business

development activities, i.e. business

startups, business expansions,

development of new services industries,

and/or other newly-undertaken physical

and commercial activities, on

reservations.

The Native American Tribes with

which the CDCs are partnering will also

be considered for FY 2000 funds from

the Department of Health and Human

Services’ Administration for Native

Americans (ANA).

The applicant should select a project

that promotes economic sustainability

and self-sufficiency for families on the

Reservation where the project will be

implemented.

An application under this sub-priority

area must reflect a significant

partnership role for the tribe. The

application also must contain a written,

signed agreement from an authorized

tribal official confirming the tribe’s

significant involvement in the grant

activities and receipt of FY 2000 funds

from ANA. By entering into a

partnership agreement with a tribe, the

applicant will be considered to have

fulfilled the goal of mobilizing nondiscretionary program dollars under

Criterion V, Public-Private Partnerships,

item (1), and will be granted the

maximum number of points (15) in that

category.

See other applicable requirements

under 1.d., below.

Approximately three (3) grants for

$100,000 each are anticipated to be

made under this sub-priority area.

d. Additional Requirements Applicable

to Sub-Priority Areas 1.1,1.1A,1.1B,1.2,

and 1.4

Applicants must show that the

proposed project:

(1) Creates full-time permanent jobs

except where an applicant demonstrates

that a permanent part-time job produces

actual wages that exceed the HHS

poverty guidelines. Seventy-five percent

(75%) of the jobs created must be filled

by low-income residents of the

community and also must provide for

career development opportunities.

Project emphasis should be on

employment of individuals who are

unemployed or on public assistance,

with particular emphasis on those that

are at-risk teenagers, TANF recipients,

low-income non-custodial parents

(particularly those of children receiving

TANF assistance), individuals residing

in public housing, and individuals who

are homeless. While projected

employment in future years may be

included in the application, it is

essential that the focus of employment

projects concentrates on those

permanent jobs created during the

duration of the OCS project period; and/

or

(2) Creates a significant number of

business development opportunities for

low-income residents of the community

or significantly aids such residents in

maintaining economically viable

businesses; and

(3) Assists low-income participants to

become self-sufficient.

In the evaluation process, favorable

consideration will be given to

applicants under this priority area that

show the lowest cost-per-job created.

Unless there are extenuating

circumstances, OCS will not fund

projects where the cost-per-job in OCS

funds exceeds $15,000.

In addition, favorable consideration in

the evaluation process will be given to

applicants who demonstrate their

intention to coordinate services with the

local TANF offices and/or other

employment education and training

offices and child support enforcement

agencies that serve the proposed area.

The offices and agencies should serve

welfare recipients, at-risk youth, public

housing tenants, displaced workers,

homeless and low-income individuals

(as defined by the annual revision to the

Poverty Income Guidelines published

by DHHS) including non-custodial

parents. Applicants should submit a

written agreement from the applicable

office or agency that indicates what

actions will be taken to integrate/

coordinate services that relate directly

to the project for which funds are being

requested. The agreement should

include the goals and objectives

(including target groups) that the

applicant and the employment

education and training offices and child

support enforcement agencies expect to

reach through their collaboration. It

should describe the cooperative

relationship, including specific

activities and/or actions each of these

entities proposes to carry out in support

of the project, and the mechanism(s) to

be used in coordinating those activities

if the project is funded by OCS.

Documentation that illustrates the

organizational experience of the

employment education and training

offices should also be included.

OCS encourages applications that will

develop linkages or agreements with

local agencies responsible for

administering TANF programs and

child support enforcement agreements.

OCS would expect these programs to

create new jobs for TANF recipients and

low-income non-custodial parents,

particularly those of children receiving

TANF assistance. These initiatives can

be accomplished through a variety of

business development projects funded

under this priority area, i.e., business

expansions, new business development

and self-employment activities, etc.

OCS encourages each applicant to

describe the project scope that includes

the low-income community served, the

business activities undertaken, and

types of jobs to be created. The business

activities should be described by

Standard Industrial Codes (SIC) and jobs

by occupational classifications. This

information is published by the U.S.

Department of Commerce in the

Statistical Abstract of the United States,

1998, Tables No. 679 and 680. Also,

applicant may use the material included

in Attachment L to identify industrial

areas and occupational classifications.

OCS does not fund education and

training programs. In projects where

participants must be trained, any funds

that are proposed to be used for training

purposes must be limited to providing

specific job-related training to those

individuals who have been selected for

employment in the grant supported

project which includes new business

38342 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

startups, business expansions,

development of new service industries,

and/or other newly-undertaken physical

and commercial activities.

Projects involving training and

placement for existing vacant positions

will be disqualified.

Projects that would result in the

relocation of a business from one

geographic area to another with the

possible displacement of employees are

discouraged.

Applicants must be aware that

projects funded under these sub-priority

areas 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.

2. Urban and Rural Community

Economic Development (HBCU SetAside)

a. Urban and Rural Community

Economic Development (HBCU SetAside —FY 2001) (Sub-Priority Area

1.2)

Funds will be provided to a limited

number of private, non-profit, 501 (c)(3)

community development corporations

for projects that will be carried out in

conjunction with Historically Black

Colleges and Universities (HBCUs), as

defined in Executive Order Number

12876, dated Nov. 1, 1993, through

contract or sub-grant. Such projects

must conform to the purposes,

requirements, and prohibitions

applicable to those submitted under

Sub-Priority Area 1.1.

These projects should reflect a

significant partnership role for the

college or university, and the applicant

in doing so will be considered to have

fulfilled the goals of the evaluation

criterion for Public-Private Partnerships

and will be granted the maximum

number of points in that category.

Applications for these set-aside funds

that are not funded due to the limited

amount of funds available may also be

considered competitively within the

larger pool of eligible applicants under

Sub-Priority Area 1.1. Any funds that

are not used under this sub-priority area

due to the limited number of highly

scored applications will be rolled over

into Sub-Priority Area 1.1.

Any funds that are proposed to be

used for training purposes must be

limited to providing specific job-related

training to those individuals who have

been selected for employment in the

grant supported project which includes

new business startups, business

expansions, development of new service

industries, and/or other newlyundertaken physical or commercial

activities.

Approximately 6 grants are

anticipated to be made at $350,000 each

under this sub-priority area.

3. Urban and Rural Community

Economic Development (PreDevelopmental Set-Aside)

a. Urban and Rural Community

Economic Development (PreDevelopmental Set-Aside—FY 2001)

(Sub-Priority Area 1.3)

OCS intends in this sub-priority area

to provide funds to recently-established

private, non-profit, 501(c)(3),

community development corporations

that propose to undertake economic

development activities in distressed

communities.

OCS recognizes that there are a

number of newly-organized non-profit

community development corporations

that have identified needs in their

communities but have not had the staff

or other resources to develop projects to

address those needs. This lack of

resources also might be affecting their

ability to compete for funds, such as

those provided under Sub-Priority Area

1.1 since their limited resources would

preclude them from developing a

comprehensive business plan and/or

mobilizing resources.

OCS has an interest in providing

support to these new entities in order to

enable them to become more firmly

established in their communities,

thereby bringing technical expertise and

new resources to previously unserved or

underserved communities. Therefore,

OCS is setting aside funds for grants to

private, non-profit, 501(c)(3),

community development corporations

that have never received OCS funding

and have been in existence for no more

than three years, or have been in

existence longer than three years but

have no record of participation in

economic development type projects.

For the latter, a CDC must state that it

has not been active. (The phrase ‘‘no

participation in economic developmenttype projects’’ means an eligible

applicant has not sponsored nor had

any significant participation in projects

that have provided employment or

business development opportunities

through business startups, business

expansions, development of new service

industries, and/or newly-undertaken

physical or commercial activities.)

In addition, applicants with housing

experience must not have had primary

responsibility in planning, developing,

and managing housing.

With funding received under this subpriority area, CDCs may incur costs to:

(1) Evaluate the feasibility of potential

projects that address identified needs in

the low-income community and that

conform to those projects and activities

allowable under Sub-Priority Areas 1.1,

1.1A, 1.1B, 1.2, and 1.4; (2) develop a

business plan related to one of those

projects; and (3) mobilize resources to

be contributed to one of those projects,

including the utilization of HBCUs.

Based on the availability of funds in

Fiscal Year 2002, OCS will consider

establishing a set-aside in Sub-Priority

Area 1.4 to provide operational funds to

those organizations that received predevelopmental grants. Grants might be

for a maximum of $250,000 and

competition for those funds would be

restricted to those organizations that

received pre-developmental grants in

Fiscal Years 2000 and 2001. The

business plan developed as a result of

the pre-developmental grant would be

submitted as part of the competitive

application.

Specifically, each application for

funds under this sub-priority area must

include the following as part of the

project narrative:

1. Description of the impact area, i.e.,

a description of the low-income area it

proposes to address;

2. Analysis of need in the distressed

community;

3. How the potential projects relate to

applicant’s organizational goals and

previous experience (if any);

4. Project design and implementation

factors including a discussion of

potential projects that might be

implemented to address identified

needs, a strategy for conduct of

feasibility studies on potential projects

and quarterly work plans with specific

task timelines and a self-evaluation

component; and

5. Project objectives and measurable

impact, i.e., a discussion of preparing a

business plan on only one selected

project based on results of the feasibility

studies and plan for mobilization of

non-discretionary dollars to implement

it.

Applications that are not funded

within this set-aside due to the limited

amount of funds available may also be

considered competitively within the

larger pool of eligible applicants. Any

funds that are not used under this subpriority area due to the limited number

of highly scored applications will be

rolled over into another priority area.

Approximately 10 grants are

anticipated to be made at $75,000 each

under this sub-priority area.

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38343

b. Urban and Rural Community

Economic Development (PreDevelopmental Set-Aside—FY 2000)

(Sub-Priority Area 1.3A)

Projects under this sub-priority area

must conform to the purposes and

requirements of Sub-Priority Area 1.3.

(See 3.a., above.)

OCS is interested particularly in

applications from recently-established

private, non-profit, 501 (c) (3),

community development corporations

that propose to undertake economic

development activities in distressed

communities in partnership with

Historically Black Colleges and

Universities. Such applications must

reflect a significant partnership role for

the college or university. Each

application also must contain a written,

signed agreement from an authorized

HBCU official confirming the school’s

significant involvement in the grant

activities. By entering into a partnership

agreement, the applicant will be

considered to have fulfilled the goal of

mobilizing non-discretionary program

dollars under Criterion IV, Significant

and Beneficial Impact, and will be

granted the maximum number of points

(5) in that category.

Approximately 4 projects are

anticipated to be funded at $75,000

each.

4. Urban and Rural Community

Economic Development (Developmental

Set-Aside) (Sub-Priority Area 1.4)

OCS intends in this sub-priority area

to provide funds to organizations that

received grants from OCS in Fiscal

Years 1998 and 1999 under Sub-Priority

Area 1.3, the pre-developmental grant

program. These organizations will

compete only among themselves. Such

projects must conform to the purposes,

requirements and prohibitions

applicable to those submitted under

Sub-Priority Area 1.1 including the

additional requirements delineated in

section 1.d., above. Applications that

are not funded within this set-aside due

to the limited amount of funds available

may also be considered competitively

within the larger pool of eligible

applicants under Sub-Priority Area 1.1.

Any funds that are not used under this

sub-priority area due to the limited

number of highly scored applications

will be rolled over into Sub-Priority

Area 1.1.

Approximately 10 grants are

anticipated to be made at $250,000 each

under this sub-priority area.

5. Administrative and Management

Expertise (Set-Aside) (Sub-Priority Area

1.5)

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 private, non-profit 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 private, non-profit,

501(c)(3), community development

corporations to assist with their efforts

to enhance the management and

operational capacities of the less

experienced CDCs or those having

difficulties.

An applicant in this sub-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;

• 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 also must clearly

state how the information learned from

this project may be disseminated to

other interested grantees.

OCS will share with the grantee

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 participation in such

activities will be borne by the

recipient(s) of the OCS grant under this

sub-priority area.

A grantee under this sub-priority area

will be expected to disseminate results

of the project via a handbook, a progress

paper, evaluation reports, general

manual, or seminars/workshops.

Approximately one grant is

anticipated to be made at $500,000

under this sub-priority area.

6. Training and Technical Assistance

(Set-Aside) (Sub-Priority Area 1.6)

Funds will be awarded for the

purpose of providing training and

technical assistance to strengthen the

network of CDCs.

An applicant in this sub-priority area

must document its experience and

capability in implementing projects

national in scope and have significant

and relevant experiences in working

with community development

corporations.

OCS anticipates that the grant will be

for $210,000 with a grant period not to

exceed 17 months. Applicant must have

the ability to collect and analyze data

nationally that may benefit CDCs and be

able to disseminate information to all

OCS-funded grantees; publish a national

directory of funding sources for CDCs

(public, corporate, foundation,

religious); publish research papers on

specific aspects of job creation by CDCs;

and design and provide information on

successful projects and economic niches

that CDCs can target. The applicant also

will be responsible for the development

of instructional programs, national

conferences, seminars, and other

activities to assist community

development corporations.

Eligible applicants are private, nonprofit, 501(c)(3), organizations.

Applicants must be able to operate on

a national basis and have significant and

relevant experience in working with

community development corporations.

Approximately one grant is

anticipated to be made at $210,000

under this sub-priority area.

38344 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

Priority Area 2.0 Rural Community

Facilities Development

1. Rural Community Facilities (Water

and Waste Water Treatment Systems

Development—FY 2001) (Sub-Priority

Area 2.1)

FY 2001 funds will be provided under

this sub-priority area to help lowincome 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.

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 experience to establish and

maintain affordable, adequate and safe

water and waste water systems.

Applicants also must 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 newlyestablished 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 nondiscretionary program dollars expected

to be mobilized.

Eligible applicants are multi-state,

regional private, non-profit, 501(c)(3),

organizations that can provide training

and technical assistance to small, rural

communities in meeting their

community facility needs.

Approximately eight (8) grants are

anticipated to be made ranging from

$300,000 to $533,000 each under this

sub-priority area.

2. Rural Community Facilities (Water

and Waste Water Treatment Systems

Development—FY 2000) (Sub-Priority

Area 2.1A)

Projects proposed for funding under

this sub-priority area must conform to

the requirements, purposes, and

prohibitions cited under Sub-Priority

Area 2.1. (See 1., above.)

One grant of approximately $300,000

is anticipated to be made under this

sub-priority area.

Part D—Criteria for Review and

Evaluation of all Applications

1. Criteria for Review and Evaluation of

All Applications Submitted Under SubPriority Areas 1.1, 1.1A, 1.1B, 1.2, and

1.4

a. Criterion I: Analysis of Need

(Maximum: 5 Points)

The application documents that the

project addresses a vital need in a

distressed community. (0–3 points)

Most recent available statistics and

other information are provided in

support of its contention. (0–2 points)

b. Criterion II: Organizational

Experience in Program Area and Staff

Responsibilities (Maximum: 25 Points)

(1) Organizational experience in

program area (sub-rating: 0–15 points).

Documentation provided indicates that

projects previously undertaken have

been relevant and effective and have

provided permanent benefits to the lowincome 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

that it has an ability to develop and

maintain a stable program in terms of

business, physical, or community

development activities that will provide

needed permanent jobs, services,

business development opportunities,

and other benefits to community

residents. (0–10 points)

(2) Staff skills, resources and

responsibilities (sub-rating 0–10 points).

The application describes in brief

resume form the experience and skills of

the project director who is not only well

qualified, but whose professional

capabilities are relevant to the

successful implementation of the

project. If the key staff person has not

yet been identified, the application

contains a comprehensive position

description that indicates that the

responsibilities to be assigned to the

project director are relevant to the

successful implementation of the

project. (0–5 points)

The applicant has adequate facilities

and resources (i.e. space and

equipment) to successfully carry out the

work plan. (0–2 points)

The assigned responsibilities of the

staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project. (0–

3 points)

c. Criterion III: Project Implementation

(Maximum: 25 Points)

The business plan or work plan,

where applicable, is both sound and

feasible. The plan describes the key

work tasks and shows how the project

objectives will be accomplished

including the development of

businesses and creation of jobs for lowincome persons during the allowable

OCS project period. The project is

responsive to the needs identified in the

Analysis of Need. (0–5 points)

It sets forth realistic quarterly time

targets by which the various work tasks

would be completed. (0–5 points)

Critical issues or potential problems

that might impact negatively on the

project are defined and the project

objectives can be reasonably attained

despite such potential problems. (0–5

points)

The application contains a full and

accurate description of the proposed use

of the requested financial assistance.

If the applicant is applying for

funding under Sub-Priority Area 1.1A,

the work plan describes a new and

innovative business project.

If the applicant proposes to make an

equity investment or a loan to an

individual, organization, or business

entity (including a wholly-owned

subsidiary), the application includes a

signed third party agreement; a signed

statement by a Certified or Licensed

Public Accountant, as to the sufficiency

of the third party’s financial

management system; and financial

statements for the third party’s prior

three years of operation. (If newly

formed and unable to provide the

information regarding the prior three

years of operation, a statement to that

effect is included.) If the applicant states

that an agreement is not currently in

place, the application contains in the

narrative as much information required

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38345

for third party agreements as is

available. (See Part B, item 9.)

Also, if the project proposes the

development of a new or expanded

business, service, physical or

commercial activity, the application

addresses applicable elements of a

business plan. Guidelines for a Business

Plan are included in Attachment K.

The financial plan element, which

indicates the project’s potential and

timetable for financial self-sufficiency,

is included. It includes for the applicant

and the third party, if appropriate, the

following exhibits for the first three

years (on a quarterly basis) of the

business’ operations: Profit and Loss

Forecasts, Cash Flow Projections, and

Proforma Balance Sheets. Based on

these documents, the application also

contains an analysis of the financial

feasibility of the project. Also, a Source

and Use of Funds statement for all

project funding is included. (0–10

points)

d. Criterion IV: Significant and

Beneficial Impact (Maximum: 20 Points)

(1) Significant and beneficial impact

(sub-rating: 0–5 points). The proposed

project will produce permanent and

measurable results that will reduce the

incidence of poverty and TANF

assistance in the community. (0–3

points)

The OCS grant funds, in combination

with private and/or other public

resources, are targeted into low-income

communities, distressed communities,

and/or designated Empowerment Zones

and Enterprise Communities. (0–2

points)

(2) Community empowerment

consideration and partnership with

child support enforcement agency (subrating: 0–5 points). The applicant is

located in an area that is characterized

by poverty and other indicators of socioeconomic distress such as a poverty or

TANF assistance rate of at least 20%,

designation as an Empowerment Zone

or Enterprise Community (EZ/EC), high

levels of unemployment, high levels of

incidences of violence, gang activity,

crime, drug use, and low-income noncustodial parents of children receiving

TANF. (0–3 points)

Applicant has documented that it was

involved in the preparation and

implementation of a comprehensive

community-based strategic plan to

achieve both economic and human

development in an integrated manner;

and how the proposed project will

support the goals of that plan. Also

applicant documents that it has entered

into partnership agreements with the

local TANF and/or other employment

education and training office and/or

child support enforcement agency to

increase capability of low-income

parents and families to fulfill their

parental responsibilities. (0–2 points)

Note: Applicants who have projects located

in EZ/EC target areas or those who have

included signed current agreements with

child support enforcement agencies will

automatically receive the maximum 2 points.

(3) Cost-per-job (sub-rating: 0–5

points). During the project period, the

proposed project will create new,

permanent jobs or maintain permanent

jobs for low-income residents at a costper-job below $15,000 in OCS funds

unless there are extenuating

circumstances, e.g., Alaska where the

cost of living is much higher.

Note: The maximum number of points will

be given to those applicants proposing

estimated cost-per-job for low-income

residents of $10,000 or less of OCS requested

funds. Higher cost-per-job estimates will

receive correspondingly fewer points unless

adequately justified by extenuating

circumstances.

(4) Career development opportunities

(sub-rating: 0–5 points). The applicant

documents that the jobs to be created for

low-income people have career

development opportunities that will

promote self-sufficiency.

e. Criterion V: Public-Private

Partnerships (Maximum: 20 Points)

(1) Mobilization of resources: (subrating: 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.

Cash resources such as cash or loans

contributed from all project sources

(except for those contributed directly by

the applicant) are documented by letters

of commitment from third parties

making the contribution. Third party inkind contributions such as equipment or

real property contributed by the

applicant or third parties are

documented by an inventory for

equipment and a copy of deed or other

legal document for real property.

Note 1: 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 subcriterion. Lesser contributions will be given

consideration based upon the value

documented.

Note 2: Future or projected program

income such as gross or net profits from the

project or business operations will not be

recognized as mobilized or contributed

resources.

Note 3: Applicants under Sub-Priority Area

1.1B who have a signed, written agreement

for a significant partnership role with a

Native American tribe or under Sub-Priority

Area 1.2 who have a signed, written

agreement for a significant partnership role

with Historically Black Colleges and

Universities, are deemed to have fully met

this criterion and will receive the maximum

number of points if they submit the

agreement along with the application.

(2) Integration/coordination of

services: (sub-rating: 5 points). The

applicant demonstrates a commitment

to or agreements with local agencies

responsible for administering child

support enforcement, employment

education, and training programs to

ensure that welfare recipients, at-risk

youth, displaced workers, public

housing tenants, homeless and lowincome individuals, and low-income

non-custodial parents will be trained

and placed in the newly created jobs.

The applicant provides written

agreements from the local TANF or

other employment education and

training offices and child support

enforcement agency indicating what

actions will be taken to integrate/

coordinate services that relate directly

to the project for which funds are being

requested. (0–2 points)

The agreements include: (1) The goals

and objectives that the applicant and the

TANF or other employment education

and training offices and/or child

support enforcement agency expect to

achieve through their collaboration; (2)

the specific activities/actions that will

be taken to integrate/coordinate services

on an on-going basis; (3) the target

population that this collaboration will

serve; (4) the mechanism(s) to be used

in integrating/coordinating activities; (5)

how those activities will be significant

in relation to the goals and objectives to

be achieved through the collaboration;

and (6) how those activities will be

significant in relation to their impact on

the success of the OCS-funded project.

(0–2 points)

The applicant also provides

documentation that illustrates the

organizational experience related to the

employment education and training

program. (Refer to Criterion II for

guidelines.) (0–1 point)

f. Criterion VI: Budget Appropriateness

and Reasonableness (Maximum: 5

Points)

Funds requested are commensurate

with the level of effort necessary to

accomplish the goals and objectives of

the project. (0–2 points)

The application includes a detailed

budget breakdown for each of the

budget categories in the SF–424A. The

applicant presents a reasonable

administrative cost. (0–2 points)

The estimated cost to the government

of the project also is reasonable in

38346 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

relation to the anticipated results. (0–1

point)

2. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.3 and 1.3A

a. Criterion I: Analysis of Need

(Maximum: 15 Points)

The application documents that there

are clearly identified needs in a lowincome community not being effectively

addressed. (0–10 points)

Most recent available statistics and

other information are provided in

support of its contention. (0–5 points)

b. Criterion II: Organizational Capability

and Capacity (Maximum: 20 Points)

(1) Organizational experience in

program area (sub-rating: 5 points). The

applicant show why its organization can

successfully implement the project for

which it is requesting funds. (0–5

points)

(2) Management capacity (sub-rating:

5 points). Applicant fully details its

ability to implement sound and effective

management practices and if it has been

a recipient of other Federal or other

governmental grants, it also details that

it has consistently complied with

financial and program progress

reporting and audit requirements. (0–3

points)

Applicant has submitted available

documentation on its management

practices and progress reporting

procedures along with a statement by a

Certified or Licensed Public Accountant

as to the sufficiency of the applicant’s

financial management system to protect

adequately any Federal funds awarded

under the application submitted. (0–2

points)

Note: The documentation of the applicant’s

management practices, etc., and statement

from the accountant on the financial

management system must address the

applicant organization’s own internal system

rather than an external system of an affiliate,

partner, management support organization,

etc.

(3) Staffing (sub-rating: 5 points). The

application fully describes (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 (subrating: 5 points). The application

describes how the assigned

responsibilities of the staff are

appropriate to the tasks identified for

the project.

c. Criterion III: Project Design,

Implementation and Evaluation

(Maximum: 30 Points)

(1) Project implementation

component (sub-rating: 25 points). The

work plan addresses a clearly identified

need in the low-income community as

described in Criterion I. The plan must

include a methodology to evaluate the

feasibility of potential projects that

conform to the type of projects and

activities allowable under Sub-Priority

Areas 1.1, 1.1A, 1.1B, 1.2, and 1.4. (0–

8 points)

The work plan discusses the

preparation of a business plan on one

selected project based on the results of

the feasibility studies and a plan for

mobilization of non-discretionary funds

to implement the business plan. (0–4

points)

It sets forth realistic quarterly time

schedules of work tasks by which the

objectives (including the development

of a business plan and mobilization of

resources) will be accomplished.

Note: 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.

(0–8 points)

It defines critical issues or potential

problems that might impact negatively

on the project and it indicates how the

project objectives will be attained

notwithstanding any such potential

problems. (0–5 points)

(2) Evaluation component (sub-rating:

5 points). The proposal includes a selfevaluation component. The evaluation

data collection and analysis procedures

are 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 are used to the

maximum extent possible. This

component indicates the ways in which

the potential grantee would integrate

qualitative and quantitative measures of

accomplishment and specific data into

its program progress reports that are

required by OCS from all organizations

receiving pre-developmental grants. (0–

2 points)

d. Criterion IV: Significant and

Beneficial Impact (Maximum: 25 Points)

The proposed project around which

the business plan is to be developed

with the use of OCS grant funds is

targeted into low-income communities,

and/or designated Empowerment Zones

or Enterprise Communities with the

goals of increasing the economic

conditions and social self-sufficiency of

residents. Also, the project proposes to

produce permanent and measurable

results that will reduce the incidence of

poverty and number of TANF recipients

in the low-income area targeted. (0–20

points)

Note: This sub-priority area permits

applicants to conduct several feasibility

studies related to various potential projects.

However, on completion of the studies, one

proposed project must be selected and a

business plan prepared for the selected

project.

The activity targets mobilization of

non-discretionary program dollars from

private sector individuals, public

resources, corporations, and

foundations including the utilization of

Historically Black Colleges and

Universities, if the proposed project is

implemented. (0–5 points)

Note: An applicant under Sub-Priority

Area 1.3A who has submitted a signed,

written agreement for a significant

partnership role with an HBCU is deemed to

have fully met this sub-criterion and should

receive the maximum five points.

e. Criterion V: Budget Appropriateness

and Reasonableness (Maximum: 10

points)

Funds requested are commensurate

with the level of effort necessary to

accomplish the goals and objectives of

the project. The estimated cost to the

government of the project also is

reasonable in relation to the anticipated

results. (0–5 points)

The application includes a narrative

detailed budget breakdown for each of

the budget categories in the SF 424–A.

The applicant presents a reasonable

administrative cost. (0–5 points)

3. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.5

a. Criterion I: Organizational Experience

in Program Area and Staff

Responsibilities (Maximum: 20 Points)

(1) Organizational experience in

program area (sub-rating: 0–10 points).

Applicant has documented the

capability to provide leadership in

solving long-term and immediate

problems locally and/or nationally in

such areas as business development,

commercial development,

organizational and staff development,

board training, and microentrepreneurship development. (0–2

points)

Applicant documents 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

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38347

financial packages and provision of

financial/accounting services; and

regulatory compliance, including

assistance with zoning and permit

compliance. (0–2 points)

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)

Applicant indicates why it feels that

its successful experiences would be of

assistance to existing grantees that are

experiencing difficulties in

implementing their projects. (0–2

points)

(2) Staff skills, resources and

responsibilities (sub-rating 0–10 points).

The application describes in brief

resume form the experience and skills of

the project director who is not only well

qualified, but who has professional

capabilities relevant to the successful

implementation of the project. If the key

staff person has not yet been identified,

the application contains a

comprehensive position description that

indicates that the responsibilities to be

assigned to the project director are

relevant to the successful

implementation of the project. (0–5

points)

The applicant has adequate facilities

and resources (i.e. space and

equipment) to successfully carry out the

work plan. (0–3 points)

The assigned responsibilities of the

staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project. (0–

2 points)

b. Criterion II: Work Program

(Maximum: 30 Points)

The applicant demonstrates in some

specificity a thorough understanding of

the problems a grantee may encounter

in implementing a successful project.

(0–15 points)

The application includes 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 are to be used for the purposes of

transferring expertise directly, or by a

contract with a third party, to other OCS

funded grantees. Applicant describes

how the success or failure of

collaboration with these grantees will be

documented. (0–15 points)

Applicant demonstrates an ability to

disseminate results on the kinds of

programmatic and administrative

expertise transfer efforts in which it

participated and successful strategies

that it may have developed to share

expertise with grantees during the grant

period. (0–10 points)

Applicant states whether the results

of the project will be included in a

handbook, a progress paper, an

evaluation report, a general manual, or

seminars/workshops, and why the

particular methodology chosen would

be most effective. (0–5 points)

d. Criterion IV: Public-Private

Partnerships (Maximum: 15 Points)

Applicant demonstrates how it will

design a comprehensive strategy that

makes use of other available resources

to resolve typical and recurrent grantee

problems.

e. Criterion V: Budget Appropriateness

and Reasonableness (Maximum: 5

Points)

Applicant documents that the funds

requested are commensurate with the

level of effort necessary to accomplish

the goals and objectives of the project.

The application includes a detailed

budget breakdown for each of the

appropriate budget categories in the SF–

424A. (0–3 points)

The estimated cost to the government

of the project also is reasonable in

relation to the anticipated results. (0–2

points)

4. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.6

a. Criterion I: Need for Assistance

(Maximum: 10 Points)

The application documents that the

project addresses a vital, nationwide

need related to the purposes of Priority

Area 1.0 and provides data and

information in support of its contention.

b. Criterion II: Organizational

Experience in Program Area and Staff

Responsibilities (Maximum: 20 Points)

(1) Organizational experience.

Applicant has documented the

capability to provide leadership in

solving long-term and immediate

problems locally and/or nationally in

such areas as business development,

commercial development,

organizational and staff development,

board training, and microentrepreneurship development.

Applicant documents a capability

(including access to a network of skilled

individuals and/or organizations) in two

or more of the following areas: Business

management, including strategic

planning and fiscal management;

finance, including development of

financial packages and provision of

financial/accounting services; and

regulatory compliance, including

assistance with zoning and permit

compliance. (0–10 points)

(2) Staff skills. The applicant’s

proposed project director and primary

staff are well qualified and their

professional experiences are relevant to

the successful implementation of the

proposed project. (0–10 points)

c. Criterion III: Work Plan (Maximum:

35 Points)

The applicant has submitted a

detailed and specific work plan that is

both sound and feasible. Specifically,

the work plan:

(1) Demonstrates that all activities are

comprehensive and nationwide in

scope, adequately described, and

appropriately related to the goals of the

program. (0–10 points)

(2) Demonstrates in some specificity a

thorough understanding of the kinds of

training and technical assistance that

can be provided to the network of

community development corporations.

(0–10 points)

(3) Delineates the tasks and sub-tasks

involved in the areas necessary to carry

out the responsibilities, i.e. training,

technical assistance, research, outreach,

seminars, etc. (0–5 points)

(4) States the intermediate and end

products to be developed by task and

sub-task. (0–5 points)

(5) Provides realistic time frames and

a chronology of key activities for the

goals and objectives. (0–5 points)

d. Criterion IV: Significant and

Beneficial Impact (Maximum: 25 Points)

Project funds will be used for the

purpose of providing training and

technical assistance on a national basis

to the network of community

development corporations.

The applicant describes how:

(1) The project will assure long-term

program and management

improvements for community

development corporations. (0–10 points)

(2) The project will impact on a

significant number of community

development corporations. (0–10 points)

38348 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

(3) The project will leverage or

mobilize significant other non-federal

resources for the direct benefit of the

project. (0–5 points)

e. Criterion V: Budget Reasonableness

(Maximum: 10 Points)

(1) The resources requested are

reasonable and adequate to accomplish

the project. (0–5 points)

(2) Total costs are reasonable and

consistent with anticipated results. (0–

5 points)

5. Criteria for Review and Evaluation of

All Applications Under Sub-Priority

Areas 2.1 and 2.1A

a. Criterion I: Analysis of Need

(Maximum: 5 Points)

The application documents that the

project addresses a vital need in a

distressed community and provides

statistics and other data and information

in support of its contention.

b. Criterion II: Organizational

Experience in Program Area and Staff

Responsibilities (Maximum: 15 Points)

(1) Organizational Experience in

Program Area (sub-rating: 0–5 points)

Documentation provided indicates

that projects previously undertaken

have been relevant and effective and

have provided permanent benefits to the

low-income population.

Organizations that propose providing

training and technical assistance have

detailed competence in the specific

program priority area and as a deliverer

with expertise in the fields of training

and technical assistance. If applicable,

information provided by these

applicants also addresses related

achievements and competence of each

cooperating or sponsoring organization.

(2) Staff Skills, Resources and

Responsibilities (sub-rating 0–10

points). The application describes in

brief resume form the experience and

skills of the project director who is not

only well qualified, but whose

professional capabilities are relevant to

the successful implementation of the

project. If the key staff person has not

yet been identified, the application

contains a comprehensive position

description that indicates that the

responsibilities to be assigned to the

project director are relevant to the

successful implementation of the

project. The applicant has adequate

facilities and resources (i.e. space and

equipment) to successfully carry out the

work plan. The assigned responsibilities

of the staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project.

c. Criterion III: Project Implementation

(Maximum: 25 Points)

The work plan is both sound and

feasible. The project is responsive to the

needs identified in the Analysis of

Need. It sets forth realistic quarterly

time targets by which the various tasks

will be completed. Critical issues or

potential problems that might impact

negatively on the project are defined

and the project objectives can be

reasonably attained despite such

potential problems.

d. Criterion IV: Significant and

Beneficial Impact (Maximum: 30 Points)

The application contains a full and

accurate description of the proposed use

of the requested financial assistance.

The proposed project will produce

permanent and measurable results that

will reduce the incidence of poverty in

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 nonagricultural 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 inkind contributions valued at an amount

equal to the OCS funds requested.

Note: Applicants documenting that the

value of such contributions will be at least

equal to the OCS funds requested will receive

the maximum number of points for this

Criterion. Lesser contributions will be given

consideration based upon the value

documented.

f. Criterion VI: Budget Appropriateness

and Reasonableness (Maximum: 5

Points)

Funds requested are commensurate

with the level of effort necessary to

accomplish the goals and objectives of

the project. The application includes a

narrative detailed budget break-down

for each of the budget categories in the

SF–424A. The applicant presents a

reasonable administrative cost. The

estimated cost to the government of the

project also is reasonable in relation to

the anticipated results.

Part E—Application Procedures

1. Availability of Forms

For purposes of this announcement,

all applicants will use the following

forms:

SF 424

SF 424A

SF 424B

Applications proposing construction

projects will present all required

financial data using SF–424A.

Instructions for completing the SF–424,

SF–424A, and SF–424B are found in

Attachments B, C, and D. These forms

may be photocopied for this application.

Part F contains instructions for the

project abstract and project narrative.

They should be submitted on plain

bond paper along with the SF–424 and

related forms.

Attachment M, Applicant’s Checklist,

provides a checklist to aid applicants in

preparing a complete application

package for OCS.

The applicant must be aware that in

signing and submitting the application

for this award, it is certifying that it will

comply with the Federal requirements

concerning the following regulations:

Drug-free workplace, Attachment E;

Debarment, Attachment F; and

Environmental Tobacco Smoke,

Attachment J.

2. Intergovernmental Review

This program is covered under

Executive Order 12372,

Intergovernmental Review of Federal

Programs, and 45 CFR Part 100,

Intergovernmental Review of

Department of Health and Human

Services Programs and Activities. Under

the Order, states may design their own

processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

As of October 5, 1999 the following

jurisdictions have elected NOT to

participate in the Executive Order

process. Applicants from these

jurisdictions or for projects

administered by Federally-recognized

Indian tribes need take no action in

regard to E. O. 12372:

Alabama, Alaska, Colorado,

Connecticut, Hawaii, Idaho, Kansas,

Louisiana, Massachusetts, Minnesota,

Montana, Nebraska, New Jersey, Ohio,

Oklahoma, Oregon, Pennsylvania, South

Dakota, Tennessee, Vermont, Virginia,

Washington, American Samoa and

Palau.

Applicants should contact their

SPOCs as soon as possible to alert them

of the prospective applications and

receive any necessary instructions.

Applicants must submit any required

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38349

material to the SPOCs as soon as

possible so that the program office can

obtain and review SPOC comments as

part of the award process. It is

imperative that the applicant submit all

required materials, if any, to the SPOC

and indicate the date of this submittal

(or the date of contact if no submittal is

required) on the Standard Form 424,

item 16a, and submit a copy of the letter

along with its application to OCS.

Under 45 CFR 100.8(a)(2), a SPOC has

60 days from the application deadline

date to comment on proposed new or

competing continuation awards.

The SPOCs are encouraged to

eliminate the submission of routine

endorsements as official

recommendations. Additionally, SPOCs

are requested to clearly differentiate

between mere advisory comments and

those official state process

recommendations which they intend to

trigger the ‘‘accommodate or explain’’

rule.

When comments are submitted

directly to ACF, they should be

addressed to: Department of Health and

Human Services, Administration for

Children and Families, Office of Grants

Management/OCSE, 4th Floor West,

Aerospace Center, 370 L’Enfant

Promenade, SW., Washington, DC

20447.

A list of the Single Points of Contact

for each state and territory is included

as Attachment G of this announcement.

3. Application Consideration

Applications that meet the screening

requirements in sections 4.a and 4.b

below may be reviewed competitively.

Such applications will be referred to

reviewers for a numerical score and

explanatory comments based solely on

responsiveness to program priority area

guidelines and evaluation criteria

published in this announcement.

Applications submitted under all

priority areas (with the exception of

Sub-Priority Area 1.6) will be reviewed

by persons outside of the Office of

Community Services. The results of

these reviews will assist the Director

and OCS program staff in considering

competing applications.

Reviewers’ scores will weigh heavily

in funding decisions but will not be the

only factors considered. Applications

generally will be considered in order of

the average scores assigned by

reviewers. However, highly ranked

applications are not guaranteed funding

since the Director may also consider

other factors deemed relevant including,

but not limited to, the timely and proper

completion of projects funded with OCS

funds granted in the last five (5) years;

comments of reviewers and government

officials; staff evaluation and input;

geographic distribution; previous

program performance of applicants;

compliance with grant terms under

previous DHHS grants; audit reports;

investigative reports; and applicant’s

progress in resolving any final audit

disallowances on previous OCS or other

Federal agency grants.

Applicants with three or more active

OCS grants at the time of review may be

denied funding. In addition, for

applications received under 1.0, OCS

will consider the geographic

distribution of funds among states and

the relative proportion of funding

among rural and urban areas in

accordance with Section 680(a)(2)(D) of

the CSBG Act.

OCS reserves the right to discuss

applications with other Federal or nonFederal funding sources to ascertain the

applicant’s performance record.

4. Criteria for Screening Applications

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 an

Application for Federal Assistance (SF–

424), a budget (SF–424A), and signed

Assurances (SF–424B) completed

according to instructions published in

Parts F and G and Attachments B, C,

and D of this Program Announcement.

(2) A project abstract must also

accompany the standard forms.

(3) The SF–424 and the SF–424B must

be signed by an official of the

organization applying for the grant who

has authority to obligate the

organization legally.

(4) While there is no limit to the

number of applications that can be

submitted under a specific program

priority area, each application must be

submitted for consideration under one

priority area only.

b. Pre-review. Applications that pass

the initial screening will be forwarded

to reviewers and/or OCS staff prior to

the programmatic review to verify that

the applications comply with this

Program Announcement in the

following areas:

(1) Eligibility: Applicant meets the

eligibility requirements for the subpriority area under which funds are

being requested. Proof of non-profit

status, i.e. the IRS determination letter

of tax exemption, must be included in

the appendices of the project narrative

where applicable. Applicants that do

not submit proof of non-profit status

will be disqualified. Applicants must

also be aware that the applicant’s legal

name as required in SF–424 (Item 5)

must match that listed as corresponding

to the Employer Identification Number

(Item 6).

(2) Number of Projects: An

application may contain only one

project under Sub-Priority Areas 1.1,

1.1A, 1.1B, 1.2, and 1.4. However, an

application may contain more than one

project under Sub-Priority Areas 1.3,

1.3A, 1.5, and 1.6 where applicants are

researching various opportunities,

sharing administrative and management

expertise with current OCS grantees,

and providing training and/or technical

assistance to current OCS grantees,

including the organization of seminars

and other activities to assist community

development corporations.

(3) Grant amount: The amount of

funds requested does not exceed the

limits indicated in the appropriate subpriority area.

(4) Written Agreement When

Applicant Proposes to Make Equity

Investment or Loan: (Sub-Priority Areas

1.1, 1.1A, 1.1B, 1.2, and 1.4): The

application contains a written third

party agreement, or a discussion of a

proposed agreement, signed by the

applicant and the third party that

includes all of the elements required in

Part B, item 9.

An application will be disqualified if

it does not conform to one or more of

the above requirements.

c. Panel reviews. Applications that

pass the pre-rating review will be

assessed and scored by panels of

reviewers. Each reviewer will give a

numerical score for each application

reviewed. These numerical scores will

be supported by explanatory statements

on a formal rating form describing major

strengths and weaknesses under each

applicable criterion published in the

announcement.

The panelists will use the criteria

found in Part D along with the specific

requirements contained under each

program sub-priority area as described

in Part C.

Part F—Contents of Application and

Receipt Process

1. Contents of Application

Each submission should include one

signed original and four additional

copies of the application. The

application package including the

narrative should not exceed 65 pages for

the applications submitted under SubPriority Areas 1.1, 1.1A, 1.1B, 1.2, and

38350 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

1.4 and 30 pages under the other subpriority areas. This does not include

appendices listed below. Application

pages should be numbered sequentially

throughout the application package,

beginning with an abstract of the

proposed project as page number one.

Each application must include all of the

following, in the order listed below:

a. Table of Contents.

b. A Project Abstract—A paragraph

that succinctly describes the project in

500 characters or less.

c. Completed Standard Form 424—

(Attachment B)—that has been signed

by an official of the organization

applying for the grant who has authority

to obligate the organization legally.

d. A Standard Form 424A—Budget

Information—Non-Construction

Programs (Attachment C).

e. A narrative budget justification for

each object class category required

under Section B, SF–424A (Attachment

C).

f. A Project Narrative. The project

narrative must address the specific

concerns mentioned under the relevant

priority area description in Part C. The

narrative should also provide

information on how the application

meets the evaluation criteria in Part D

and Guidelines for a Business Plan

(Attachment K) of the Program

Announcement.

g. A Standard Form 424B

Assurances—Non-Construction

(Attachment D)—All applicants,

whether or not their project involves

construction, must sign and submit the

Standard Form 424B with their

applications.

h. Certification Regarding Lobbying—

(Attachment H)—Applicant must sign

and return an executed copy of the

lobbying certification.

i. Disclosure of Lobbying Activities,

SF–LLL (Attachment H)—Fill out, sign

and date the form.

j. DHHS Regulations Applying to All

Applicants/Grantees Under the Fiscal

Year 2000 (Supplementary) and 2001

Discretionary Grants Program

(Attachment I)—By signing and

submitting the application, applicant is

certifying that it will comply with these

regulations.

k. Certification Regarding

Environmental Tobacco Smoke

(Attachment J)—Applicant must make

the appropriate certification of their

compliance with the Pro-Children Act

of 1994. By signing and submitting the

application, applicant is providing the

certification regarding environmental

tobacco smoke and need not mail back

the certification with their applications.

l. Certification Regarding Drug-Free

Workplace Requirement (Attachment E):

By signing and submitting the

application, applicant is certifying that

it will comply with this regulation.

m. Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters: By signing and submitting the

application, applicant is certifying that

it will comply with this regulation.

n. Appendices should include: Proof

of non-profit status [a copy of the

applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

Section 501(c)(3) of the IRS Code or a

copy of the currently valid IRS tax

exemption certificate]; a copy of the

Articles of Incorporation bearing the

seal of the State in which the

corporation or association is domiciled;

a listing of the current Board of

Directors’ names, titles and addresses

(Note: If the applicant is proposing an

equity transaction, this is also needed

for the third party organization.);

resumes of the project director and other

key management team members; written

agreements, i.e., third party agreements,

coordination with TANF, etc.; a copy of

the submission to the State Single Point

of Contact, if applicable; Single Point of

Contact comments, where applicable;

certification regarding anti-lobbying

activities; and a disclosure of lobbying

activities.

2. Acknowledgment of Receipt

All applicants will receive an

acknowledgment notice with an

assigned identification number.

Applicants are requested to supply a

self-addressed mailing label with their

application that can be attached to this

acknowledgment notice. The

identification number and the program

priority area letter code must be referred

to in all subsequent communications

with OCS concerning the application. If

an acknowledgment is not received

within three weeks after the deadline

date, please notify ACF by telephone at

(202) 401–5103.

Note: To facilitate receipt of this

acknowledgment from ACF, applicant should

include a cover letter with the application

containing an E-mail address and facsimile

(FAX) number if these items are available to

applicant.

Part G—Instructions for Completing

Application Package

It is suggested that the applicant

reproduce the SF–424 and SF–424A,

and type its organization’s legal name

on the copies. If an item on the SF–424

cannot be answered or does not appear

to be related or relevant to the assistance

requested, write NA for Not Applicable.

Prepare your application in

accordance with the standard

instructions given in Attachments B and

C corresponding to the forms, as well as

the OCS specific instructions set forth

below:

1. SF–424 Application for Federal

Assistance

Item 1. For the purposes of this

announcement, all proposals are

considered Applications; there are no

Pre-Applications. For the purpose of

this announcement, construction

projects involve land improvements and

development or major renovation of

(new or existing) facilities and

buildings, including their

improvements, fixtures and permanent

attachments. All others are considered

non-construction. Check the appropriate

box under Application. Whether

applications involve construction or

non-construction projects, all applicants

are required to complete the Budget

Information—Non-construction

Programs sections of SF–424A.

Items 5 and 6. The legal name of the

applicant must match that listed as

corresponding to the Employer

Identification Number. Where the

applicant is a previous Department of

Health and Human Services grantee,

enter the Central Registry System

Employee Identification Number (EIN)

and the Payment Identifying Number

(PIN), if one has been assigned, in the

block entitled Federal Identifier located

at the top right hand corner of the form.

Item 7. If the applicant is a non-profit

corporation, enter N in the box and

specify non-profit corporation in the

space marked Other. Any non-profit

organization submitting an application

must submit proof of its non-profit

status in its applications at time of

submission.

Item 9. Enter DHHS–ACF/OCS.

Item 10. The Catalog of Federal

Domestic Assistance number for OCS

programs covered under this

announcement is 93.570. The title is

CSBG Discretionary Awards.

Item 11. In addition to a brief

descriptive title of the project, indicate

one of the following program priority

areas for which funds are being

requested.

UR—Sub-Priority Area 1.1. Urban and

Rural Community Economic

Development (Operational—FY 2001)

URA—Sub-Priority Area 1.1A. Urban

and Rural Community Economic

Development (Operational—FY 2000)

URNA—Sub-Priority Area 1.1B. Urban

and Rural Community Economic

Development (Native Americans) (FY

2000)

HB—Sub-Priority Area 1.2. Urban and

Rural Community Economic

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38351

Development (HBCU Set-Aside—FY

2001)

PD—Sub-Priority Area 1.3. Urban and

Rural Community Economic

Development (Pre-Developmental SetAside) (FY 2001)

HPD—Sub-Priority Area 1.3A. Urban

and Rural Community Economic

Development (Pre-Developmental SetAside) (FY 2000)

DD—Sub-Priority Area 1.4. Urban and

Rural Community Economic

Development (Developmental SetAside) (FY 2001)

AM—Sub-Priority Area 1.5.

Administrative and Management (SetAside) (FY 2001)

UT—Sub-Priority Area 1.6. Training and

Technical Assistance (Set-Aside) (FY

2001)

RF—Sub-Priority Area 2.1. Rural

Community Facilities (Water and

Waste Water Treatment Systems

Development) (FY 2001)

RFA—Sub-Priority Area 2.1A. Rural

Community Facilities (Water and

Waste Water Treatment Systems

Development) (FY 2000)

2. SF–424A—Budget Information—NonConstruction Programs

See instructions accompanying this

form as well as the instructions set forth

below:

In completing these sections, the

Federal funds budget entries will relate

to the requested OCS discretionary

funds only, and Non-Federal will

include mobilized funds from all other

sources—applicant, state, local, and

other. Federal funds other than

requested OCS Discretionary funding

should be included in Non-Federal

entries.

The budget forms in SF–424A are

only to be used to present grant

administrative costs and major budget

categories. Financial data that is

generated as part of a project Business

Plan or other internal project cost data

must be separate and should appear as

part of the project Business Plan or

other project implementation data.

Sections A and D of SF–424A must

contain entries for both Federal (OCS)

and non-Federal (mobilized) funds.

Section B contains entries for Federal

(OCS) funds only. Clearly identified

continuation sheets in SF–424A format

should be used as necessary.

Section A—Budget Summary

Lines 1–4

— Column (a): Line 1—Enter CSBG

Discretionary

— Column (b): Line 1—Enter 93.570

— Columns (c) and (d): Leave Blank

— Columns (e) through (g): Line 1, enter

the appropriate amounts needed to

support the project for the budget

period.

Line 5: Enter the figures from Line 1

for all columns completed as required,

(c), (d), (3), (f), and (g).

Section B—Budget Categories

Allowability of costs is governed by

applicable cost principles set forth in 45

CFR Parts 74 and 92. A budget narrative

must be submitted that includes the

appropriate justifications as stated.

This section should contain entries

for OCS funds only. For all projects, this

first budget period will be entered in

Column (1).

Budget estimates for administrative

costs must be supported by adequate

detail for the grants officer to perform a

cost analysis and review. Adequately

detailed calculations for each budget

object class are those which reflect

estimation methods, quantities, unit

costs, salaries, and other similar

quantitative detail sufficient for the

calculation to be duplicated. For any

additional object class categories

included under the object class other,

identify the additional object class(es)

and provide supporting calculations.

Supporting narratives and

justifications are required for each

budget category, with emphasis on

unique/special initiatives; large dollar

amounts; local, regional, or other travel;

new positions; and major equipment

purchases.

A detailed itemized budget with a

separate budget justification for each

major item should be included as

indicated below:

Line 6a

Personnel—Enter the total costs of

salaries and wages.

Justification—Identify the project

director and staff. Specify by title or

name the percentage of time allocated to

the project, the individual annual

salaries and the cost to the project (both

Federal and non-Federal) of the

organization’s staff who will be working

on the project.

Line 6b

Fringe Benefits—Enter the total costs

of fringe benefits unless treated as part

of an approved indirect cost rate which

is entered on Line 6j.

Justification—Enter the total costs of

fringe benefits, unless treated as part of

an approved indirect cost rate. Provide

a breakdown of amounts and

percentages that comprise fringe benefit

costs.

Line 6c

Travel—Enter total cost of all travel

by employees of the project. Do not

enter costs for consultant’s travel.

Justification—Include the name(s) of

traveler(s), total number of trips,

destinations, length of stay, mileage

rate, transportation costs and

subsistence allowances. Traveler must

be a person listed under the personnel

line or employee being paid under nonfederal share. (Note: Local

transportation and consultant travel

costs are entered on Line 6h.)

Line 6d

Equipment—Enter the total estimated

costs for all non-expendable personal

property to be acquired by the project.

Equipment means tangible

nonexpendable personal property,

including exempt property, charged

directly to the award having a useful life

of more than one year and an

acquisition cost of $5,000 or more per

unit. However, consistent with recipient

policy, lower limits may be established.

Justification—Provide breakdown of

cost per item. Items that cost less than

$5,000 should be included under

Supplies.

Line 6e

Supplies—Enter the total estimated

costs of all tangible personal property

(supplies) other than that included on

line 6d.

Justification—Provide a general

description as to what is being

purchased such as type of supplies,

office, classroom, medical, etc. Also

property that is not equipment and costs

less than $5,000 per item.

Line 6f

Contractual—Enter the total costs of

all contracts, including (1) procurement

contracts (except those which belong on

other lines such as equipment, supplies,

etc.) and (2) contracts with secondary

recipient organizations including

delegate agencies and specific

projects(s) or businesses to be financed

by the applicant.

Justification—Contractual cannot be a

person—it must be the name of an

organization, firm, etc. Consultant cost

goes in line 6h—Other.

Line 6g

Construction—Enter the estimated

costs of renovation, repair, or new

construction. Identify the type of

construction activity and costs

associated, i.e., concrete, HVAC,

electrical, etc. Provide narrative

justification and breakdown of costs.

38352 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

Line 6h

Other—Enter the total of all other

costs. Such costs, where applicable, may

include, but are not limited to

insurance, fees and travel paid directly

to individual consultants, local

transportation (all travel which does not

require per diem is considered local

travel), space and equipment rentals,

printing, computer use training costs

including tuition and stipends, training

service costs including wage payments

to individuals and supportive service

payments, and staff development costs.

Justification—Provide as much detail

as you can. Some items may have to be

defined more than others.

Line 6j

Indirect Charges—Enter the total

amount of indirect costs. This line

should be used only when the applicant

currently has an indirect cost rate

approved by DHHS or other Federal

agencies.

If the applicant organization is in the

process of initially developing or

renegotiating a rate, it should,

immediately upon notification that an

award will be made, develop a tentative

indirect cost rate proposal based on its

most recently completed fiscal year in

accordance with the principles set forth

in the pertinent DHHS Guide for

Establishing Indirect Cost Rates and

submit it to the appropriate DHHS

Regional Office. It should be noted that

when an indirect cost rate is requested,

those costs included in the indirect cost

pool cannot be also budgeted or charged

as direct costs to the grant. Indirect costs

consistent with approved Indirect Cost

Rate Agreements are allowable.

Section C—Non-Federal Resources

This section is to record the amounts

of non-Federal resources that will be

used to support the project. Non-Federal

resources mean other than OCS funds

for which the applicant is applying.

Therefore, mobilized funds from other

Federal programs, such as the Job

Training Partnership Act program,

should be entered on these lines.

Provide a brief listing of the non-Federal

resources on a separate sheet and

describe whether it is a grantee-incurred

cost or a third-party in-kind

contribution. The firm commitment of

these resources must be documented

and submitted with the application in

order to be given credit in the PublicPrivate Partnerships Criterion.

Except in unusual situations, this

documentation must be in the form of

letters of commitment from the

organization(s)/individuals from which

funds will be received.

Note: Even though there are no matching

requirements for the Discretionary Grants

Program, grantees will be held accountable

for any match, cash or in-kind contribution

proposed or pledged as part of an approved

application.

Part H—Post Award Information and

Reporting Requirements

1. Notification of Grant Award

Following approval of the

applications selected for funding, notice

of project approval and authority to

draw down project funds will be made

in writing. The official award document

is the Financial Assistance Award that

provides the amount of Federal funds

approved for use in the project, the

budget period for which support is

provided, the terms and conditions of

the award, the total project period for

which support is contemplated, and the

total financial participation from the

award recipient.

General Conditions and Special

Conditions (where the latter are

warranted) that will be applicable to

grants, are subject to the provisions of

45 CFR Parts 74 and 92.

2. Attendance at OCS Training

Conference

The Executive Director and/or Project

Director will be required to attend a

two-day national workshop in

Washington, D.C. The project budget

must include funds for travel to and

attendance at this conference.

3. Reporting Requirements

Grantees will be required to submit

semi-annual progress and financial

reports (SF–269) as well as a final

progress and financial report.

Under the Paperwork Reduction Act

of 1995, Public Law 104–13, an agency

may not conduct or sponsor, and a

person is not required to respond to, a

collection of information unless it

displays a currently valid OMB control

number. This program announcement

does not contain information collection

requirements beyond those approved for

ACF grant applications under OMB

Control Number 0970–0062, which

expires 10/31/2001.

4. Audit Requirements

Grantees are subject to the audit

requirements in 45 CFR Parts 74 and 92

and OMB Circular A–133. If an

applicant will not be requesting indirect

costs, it should anticipate in its budget

request the cost of having an audit

performed at the end of the grant period.

5. Lobbying

Section 319 of Public Law 101–121,

signed into law on October 23, 1989,

imposes prohibitions and requirements

for disclosure and certification related

to lobbying on recipients of Federal

contracts, grants, cooperative

agreements, and loans. It provides

limited exemptions for Indian tribes and

tribal organizations. Current and

prospective recipients (and their subtier

contractors and/or grantees) are

prohibited from using appropriated

funds for lobbying Congress or any

Federal agency in connection with the

award of a contract, grant, cooperative

agreement or loan. In addition, for each

award action in excess of $100,000 (or

$150,000 for loans) the law requires

recipients and their subtier contractors

and/or subgrantees: (1) to certify that

they have neither used nor will use any

appropriated funds for payment to

lobbyists; (2) to submit a declaration

setting forth whether payments to

lobbyists have been or will be made out

of 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.

6. Applicable Federal Regulations

Attachment I provides a list of the

regulations that apply to all applicants/

grantees under the FY 2000

(Supplementary) and FY 2001

Discretionary Grants Programs.

Dated: June 9, 2000.

Donald Sykes,

Director, Office of Community Services.

Attachments

A—2000 Poverty Income Guidelines

B—Standard Form 424, Application for

Federal Assistance

C—Standard Form 424A, Budget

Information—Non-Construction Programs

D—Standard Form 424B, Assurances—NonConstruction Programs

E—Certification Regarding Drug-Free

Workplace Requirements

F—Certification of Debarment, Suspension

and Other Responsibility Matters

G—State Single Points of Contact Listing

H—Certification Regarding Lobbying and

Disclosure of Lobbying Activities, SF LLL

I—DHHS Regulations Applying to all

Applicants/Grantees Under the Fiscal Year

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38353

2000 (Supplementary) and Fiscal Year

2001 Discretionary Grants Programs

J—Certification Regarding Environmental

Tobacco Smoke

K—Guidelines for a Business Plan

L—Table of Standard Industrial Codes and

Occupational Classifications

M—Applicant’s Checklist

Attachment A

2000 POVERTY GUIDELINES FOR THE

48 CONTIGUOUS STATES AND THE

DISTRICT OF COLUMBIA

Size of family unit Poverty

guidelines

1 ................................................ $8,350

2 ................................................ 11,250

3 ................................................ 14,150

4 ................................................ 17,050

5 ................................................ 19,950

6 ................................................ 22,850

7 ................................................ 25,750

8 ................................................ 28,650

For family units with more than 8

members, add $2,900 for each additional

member. (The same increment applies to

smaller family sizes also, as can be seen in

the figures above).

2000 POVERTY GUIDELINES FOR

ALASKA

Size of family unit Poverty

guidelines

1 ................................................ $10,430

2 ................................................ 14,060

3 ................................................ 17,690

4 ................................................ 21,320

5 ................................................ 24,950

6 ................................................ 28,580

7 ................................................ 32,210

8 ................................................ 35,840

For family units with more than 8

members, add $3,630 for each additional

member. (The same increment applies to

smaller family sizes also as can be seen in the

figures above).

2000 POVERTY GUIDELINES FOR

HAWAII

Size of family unit Poverty

guidelines

1 ................................................ $9,500

2 ................................................ 12,930

3 ................................................ 16,270

4 ................................................ 19,610

5 ................................................ 22,950

6 ................................................ 26,290

7 ................................................ 29,630

8 ................................................ 32,970

For family units with more than 8

members, add $3,340 for each additional

member. (The same increment applies to

smaller family sizes also, as can be seen in

the figures above).

BILLING CODE 4184–01–P

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Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38355

BILLING CODE 4184–01–C

Instructions for the SF–424

Public reporting burden for this collection

of information is estimated to average 45

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information. including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget.

Send it to the address provided by the

sponsoring agency.

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) and applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employee Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

appropriate letter(s) in the space(s) provided:

—‘‘New’’ means a new assistance award.

—‘‘Continuation’’ means an extension for

an additional funding/budget period for

a project with a projected completion

date.

—‘‘Revision’’ means any change in the

Federal Government’s financial

obligation or contingent liability from an

existing obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the problem

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, loan

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

38356 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

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Instructions for the SF–424A

Public reporting burden for this collection

of information is estimated to average 180

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348/004), Washington,

DC 50503.

Please do not return your completed form

to the Office of Management and Budget,

send it to the address provided by the

sponsoring agency.

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for 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 Column (c) and

(d) blank. For each line entry in Columns (a)

and (b), enter in Columns (e), (f), and (g) the

appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

agency. Enter in Columns (c) and (d) the

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

in columns (e) and (f) the amounts of funds

needed for the upcoming period. The

amount(s) in Column (g) should be the sum

of amounts in Columns (e) and (f).

For supplemental grants and changes to

existing grants, do not use Columns (c) and

(d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

(e) and (f). The amount(s) in Column (g)

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B. Budget Categories

In the column headings (1) through (4),

enter the titles of the same programs,

functions, and activities shown on Lines 1–

4, Column (a), Section A. When additional

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

Line 6a–i—Show the totals of Lines 6a to

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total 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.

Lines 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—NonConstruction Programs

Public reporting burden for this collection

of information is estimated to average 15

minutes per response, including time for

reviewing instructions, searching existing

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38359

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0040), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget.

Send it to the address provided by the

sponsoring agency.

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant, I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance and the institutional,

managerial and financial capability

(including funds sufficient to pay the nonFederal share of project cost) to ensure

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of the United States and,

if appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest, or personal gain.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. §§ 4728–

4763) relating to prescribed standards for

merit systems for programs funded under one

of the 19 statutes or regulations specified in

Appendix A of OPM’s Standards for a Merit

System of Personnel Administration (5 CFR

900, Subpart F).

6. Will comply with all Federal statutes

relating to nondiscrimination. These include

but are not limited to: (a) Title VI of the Civil

Rights Act of 1964 (P.L. 88–352) which

prohibits discrimination on the basis of race,

color or national origin; (b) Title IX of the

Education Amendments of 1972, as amended

(20 U.S.C. §§ 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. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. §§ 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)

§§ 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. §§ 3601 et seq.), as amended, relating

to nondiscrimination in the sale, rental or

financing of housing; (i) any other

nondiscrimination provisions in the specific

statute(s) under which application for

Federal assistance is being made; and, (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

(P.L. 91–646) which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally-assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply, as applicable, with

provisions of the Hatch Act (5 U.S.C.

§§ 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.§§ 276a to 276a–7), the Copeland Act

(40 U.S.C. § 276c and 18 U.S.C. § 874), and

the Contract Work Hours and Safety

Standards Act (40 U.S. C. §§ 327–333),

regarding labor standards for federallyassisted 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 (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 program

developed under the Coastal Zone

Management Act of 1972 (16 U.S.C. §§ 1451

et seq.); (f) conformity of Federal actions to

State (Clean Air) Implementation Plans under

Section 176(c) of the Clean Air Act of 1955,

as amended (42 U.S.C. §§ 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. §§ 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. §§ 4801

et seq.) which prohibits the use of lead-based

paint in construction or rehabilitation of

residence structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act

Amendments of 1996 and OMB Circular No.

A–133, ‘‘Audits of States, Local

Governments, and Non-Profit Organizations.’’

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations, and policies

governing this program.

lllllllllllllllllllll

Signature of authorized certifying official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Applicant organization

lllllllllllllllllllll

Date submitted

Attachment E.—Certification Regarding

Drug-Free Workplace Requirements

This certification is required by the

regulations implementing the Drug-Free

Workplace Act of 1988: 45 CFR Part 76,

Subpart, F. Sections 76.630(c) and (d)(2) and

76.645(a)(1) and (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 pint

is: Division of Grants Management and

Oversight, Office of Management and

Acquisition, Department of Health and

Human Services, Room 517–D 200

Independence Avenue, SW Washington, DC

20201.

Certification Regarding Drug-Free Workplace

Requirements (Instructions for Certification)

1. By signing and/or submitting this

application or grant agreement, the grantee is

providing the certification set out below.

38360 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

2. The certification set out below is a

material representation of fact upon which

reliance is placed when the agency awards

the grant. If it is later determined that the

grantee knowingly rendered a false

certification, or otherwise violates the

requirements of the Drug-Free Workplace

Act, the agency, in addition to any other

remedies available to the Federal

Government, may take action authorized

under the Drug-Free Workplace Act.

3. For grantees other than individuals,

Alternate I applies.

4. For grantees who are individuals,

Alternate II applies.

5. Workplaces under grants, for grantees

other than individuals, need not be identified

on the certification. If known, they may be

identified in the grant application. If the

grantee does not identify the workplaces at

the time of application, or upon award, if

there is no application, the grantee must keep

the identity of the workplace(s) on file in its

office and make the information available for

Federal inspection. Failure to identify all

known workplaces constitutes a violation of

the grantee’s drug-free workplace

requirements.

6. Workplace indetifications must include

the actual address of buildings (or parts of

buildings) or other sites where work under

the grant takes place. Categorical descriptions

may be used (e.g., all vehicles of a mass

transit authority or State highway department

while in operation, State employees in each

local unemployment office, performers in

concert halls or radio studios).

7. If the workplace identified to the agency

changes during the performance of the grant,

the grantee shall inform the agency of the

change(s), if it previously identified the

workplaces in question (see paragraph five).

8. Definitions of terms in the

Nonprocurement Suspension and Debarment

common rule and Drug-Free Workplace

common rule apply to this certification

Grantees’ attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled

substance in Schedules I through V of the

Controlled Substances Act (21 U.S.C. 812)

and as further defined by regulation (21 CFR

1308.11 through 1308.15);

Conviction means a finding of guilt

(including a plea of nolo contendere) or

imposition of sentence, or both, by any

judicial body charged with the responsibility

to determine violations of the Federal or

State criminal drug statutes;

Criminal drug statute means a Federal or

non-Federal criminal statute involving the

manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee

directly engaged in the performance of work

under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees

unless their impact or involvement is

insignificant to the performance of the grant;

and, (iii) Temporary personnel and

consultants who are directly engaged in the

performance of work under the grant and

who are on the grantee’s payroll. This

definition does not include workers not on

the payroll of the grantee (e.g., volunteers,

even if used to meet a matching requirement;

consultants or independent contractors not

on the grantee’s payroll; or employees of

subrecipients or subcontractors in covered

workplaces).

Certification Regarding Drug-Free Workplace

Requirements

Alternate I. (Grantees Other Than

Individuals)

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 impose 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 undr

paragraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers of convicted

employees must provide notice, including

position title, to every grant officer or other

designee on whose grant activity the

convicted employee was working, unless the

Federal agency has designated a central point

for the receipt of such notices. Notice shall

include the identification number(s) of each

affected grant;

(f) Taking one of the following actions,

with 30 calendar days of receiving notice

under paragraph (d)(2), with respect to any

employee who is so convicted—

(1) Taking appropriate personnel action

against such an employee, up to an including

termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(2) Requiring such employee to participate

satisfactorily in a drug abuse assistance or

rehabilitation program approved for such

purposes by a Federal, State, or local health,

law enforcement, or other appropriate

agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (a), (b), (c), (d),

(e) and (f).

(B) The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant:

Place of Performance (Street address, city,

county, state, zip code)

lllllllllllllllllllll

lllllllllllllllllllll

Check if there are workplaces on file that

are not identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a

conditions of the grant, he or she will not

engage in the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance in conducting any

activity with the grant;

(b) If convicted of a criminal drug offense

resulting from a violation occurring during

the conduct of any grant activity, he or she

will report the conviction, in writing, with 10

calendar days of the conviction, to every

grant officer or other designee, unless the

Federal agency designates a central point for

the receipt of such notices. When notice is

made to such a central point, it shall include

the identification numbers(s) of each affected

grant.

[55 FR 21690, 21702, May 25, 1990]

Attachment F.—Certification Regarding

Debarment, Suspension and Other

Responsibility Matters

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective primary participant is

providing the certification set out below.

2. The inability of a person to provide the

certification required below will not

necessarily result in denial of participation in

this covered transaction. The prospective

participant shall submit an explanation of

why it cannot provide the certification set

out below. The certification or explanation

will be considered in connection with the

department or agency’s determination

whether to enter into this transaction.

However, failure of the prospective primary

participant to furnish a certification or an

explanation shall disqualify such person

from participation in this transaction.

3. The certification in this clause is a

material representation of fact upon which

reliance was placed when the department or

agency determined to enter into this

transaction. If it is later determined that the

prospective primary participant knowingly

rendered an erroneous certification, in

addition to other remedies available to the

Federal Government, the department or

agency may terminate this transaction for

cause or default.

4. The prospective primary participant

shall provide immediate written notice to the

department or agency to which this proposal

is submitted if at any time the prospective

primary participant learns that its

certification was erroneous when submitted

or has become erroneous by reason of

changed circumstances.

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38361

5. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meanings set out in the Definitions

and Coverage sections of the rules

implementing Executive Order 12549. You

may contact the department or agency to

which this proposal is being submitted for

assistance in obtaining a copy of those

regulations.

6. The prospective primary participant

agrees by submitting this proposal that,

should the proposed covered transaction be

entered into, it shall not knowingly enter into

any lower tier covered transaction with a

person who is proposed for debarment under

48 CFR part 9, subpart 9.4, debarred,

suspended, declared ineligible, or voluntarily

excluded from participation in this covered

transaction, unless authorized by the

department or agency entering into this

transaction.

7. The prospective primary participant

further agrees by submitting this proposal

that it will include the clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

provided by the department or agency

entering into this covered transaction,

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

8. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from the covered

transaction, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

10. Except for transactions authorized

under paragraph 6 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency may

terminate this transaction for cause or

default.

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

(1) The prospective primary participant

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

brain, or preforming 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 for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transaction (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participation is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective lower tier participant is

providing the certification set out below.

2. The certification in this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

3. The prospective lower tier participant

shall provide immediate written notice to the

person to which this proposal is submitted if

at one time the prospective lower tier

participant learns that its certification was

erroneous when submitted or had become

erroneous by reason of changed

circumstances.

4. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntary excluded, as used in this clause,

have the meaning set our in the Definitions

and Coverage sections of rules implementing

Executive Order 12549. You may contact the

person to which this proposal is submitted

for assistance in obtaining a copy of those

regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

[[Page 33043]] should the proposed covered

transaction be entered into, it shall not

knowingly enter into any lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in

this covered transaction, unless authorized

by the department or agency with which this

transaction originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

without modification, in lower tier covered

transactions and in all solicitations for lower

tier covered transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from covered

transactions, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

9. Except for transactions authorized under

paragraph 5 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency with

which this transaction originated may pursue

available remedies, including suspension

and/or debarment.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered Transactions

(1) The prospective lower tier participant

certifies, by submission of this proposal, that

neither it nor its principals is presently

debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily

excluded from participation in this

transaction by any Federal department or

agency.

(2) Where the prospective lower tier

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

38362 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

Attachment G.—State Single Points of

Contact (SPOCs)

It is estimated that in 2001, the Federal

Government will outlay $305.6 billion in

grants to State and local governments.

Executive Order 12372, ‘‘Intergovernmental

Review of Federal Programs,’’ was issued

with the desire to foster the

intergovernmental partnership and

strengthen federalism by relying on State and

local processes for the coordination and

review of proposed Federal financial

assistance and direct Federal development.

The Order allows each State to designate an

entity to perform this function. Below is the

official list of those entities. For those States

that have a home page for their designated

entity, a direct link has been provided below.

States that are not listed on this page have

chosen not to participate in the

intergovernmental review process, and

therefore do not have a SPOC. If you are

located within one of these States, you may

still send application materials directly to a

Federal awarding agency.

Arizona: Joni Saad, Arizona State

Clearinghouse, 3800 N. Central Avenue,

Fourteenth Floor, Phoenix, Arizona 85012,

Telephone: (602) 280–1315, Fax: (602) 280–

8144, jonis@ep.state.az.us.

Arkansas: 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, tlcopeland@dfa.state.ar.us.

California: Grants Coordination, State

Clearinghouse, Office of Planning and

Research, P.O. Box 3044, Room 222,

Sacramento, California 95812–3044,

Telephone: (916) 445–0613, Fax: (916) 323–

3018, state.clearinghouse@opr.ca.gov.

Delaware: Charles H. Hopkins, Executive

Department, Office of the Budget, 540 S.

Dupont Highway, 3rd Floor, Dover, Delaware

19901, Telephone: (302) 739–3323, Fax: (302)

739–5661, chopkins@state.de.us.

District of Columbia: Ron Seldon, Office of

Grants Management and Development, 717

14th Street, NW., Suite 1200, Washington,

DC 20005, Telephone: (202) 727–1705, Fax;

(202) 727–1617, ogmd-ogmd@dcgov.org.

Florida: Cherie L. Trainor, Florida State

Clearinghouse, Department of Community

Affairs, 2555 Shumard Oak Blvd.,

Tallahassee, Florida 32399–2100, Telephone:

(850) 922–5438, (850) 414–5495 (direct), Fax:

(850) 414–0479,

cherie.trainor@dca.state.fl.us.

Georgia: Georgia State Clearinghouse, 270

Washington Street SW, Atlanta, Georgia

30334, Telephone: (404) 656–3855, Fax: (404)

656–7901, gach@mail.opb.state.ga.us.

Illinois: Virginia Bova, Department of

Commerce and Community Affairs, James R.

Thompson Center, 100 West Randolph, Suite

3–400, Chicago, Illinois 60601, Telephone:

(312) 814–6028, Fax (312) 814–8485,

vbova@commerce.state.il.us.

Indiana: Frances Williams, State Budget

Agency, 212 State House, Indianapolis,

Indiana 46204–2796, Telephone: (317) 232–

2972, Fax: (317) 233–3323,

fwilliams@sba.stat.in.us.

Iowa: Steven R. McCann, Division of

Community and Rural Development, Iowa

Department of Economic Development, 200

East Grant Avenue, Des Moines, Iowa 50309,

Telephone: (515) 242–4719, Fax: (515) 242–

4809, steve.mccann@ided.state.ia.us.

Kentucky: Ron Cook, Department for Local

Government, Kentucky State Clearinghouse,

1024 Capital Center Drive, Suite 340,

Frankfort, Kentucky 40601, Telephone: (502)

573–2382, Fax: (502) 573–0175,

ron.cook@mail.state.ky.us.

Maine: Joyce Benson, State Planning

Office, 184 State Street, 38 State House

Station, Augusta, Maine 04333, Telephone:

(207) 287–3261, (207) 287–1461 (direct), Fax:

(207) 287–6489, joyce.benson@state.me.us.

Maryland: Linda Janey, Manager,

Clearinghouse and Plan Review Unit,

Maryland Office of Planning, 301 West

Preston Street—Room 1104, Baltimore,

Maryland 21201–2305, Telephone: (410)

767–4490, Fax: (410) 767–4480,

linda@mail.op.state.md.us.

Michigan: Richard Pfaff, Southeast

Michigan Council of Governments, 660 Plaza

Drive—Suite 1900, Detroit, Michigan 48226,

Telephone: (313) 961–4266, Fax: (313) 961–

4869, pfaff@semcog.org.

Mississippi: Cathy Mallette, Clearinghouse

Officer, Department of Finance and

Administration, 550 High Street, 303 Walters

Sillers Building, Jackson, Mississippi 39201–

3087, Telephone: (601) 359–6762, Fax: (601)

359–6758.

Missouri: Lois Pohl, Federal Assistance

Clearinghouse, Office of Administration, P.O.

Box 809, Jefferson Building, Room 915,

Jefferson City, Missouri 65102, Telephone:

(573) 751–4834, Fax: (573) 522–4393,

pohlll@mail.oa.state.mo.us.

Nevada: Heather Elliott, Department of

Administration, State Clearinghouse, 209 E.

Musser Street, Room 200, Carson City,

Nevada 89701, Telephone: (775) 684–0209,

Fax: (775) 684–0260,

helliott@govmail.state.nv.us.

New Hampshire: Jeffrey H. Taylor,

Director, New Hampshire Office of State

Planning, Attn: Intergovernmental Review

Process, Mike Blake, 21⁄2 Beacon Street,

Concord, New Hampshire 03301, Telephone:

(603) 271–2155, Fax: (603) 271–1728,

jtaylor@osp.state.nh.us.

New Mexico: Ken Hughes, Local

Government Division, Room 201 Bataan

Memorial Building, Santa Fe, New Mexico

87503, Telephone (505) 827–4370, Fax: (505)

827–4948, khughes@dfa.state.nm.us.

North Carolina: Jeanette Furney,

Department of Administration, 1302 Mail

Service Center, Raleigh, North Carolina

27699–1302, Telephone: (919) 807–2323,

Fax: (919) 733–9571,

jeanette.furney@ncmail.net.

North Dakota: Jim Boyd, Division of

Community Services, 600 East Boulevard

Ave, Dept 105, Bismarck, North Dakota

58505–0170, Telephone: (701) 328–2094,

Fax: (701) 328–2308, jboyd@state.nd.us.

Rhode Island: Kevin Nelson, Department of

Administration, Statewide Planning Program,

One Capitol Hill, Providence, Rhode Island

02908–5870, Telephone: (401) 222–2093,

Fax: (401) 222–2083, knelson@doa.state.ri.us.

South Carolina: Omeagia Burgess, Budget

and Control Board, Office of State Budget,

1122 Ladies Street—12th Floor, Columbia,

South Carolina 29201, Telephone: (803) 734–

0494, Fax: (803) 734–0645,

aburgess@budget.state.sc.us.

Texas: Tom Adams, Governors Office,

Director, Intergovernmental Coordination,

P.O. Box 12428, Austin, Texas 78711,

Telephone: (512) 463–1771, Fax: (512) 936–

2681, tadams@governor.state.tx.us.

Utah: Carolyn Wright, Utah State

Clearinghouse, Governor’s Office of Planning

and Budget, State Capitol—Room 114, Salt

Lake City, Utah 84114, Telephone: (801) 538–

1535, Fax: (801) 538–1547,

cwright@gov.state.ut.us.

West Virginia: Fred Cutlip, Director,

Community Development Division, West

Virginia Development Office, Building #6,

Room 553, Charleston, West Virginia 25305,

Telephone: (304) 558–4010, Fax: (304) 558–

3248, fcutlip@wvdo.org.

Wisconsin: Jeff Smith, Section Chief,

Federal/State Relations, Wisconsin

Department of Administration, 101 East

Wilson Street—6th Floor, P.O. Box 7868,

Madison, Wisconsin 53707, Telephone: (608)

266–0267, Fax: (608) 267–6931,

jeffrey.smith@doa.state.wi.us.

Wyoming: Sandy Ross, Department of

Administration and Information, 2001

Capitol Avenue, Room 214, Cheyenne, WY

82002, Telephone: (307) 777–5492, Fax: (307)

777–3696, sross1@missc.state.wy.us.

Guam: Director, Bureau of Budget and

Management Research, Office of the

Governor, P.O. Box 2950, Agana, Guam

96910, Telephone: 011–671–472–2285, Fax:

011–472–2825, jer@ns.gov.gu.

Puerto Rico: Norma Burgos/Jose E. Caro,

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.

North Mariana Islands: Ms. Jacoba T.

Seman, Federal Programs Coordinator, Office

of Management and Budget, Office of the

Governor, Saipan, MP 96950, Telephone:

(670) 664–2289, Fax: (670) 664–2272,

omb.jseman@saipan. com.

Virgin Islands: Ira Mills, Director, Office of

Management and Budget, #41 Norre Gade

Emancipation Garden Station, Second Floor,

Saint Thomas, Virgin Islands 00802,

Telephone: (340) 774–0750, Fax: (340) 776–

0069, lrmills@usvi.org.

Changes to this list can be made only after

OMB is notified by a State’s officially

designated representative. E-mail messages

can be sent to grants@omb.eop.gov. If you

prefer, you may send correspondence to the

following postal address: Attn: Grants

Management, Office of Management and

Budget, New Executive Office Building, Suite

6025, 725 17th Street, NW, Washington, DC

20503.

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

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38363

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of an agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress, an officer or emplyee 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 the Federal contract, grant,

loan, or cooperative agreement, the

undersigned shall complete and submit

Standard Form–LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly. This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

section 1352, title 31, U.S. Code. Any person

who fails to file the required certification

shall be subject to a civil penalty of not less

than $10,000 and not more than $100,000 for

each such failure.

Statement for Loan Guarantees and Loan

Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form–LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions. Submission of this statement is

a prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the

required statement shall be subject to a civil

penalty of not less than $10,000 and not more

than $100,000 for each such failure.

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Title

lllllllllllllllllllll

Organization

BILLING CODE 4184–01–P

38364 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

Instructions for Completion of SF–ILL,

Disclosure of Lobbying Activities

This disclosure form shall be completed by

the reporting entity, whether subawardee or

prime Federal recipient, as the initiation or

receipt of a covered Federal action, or a

material change to a previous filing, pursuant

to title 31 U.S.C. section 1352. The filing of

a form is required for each payment or

agreement to make payment to any lobbying

entity for influencing or attempting to

influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with a

covered Federal action. Complete all items

that apply for both the initial filing and

material change report. Refer to the

implementing guidance published by the

Office of Management and Budget for

additional information.

1. Identify the type of covered Federal

action for which lobbying activity is and/or

has been secured to influence the outcome of

a covered Federal action.

2. Identify the status of the covered Federal

action.

3. Identify the appropriate classification of

this report. If this is a followup report caused

by a material change to the information

previously reported, enter the year and

quarter in which the change occurred. Enter

the date of the last previously submitted

report by this reporting entity for this

covered Federal action.

4. Enter the full name, address, city, State

and zip code of the reporting entity. Include

Congressional District, if known. Check the

appropriate classification of the reporting

entity that designates if it is, or expects to be,

a prime or subaward recipient. Identify the

tier of the subawardee, e.g., the first

subawardee of the prime is the 1st tier.

Subawards include but are not limited to

subcontracts, subgrants and contract awards

under grants.

5. If the organization filing the report in

item 4 checks ‘‘Subawardee,’’ then enter the

full name, address, city, State and zip code

of the prime Federal recipient. Include

Congressional District, if known.

6. Enter the name of the Federal agency

making the award or loan commitment.

Include at least one organizational level

below agency name, if known. For example,

Department of Transportation, United Staates

Coast Guard.

7. Enter the Federal program name or

description for the covered Federal action

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38365

(item 1). If known, enter the full Catalog of

Federal Domestic Assistance (CFDA) number

for grants, cooperative agreements, loans, and

loan commitments.

8. Enter the most appropriate Federal

identifying number available for the Federal

action identified in item 1 (e.g., Request for

Proposal (RFP) number; invitation for Bid

(IFB) number; grant announcement number;

the contract, grant, or loan award number;

the application/proposal control number

assigned by the Federal agency). Include

prefixes, e.g., ‘‘RFP–DE–90–001.’’

9. For a covered Federal action where there

has been an award or loan commitment by

the Federal agency, enter the Federal amount

of the award/loan commitment for the prime

entity identified in item 4 or 5.

10. (a) Enter the full name, address, city,

State and zip code of the lobbying registrant

under the Lobbying Disclosure Act of 1995

engaged by the reporting entity identified in

item 4 to influence the covered Federal

action.

(b) Enter the full names of the individual(s)

performing services, and include full address

if different from 10(a). Enter Last Name, First

Name, and Middle Initial (MI).

11. The certifying official shall sign and

date the form, print his/her name, title, and

telephone number.

According to the Paperwork Reduction

Act, as amended, no persons are required to

respond to a collection of information unless

it displays a valid OMB Control Number. The

valid OMB control number for this

information collection is OMB No. 0348–

0046. Public reporting burden for this

collection of information is estimated to

average 10 minutes per response, including

time for reviewing instruction, searching

existing data sources, gathering and

maintaining the data needed, and completing

and reviewing the collection of information.

Send comments regarding the burden

estimate or any other aspect of this collection

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0046), Washington,

DC 20503.

Attachment I.—Department of Health

and Human Services (DHHS)

Regulations Applying to All Applicants/

Grantees Under the Fiscal Year 2000/

2001 Discretionary Grants Program

Title 45 of the Code of Federal Regulations

Part

16—DHHS Grant Appeals Process

74—Administration of Grants (nongovernmental)

74—Administration of Grants (state and local

governments and Indian Tribal

affiliates):

Section

74.26—Non-Federal Audits

74.27—Allowable cost for hospitals and

non-profit organizations among other

things

74.32—Real Property

74.34—Equipment

74.35—Supplies

74.24—Program Income

75—Informal Grant Appeal Procedures

76—Debarment and Suspension from

Eligibility for Financial Assistance

Subpart F—Drug Free Workplace

Requirements

Part

80—Non-discrimination Under Programs

Receiving Federal Assistance through

DHHS Effectuation of Title VI of the

Civil Rights Act of 1964

81—Practice and Procedures for Hearings

Under Part 80 of this Title

83—Regulation for the Administration and

Enforcement of Sections 799A and 845 of

the Public Health Service Act

84—Non-discrimination on the Basis of

Handicap in Programs and Activities

Receiving Federal Financial Assistance

85—Enforcement of Non-discrimination on

the Basis of Handicap in Programs or

Activities Conducted by DHHS

86—Non-discrimination on the Basis of Sex

in Education Programs and Activities

Receiving or Benefitting from Federal

Financial Assistance

91—Non-discrimination on the Basis of Age

in Health and Human Services Programs

or Activities Receiving Federal Financial

Assistance

92—Uniform Administrative Requirements

for Grants and Cooperative Agreements

to States and Local Governments

(Federal Register, March 11, 1988)

93—New Restrictions on Lobbying

100—Intergovernmental Review of DHHS

Programs and Activities

Attachment J.—Certification Regarding

Environmental Tobacco Smoke

Public Law 103227, Part C Environmental

Tobacco Smoke, also known as the Pro

Children Act of 1994, requires that smoking

not be permitted in any portion of any indoor

routinely owned or leased or contracted for

by an entity and used routinely or regulatory

for provision of health, day care, education,

or library services to children under the age

of 18, if the services are funded by Federal

programs either directly or through State or

local governments, by Federal grant, contract,

loan, or loan guarantee. The law does not

apply to children’s services provided in

private residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1000 per day and/or the imposition of an

administrative compliance order on the

responsible entity. By signing and submitting

this application the applicant/grantee

certifies that it will comply with the

requirements of the Act.

The applicant/grantee further agrees that it

will require the language of this certification

be included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

Attachment K.—Guidelines for a

Business Plan

The application must contain a detailed

and specific workplan or business plan that

is both sound and feasible. Generally, a

business plan is required for applications

submitted under sub-priority areas 1.1, 1.2

and 1.4. For all business ventures (except for

business development opportunities for selfemployed program participants) a complete

business plan will be required using

guidelines discussed in the next several

paragraphs. For the remaining sub-priority

areas, a workplan is acceptable in lieu of a

business plan.

Please note that OCS does not require the

application to contain business plans for

each self-employed program participant.

However, a project that proposes to provide

self-employed and other business

opportunities for program participants must

include a development plan that shows how

participants will become self-sufficient and

how their technical assistance needs will be

met.

Guidelines of a Business Plan

The business plan is one of the major

components that will be evaluated by the

OCS to determine the feasibility of a business

venture or an economic development project.

It must be well prepared and address all the

relevant elements as follows:

(a) Executive Summary (limit summary to

3 pages)

(b) The business and its industry. This

section should describe the nature and

history of the business and provide some

background on its industry.

(i) The Business: as a legal entity the

general business category;

(ii) Description and Discussion of Industry:

current status and prospects for the industry;

(c) Products and Services: This section

deals with the following:

(i) Description: Describe in detail the

products or services to be sold;

(ii) Proprietary Position: Describe

proprietary features if any of the product,

e.g., patients, trade secrets;

(iii) Potential: Features of the product or

service that may give it an advantage over the

competition;

(d) Market Research and Evaluation: The

applicant should consider businesses in

growth industries and occupations with skill

levels accessible to low income persons.

Businesses should be identified by Standard

Industrial Codes (SIC) and jobs by

occupational classifications. This

information is published by the U.S.

Department of Commerce in the ‘‘Statistical

Abstract of the United States, 1996’’, Table

No. 646 and 647. Also, you may use the table

included as ‘‘Attachment L’’ to identify

industrial areas and occupational

classifications. This section should present

sufficient information to show that the

product or service has a substantial market

and can achieve sales in the face of

competition;

(i) Customers: Describe the actual and

potential purchasers for the product or

service by market segment.

(ii) Market Size and Trends: State the site

of the current total market for the product or

service offered;

(iii) Competition: An assessment of the

strengths and weaknesses of competitive in

the current market;

38366 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

(iv) Estimated Market Share and Sales:

Describe the characteristics of the product or

service that will make it competitive in the

current market;

(e) Marketing Plan: The marketing plan

should detail the product, pricing,

distribution, and promotion strategies that

will be used to achieve the estimated market

share and sales projections. The marketing

plan must describe what is to be done, how

it will be done and who will do it. The plan

should address the following topics-Overall

Marketing Strategy, Packaging, Service and

Warranty, Pricing, Distribution and

Promotion.

(f) Design and Development Plans: If the

product, process or service of the proposed

venture requires any design and development

before it is ready to be placed on the market,

the nature and extent and cost of this work

should be fully discussed. The section

should cover items such as Development

Status and Tasks, Difficulties and Risks,

Product Improvement and New Products,

and Costs.

(g) Manufacturing and Operations Plan: A

manufacturing and operations plan should

describe the kind of facilities, plant location,

space, capital equipment and labor force

(part and/or full time and wage structure)

that are required to provide the company’s

product or service.

(h) Management Team: The management

team is the key in starting and operating a

successful business. The management team

should be committed with a proper balance

of technical, managerial and business skills,

and experience in doing what is proposed.

This section must include a description of:

the key management personnel and their

primary duties; compensation and/or

ownership; the organizational structure;

Board of Directors; management assistance

and training needs; and supporting

professional services.

(i) Overall Schedule: A schedule that

shows the timing and interrelationships of

the major events necessary to launch the

venture and realize its objectives. Prepare, as

part of this section, a month-by-month

schedule that shows the timing of such

activities as product development, market

planning, sales programs, and production

and operations. Sufficient detail should be

included to show the timing of the primary

tasks required to accomplish each activity.

(j) Critical Risks and Assumptions: The

development of a business has risks and

problems and the Business Plan should

contain some explicit assumptions about

them. Accordingly, identify and discuss the

critical assumptions in the Business Plan and

the major problems that will have to be

solved to develop the venture. This should

include a description of the risks and critical

assumptions relating to the industry, the

venture, its personnel, the products market

appeal, and the timing and financing of the

venture.

Also, if a ‘‘construction project’’ is

involved, the Business Plan should identify

and address briefly the project’s timeframes

and critical assumptions for conduct of

predevelopment, architectural/engineering

and environmental studies, etc., and

acquisition of permits for building, use and

occupancy that are required for the project.

(k) Community Benefits: The proposed

project must contribute to economic, human

and community development within the

projects targets area. A section that describes

and discusses the potential economic and

non-economic benefits to low income

members of the community must be included

as well as a description of the strategy that

will be used to identify and hire individuals

being served by public assistance programs

and how linkages with community agencies/

organizations administering the AFDC/TANF

program will be developed. The following

project benefits must be described:

Economic Development and Job Creation

—Number of jobs that will have career

development opportunities and a

description of those jobs;

—Number of jobs that will be filled by

individuals lifted form AFDC/TANF

assistance;

—Number of Self-employed and other

ownership opportunities created for lowincome residents;

—Annual salary expected for each person

employed (net profit after deductions of

business expenses for self-employed

persons);

—Specific steps to be taken including ongoing management support and technical

assistance provided by the grantee or a

third party of develop and sustain selfemployed program participants after their

businesses are in place.

Note: OCS will not recognize job

equivalents nor job counts based on

economic multiplier functions; jobs must be

specifically identified.

Other benefits, which might be discussed,

are:

Human Development

—New technical skills development and

associated career opportunities for

community residents;

—Management development and training;

—Benefits of self-sufficient for persons lifted

from AFDC/TANF assistance.

Community Development

—Development of community’s physical

assets;

—Provision of needed, but currently

unsupplied, services or products to

community;

—Improvement in the living environment.

(l) 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 selfsufficiency. In developing the Financial Plan,

the following exhibits must be prepared for

the first three years of the business’

operation:

(i) Profit and Loss Forecasts—quarterly for

each year;

(ii) Cash Flow Projections—quarterly for

each year.

(iii) Pro forma balance sheets—quarterly

for each year;

Also, additional financial information for

the business operations that must be

included are an initial Source and Use of

Funds Statement for project funds and a brief

summary paragraph discussing any further

capital requirements and their sources.

If an applicant is proposing a project which

will affect a property listed in, or eligible for

inclusion in the National Register of Historic

Places, it must identify this property in the

narrative and explain how it 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 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 Area 1.1, 1.2, and

1.4

Applications submitted under Sub-Priority

Areas 1.1, 1.2 and 1.4 which propose to use

the requested OCS funds to make an equity

investment or a loan to a business concern,

including a wholly-owned subsidiary, or to

make a sub-grant with a portion of OCS

funds, must include a written agreement

between the community development

corporation and the recipient of the grant

funds which contains all of the elements

listed in Part C under the appropriate Priority

Area.

Applicable to Sub-Priority Area 1.5 Only

An applicant in this priority area must

document its experience and capability in

several of the following areas:

—Business/Development;

—Micro-Entrepreneurship Development;

—Commercial Development;

—Organizaitonal and Staff Development;

—Board Training;

—Business Management, including Strategic

Planning and Fiscal Management;

—Finance, including Business Packaging and

Financial/Accounting Service, 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

Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices 38367

implementing projects national in scope and

have significant and relative experiences in

working with community development

corporations.

The applicant must have the ability to

collect and analyze data nationally that may

benefit CDCs and be able to disseminate

information to all of OCS funding grantees;

publish a national directory of funding

sources for CDCs (public, corporate,

foundation, religious); publish research

papers on specific aspects of job creation by

CDCs; design and provide information on

successful projects and economic niches that

CDCs can target. The applicant will also be

responsible for the development of

instructional programs, national conferences,

seminars, and other activities to assist

community development corporations; and

provide peer-to-peer technical assistance to

OCS funded CDCs.

Applicable to Sub-Priority Area 2.1

Each applicant must include a full

discussion of how the proposed use of funds

will enable low-income rural communities to

develop the capability and expertise to

establish and maintain affordable, adequate

and safe water and waste water systems.

Applicants must also discuss how they will

disseminate information about water and

waste water programs serving rural

communities, and how they will better

coordinate Federal, State and local water and

waste water program financing and

development to assure improved service to

rural communities.

Among the benefits that merit discussion

under this sub-priority area are: The number

of rural communities to be provided with

technical and advisory services; the number

of rural poor individuals who are expected to

be directly served by applicant-supported

improved water and waste water systems; the

decrease in the number of inadequate water

systems related to applicant activity; the

number of newly-established and applicantsupported 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 nondiscretionary program dollars expected to be

mobilized.

e. Significant and Beneficial Impact and

Other Criteria. The project narrative must

address the remaining aspects of the project

noted in the outline of Part F, ‘‘Contents of

Application and Receipt Process’’, Items V

and VI. These include private partnerships

and Budget Appropriateness and

Reasonableness’’ areas as well as information

to be included in the appendices.

Attachment L.—Table of Standard

Industrial Codes and Occupational

Classifications

Standard Industrial (SIC) Codes

Agriculture

Mining

Construction

Manufacturing

Transportation, and Public Utilities

Wholesale and Retail Trade

Finance, Insurance and Real Estate Services

Government

Occupational Classifications

Managerial and Professional Specialty

Technical sales, and Administrative

support (includes technicians and related

support, technicians, sales occupations,

including clerical)

Precision Production, Craft, and Repair

(includes mechanics, repairers,

construction trades, crafters)

Operators, fabricators, and Laborers (includes

machine operators, assemblers, inspectors,

transportation and material moving

occupations, handlers, equip cleaners,

Helpers, laborers including construction

laborers)

Farming, Forestry and Fishing

Source: U.S. Department of Commerce,

‘‘Statistical Abstract of the United States,

1996’’, Table Nos. 646 and 647. Updated

1998. Table Nos. 679 and 680.

BILLING CODE 4184–01–M

38368 Federal Register / Vol. 65, No. 119 / Tuesday, June 20, 2000 / Notices

[FR Doc. 00–15061 Filed 6–19–00; 8:45 am]

BILLING CODE 4184–01–P