14536 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. OCS–97–01]

Request for Applications Under the

Office of Community Services’ Fiscal

Year 1997 Discretionary Grants

Program

AGENCY: Office of Community Services,

ACF, DHHS.

ACTION: Request for applications under

the Office of Community Services’

Discretionary Grants Program.

SUMMARY: The Administration for

Children and Families, Office of

Community Services (OCS) announces

that competing applications will be

accepted for new grants pursuant to the

Secretary’s discretionary authority

under sections 681(a) and (b) of the

Community Services Block Grant Act of

1981, as amended. This Program

Announcement consists of nine parts:

Part A covers information on

legislative authorities and defines terms

used in the Program Announcement;

Part B provides details on application

prerequisites, funds available in each

priority area, limitations on grant

amounts, project periods, who should

benefit from the programs, and other

application requirements;

Part C lists the two program priority

areas under which grants will be made,

describes the types of projects that will

be considered for funding under each

priority area, and defines which

organizations are eligible to apply;

Part D provides the criteria for review

and evaluation of each application to

program elements of the program

priority area;

Part E describes the application

procedures, including the availability of

forms, where and how to submit an

application, the criteria used in

screening and compliance with Federal

requirements regarding the drug-free

workplace and debarment requirements

in submitting the application;

Part F describes the contents of the

application package and receipt process;

Part G provides instructions for

completing the SF–424 following

standard Federal guidelines as well as

OCS specific requirements, and

describes how the project narrative

should be ordered and presented;

Part H details post-award information

and reporting requirements; and

Part I provides for an appendices of

additional applicable Federal

Regulations in Attachments A–K.

CLOSING DATE: The closing time and date

for receipt of applications is 4:30 p.m.

( Eastern Standard Time) May 27, 1997.

Applications received after 4:30 p.m. on

that day will be classified as late.

Postmarks and other similar documents

do not establish receipt of an

application. Detailed application

submission instructions including the

addresses where applications must be

received, are found in Part E of this

announcement.

FOR FURTHER INFORMATION CONTACT:

Joseph Carroll, Office of Community

Services, Division of Community

Discretionary Programs, Administration

for Children and Families, 370 L’Enfant

Promenade, SW, Washington, D.C.

20447, telephone (202) 401–9345 and

fax (202) 401–4687.

Table of Contents

Part A—Preamble

1. Legislative Authority

2. Departmental Goals

3. Definition 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. Sub-contracting or Delegating Projects

9. Previous Performance and Current Grants

Part C—Program Priority Areas

Part D—Criteria for Review and Evaluation

of all Applications

Part E—Application Procedures

1. Availability of Forms

2. Application Submission

3. Intergovernmental Review

4. Application Consideration

5. Criteria for Screening Applicants

Part F—Contents of Application and Receipt

Process

1. Contents of Application

2. Acknowledgement of Receipt

Part G—Instructions for Completing

Application Package

1. SF–424 ‘‘Application for Federal

Assistance’’

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

3. SF–424B ‘‘Assurances—NonConstruction’’

4. Restrictions on Lobbying Activities

5. Disclosure of Lobbying Activities, SF–LLL

6. Certification Regarding Environmental

Tobacco Smoke

7. Project Abstract

8. Project Narrative

Part H—Post Award Information and

Reporting Requirements of Community

Services’ Discretionary Grants Program

Part I—Appendices

1. Attachments A–K

Part A—Preamble

1. Legislative Authority

Section 681(a) and 681(b)(2) of the

Community Services Block Grant Act, as

amended, authorizes the Secretary to

make funds available to support

program activities of national or

regional significance to alleviate the

causes of poverty in distressed

communities with special emphasis on

community and economic development

activities.

2. Departmental Goals

This announcement is particularly

relevant to the Departmental goal of

strengthening the American family and

promoting self-sufficiency. These

programs have objectives of increasing

the access of low-income people to

employment 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. Definition of Terms

For purposes of this Program

Announcement the following

definitions apply:

—Budget Period: The interval of time

into which a grant period of

assistance is divided for budgetary

and funding purposes.

—Cash Contributions: The cash outlay

which includes the money

contributed to the project or program

by the recipient and third parties.

—Community Development

Corporation: A private, nonprofit

entity, governed by a board consisting

of residents of the community and

business and civic leaders, which has

as a principal purpose planning,

developing, or managing low-income

housing or community development

projects.

—Community Economic Development

(CED): An economic process by which

a community uses its resources to

attract capital and increase business

development and job opportunities

for its residents. CED enhances the

quality of the economic and physical

environment of the community.

—Construction Projects: For the purpose

of this announcement, construction

projects involve land improvements

and development or major renovation

of (new or existing) facilities and
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14537

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

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 (TANF, JTPA, etc).

—Empowerment Zones and Enterprise

Communities: Those communities

designated as such by the Secretaries

of Agriculture or Housing and Urban

Development.

—Equity Investment: The provision of

capital to an organization for use as

working capital or for some other

specified purpose in return for a

portion of ownership.

—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 that are

realized as a result of the OCS funded

project which includes development

of either new or expanding business,

service, physical and commercial

activities. The jobs created must not

have been in existence prior to the

start of the project. Note: Job creation

is to be distinguished from job

placement services.

—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.

—Job Retention: Jobs that are saved as

a result of the OCS grant. (For

example, saving a business that may

be headed towards bankruptcy or

stopping a business that may be

relocating which would cause the loss

of low-income jobs).

—Letter of Commitment: A signed,

written binding pledge from a grantor

or lender of funds for a specified

purpose which sets forth terms and

conditions 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: The

guidelines, published annually by the

U.S. Department of Health and

Human Services, which establish the

level of poverty defined as lowincome for individuals and their

families.

—Program Income: Gross income earned

by the recipient (during the project

period) that is directly generated by a

supported activity or earned as a

result of the award.

—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

principal repayments of loans are repaid into the fund and 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.

—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 which transforms welfare

into a system that requires work in

exchange for time-limited assistance.

The law specifically eliminates any

individual entitlement to or guarantee

of assistance, repeals the Aid to

Families with Dependent Children

(AFDC) program, Emergency

Assistance (EA) and Job Opportunities

and Basic Skills Training (JOBS)

programs, and replaces them with a

Block grant entitlement to States

under Title IV of the Social Security

Act.

—Third Party In-kind Contributions:

The value of non-cash contributions

provided by non-federal third parties

which may be in the form of real

property, equipment, supplies and

other expendable property, and the

value of goods and services directly

benefitting and specifically

identifiable to the project or program.

Part B—Application Prerequisites

1. Eligible Applicants

Priority areas included in this

Program Announcement have differing

eligibility requirements. Therefore,

eligible applicants are identified in the

individual priority area descriptions

found in Part C.

2. Availability of Funds

a. All grant awards are subject to the

availability of appropriated funds.

Approximately $25,332,000 is available

for FY 1997. The approximate amount

of funds anticipated to be available for

each Priority Area is summarized below:

Priority area Fiscal year

1997 funds

Priority Area 1.0 Urban and Rural Community Economic Development:

1.1 Urban and Rural Community Economic Development (Operational) .................................................................................. $15,772,000

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

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

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

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

1.6 Training & Technical Assistance (Set Aside) ...................................................................................................................... 210,000

Priority Area 2.0 Rural Community Development Activities:

2.1 Rural Community Facilities Development (Water and Waste Water Treatment Systems Development) ............................. 3,500,000
14538 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

b. Grant Amounts. The approximate

amounts to be granted for projects under

the Priority Areas are indicated below:

Sub-priority area Funding limit

1.1 ........................................................................................................................................................ Approximately 10 at $700,000.

Approximately 20 at $350,000.

1.2 ........................................................................................................................................................ Approximately 6 at $350,000.

1.3 ........................................................................................................................................................ Approximately 10 at $75,000.

1.4 ........................................................................................................................................................ Approximately 10 at $250,000.

1.5 ........................................................................................................................................................ Approximately 1 at $500,000.

1.6 ........................................................................................................................................................ Approximately 1 at $210,000.

2.1 ........................................................................................................................................................ Approximately 8 from $300,000–$533,000.

3. Project and Budget Periods

For Sub-Priority Areas 1.1, 1.2, and

1.4, applicants with projects involving

construction only, may request project

and budget periods of up to 36 months.

Applicants for non-construction projects

under these priority areas may request

projects and budget periods of up to 17

months. Sub-Priority Areas 1.5, and 1.6

may request project and budget periods

of up to 17 months. For Sub-Priority

Area 2.1, grantees will be funded for a

12 month project period. For SubPriority Area 1.3, applicants may

request project and budget periods of up

to 12 months.

4. Mobilization of Resources

OCS encourages and strongly

supports leveraging of resources through

public/private partnerships which can

mobilize cash and/or third-party in-kind

contributions.

5. Program Beneficiaries

Projects proposed for funding under

this Announcement must result in

direct benefits to low-income people as

defined in the most recent Annual

Revision of Poverty Income Guidelines

published by DHHS.

Attachment A of the appendices to

this Announcement is an excerpt from

the Poverty Income Guidelines currently

in effect. Annual revisions of these

guidelines are normally published in

the Federal Register in February or

early March of each year. Grantees will

be required to apply the most recent

guidelines throughout the project

period. These revised guidelines may be

obtained at public libraries,

Congressional offices, or by writing the

Superintendent of Documents, U.S.

Government Printing Office (GPO),

Washington, D.C. 20402. Also, see ‘‘For

Further Information 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

An application may contain only one

project except for Sub-Priority Areas

1.3, 1.5, and 1.6 where applicants are

researching various opportunities, are

sharing administrative and management

expertise with current OCS grantees, or

are providing training and/or technical

assistance for current OCS grantees,

including the organization of seminars

and other activities in assisting

Community Development Corporations.

Applications which are not in

compliance with this requirement will

be ineligible for funding.

7. Multiple Submittals

There is no limit to the number of

applications that can be submitted

under a specific program priority area as

long as each application contains a

proposal for a different project.

However, an applicant can receive only

one grant in each Priority Area. Also

applicants that receive more than one

grant for a common budget/project

periods must be mindful that salaries

and wages claimed for the same persons

cannot collectively exceed 100% of total

annual salary.

8. Sub-contracting or Delegating Projects

OCS does not fund projects where the

role of the applicant is primarily to

serve as a conduit for funds to

organizations other than the applicant.

The applicant must have a substantive

role in the implementation of the project

for which funding is requested.

9. Previous Performance and Current

Grants

Previous performance of applicants

will be considered an important

determining factor in the grant award

decisions. Any applicant which has

three or more active OCS grants may

only be funded under exceptional

circumstances.

Part C—Program Priority Areas

The program priority areas of the

Office of Community Services’

Discretionary Grants Program are as

follows:

Priority Area 1.0 Urban and Rural

Community Economic Development

Sub-Priority Areas under 1.0

1.1 Urban and Rural Community

Economic Development

(Operational).

1.2 Urban and Rural Community

Economic Development (HBCU SetAside).

1.3 Urban and Rural Community

Economic Development (PreDevelopmental Set-Aside).

1.4 Urban and Rural Community

Economic Development

(Developmental Set-Aside).

1.5 Administrative and Management

Expertise (Set-Aside)

1.6 Training and Technical

Assistance (Set-Aside)

Priority Area 2.0 Rural Community

Development Activities

Sub-Priority Area under 2.1

Rural Community Facilities

Development (Water and Waste

Water Treatment Systems

Development).

Priority Area 1.0 Urban and Rural

Community Economic Development

Eligible applicants are private, nonprofit community development

corporations (CDCs) governed by a

board consisting of residents of the

community and business and civic

leaders which have as a principal

purpose planning, developing, or
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14539

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 AFDC/TANF

recipients; low-income residents

including displaced workers; at-risk

teenagers; noncustodial parents,

particularly those of children receiving

AFDC/TANF assistance; individuals

residing in public housing; individuals

who are homeless; and those with

developmental disabilities. It is

intended to provide resources to eligible

applicants (CDCs) but also has the

broader objectives of arresting

tendencies toward dependency, chronic

unemployment, and community

deterioration in urban and rural areas.

Sub-Priority Area 1.5 is intended to

provide administrative and management

expertise to current Office of

Community Services’ grantees who are

experiencing problems in the

implementation of urban and rural

community economic development

projects. Sub-Priority Area 1.6 is

intended to provide training and

technical assistance to groups of

community development corporations

in developing or implementing projects

funded under this section and to

generally enhance the viability and

competence of community development

corporations.

This program also seeks to attract

additional private capital into distressed

communities, including empowerment

zones and enterprise communities, and

to build and/or expand the ability of

local institutions to better serve the

economic needs of local residents.

Sub-Priority Area 1.1 Urban and Rural

Community Economic Development

(Operational)

Funds will be provided to a limited

number of private non-profit

community development corporations

for business development activities at

the local level. Funding will be

provided for specific projects and will

require the submission of work plans

and/or business plans that meet the test

of economic feasibility.

For Fiscal Year 1997, it is anticipated

that approximately twenty (20) grants

up to a maximum of $350,000 will be

awarded and approximately ten (10)

grants over $350,000 but up to $700,000

will be made. Competition for these

funds will be restricted to either the

$350,000 and under or over $350,000

but up to $700,000 categories. Each

category of funds will compete only

among themselves.

Projects must further the

Departmental goals of strengthening

American families and promoting their

self-sufficiency. OCS is particularly

interested in receiving applications that

stress public-private partnerships that

are directed toward the development of

economic self-sufficiency in distressed

communities through projects that focus

on providing employment and business

development opportunities for lowincome people through business,

service, physical and commercial

development.

Applicants located in empowerment

zones and enterprise communities are

urged to submit applications. Likewise,

applicants are encouraged to foster

partnerships with child support

enforcement agencies to increase the

capability of low-income noncustodial

parents, particularly those of children

receiving AFDC/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.

Applications must show that the

proposed project:

(1) Creates full-time permanent jobs

except where an applicant demonstrates

that a permanent part-time job produces

actual wages that exceed the HHS

poverty guidelines. Seventy-five percent

(75%) of those jobs created must be

filled by low-income residents of the

community and must also provide for

career development opportunities.

Project emphasis should be on

employment of individuals who are

unemployed or on public assistance,

with particular emphasis on those that

are at-risk teenagers; AFDC/TANF

recipients; low-income noncustodial

parents, particularly those of children

receiving AFDC/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 concentrate on

those jobs created during the duration of

the OCS project period; and/or

(2) Creates a significant number of

business development opportunities for

low-income residents of the community

or significantly aids such residents in

maintaining economically viable

businesses; and

(3) Provides for establishing the selfsufficiency of program participants.

In the evaluation process, favorable

consideration will be given to

applicants under this priority area who

show the lowest cost-per-job created.

Unless there are extenuating

circumstances, OCS will not fund

projects where the cost-per-job in OCS

funds exceeds $15,000.

In addition, favorable consideration in

the evaluation process will be given to

applicants who demonstrate their

intention to coordinate services with the

local AFDC/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

Poverty Income Guidelines published

by DHHS) including noncustodial

parents. Applicants should submit a

written agreement from the applicable

office or agency that indicates what

actions will be taken to integrate/

coordinate services that relate directly

to the project for which funds are being

requested. The agreement should

include the goals and objectives

(including target groups) that the

applicant and the employment

education and training office and child

support enforcement agency expect to

reach through their collaboration. It

should describe the cooperative

relationship, including specific

activities and/or actions each of these

entities proposes to carry out in support

of the project, and the mechanism(s) to

be used in coordinating those activities

if the project is funded by OCS.

Documentation that illustrates the

organizational experience of the

employment education and training

office should also be included.

Any applicant which proposes to use

the requested OCS funds to make an

equity investment such as the purchase

of stock, or a loan to a business concern,

including a wholly-owned subsidiary,

or to make a sub-grant with a portion of

the OCS funds, in addition to

submission of a business plan, must

include the terms of the proposed

transaction. For example, regarding a

stock purchase, the cost per share,

number of shares and percentage of

ownership is needed. Also the

application must include a written

agreement with the third party that

commits the latter to the following:

1. A minimum of 75% of the jobs to

be created under the grant will be for

low-income individuals.

2. The grantee will have authority to

screen applicants for jobs to be filled by
14540 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

low-income individuals and to verify

their eligibility.

3. The grantee will have a seat on the

Board of Directors of the third party’s

firm if the grantee’s investment equals

25% or more of the firm’s assets. (Not

applicable to loans made to third

parties.)

4. Reports will be made on a regular

basis to the grantee on the use of grant

funds.

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 will provide

details on how the community

development corporation will provide

support and technical assistance to the

third-party in areas of recruitment and

retention of low-income individuals.

OCS encourages applications that will

develop linkages or agreements with

local agencies responsible for

administering AFDC/TANF programs

and child support enforcement

agreements. OCS would expect these

programs to create new jobs for AFDC/

TANF recipients; and low-income

noncustodial parents, particularly those

of children receiving AFDC/TANF

assistance. These initiatives can be

accomplished through a variety of

business development projects funded

under this priority area, i.e., business

expansions, new business development

and self-employment activities, etc.

OCS does not fund education and

training programs. In projects where

participants must be trained, any funds

that are proposed to be used for training

purposes must be limited to providing

specific job-related training to those

individuals who have been selected for

employment in the grant supported

project which includes development of

either new or expanding business,

service, physical and commercial

activities.

Projects involving training and

placement for existing vacant positions

will be disqualified.

Projects which would result in the

relocation of a business from one

geographic area to another with the

possible displacement of employees are

discouraged.

OCS will not consider applications

that propose to establish or expand

revolving loan funds nor proposals that

are geared towards the establishment of

Small Business Investment Corporations

or Minority Enterprise Small Business

Investment Corporations.

OCS does not anticipate approving

the funding of applications which

propose to sub-grant all or most of the

grant activities to an unrelated entity.

Applicants must be aware that

projects funded under this priority area

must be operational by the end of the

project period, i.e., businesses must be

in place, and low-income individuals

actually employed in those businesses.

See Part G 8 for special instructions

on developing a program narrative for

this priority area.

Sub-Priority Area 1.2 Urban and Rural

Community Economic Development

(HBCU Set-Aside)

For Fiscal Year 1997, it is anticipated

that a set-aside fund of $2,100,000 will

be included under this priority area for

eligible applicants that submit projects

that will be carried out in conjunction

with Historically Black Colleges and

Universities (HBCU), as defined in

Executive Order Number 12677, dated

April 28, 1989, through contract or subgrant. 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

which are not funded due to the limited

amount of funds available will also be

considered competitively within the

larger pool of eligible applicants under

Sub-Priority Area 1.1.

Any funds that are not used under

this sub-priority area due to the limited

number of highly scored applications

will be rolled over into Sub-Priority

Area 1.1.

Any funds that are proposed to be

used for training 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

development of either new or expanding

business, service, physical and

commercial activities.

See Part G 8 for special instructions

on developing a work program for this

priority area.

Sub-Priority Area 1.3 Urban and Rural

Community Economic Development

(Pre-Developmental Set-Aside)

OCS intends in this Sub-priority area

to provide funds to recently-established

private, non-profit community

development corporations which

propose to undertake economic

development activities in distressed

communities.

OCS recognizes that there are a

number of newly-organized non-profit

community development corporations

which have identified needs in their

communities but have not had the staff

or other resources to develop projects to

address those needs. This lack of

resources also might be affecting their

ability to compete for funds, such as

those provided under Sub-priority area

1.1 (Operational Grants), since their

limited resources would preclude them

from developing a comprehensive

business plan and/or mobilizing

resources. OCS has an interest in

providing support to these new entities

in order to enable them to become more

firmly established in their communities,

thereby bringing technical expertise and

new resources to these previously

unserved or underserved communities.

Therefore, OCS is setting aside funds in

Fiscal Year 1997 for grants to private,

non-profit community development

corporations that have never received

OCS funding; have been in existence for

no more than three years or have been

in existence longer than three years but

have no record of participation in

economic development type projects.

For the latter, a CDC must state that it

has not been active. Also, for this subpriority area only, the phrase ‘‘no

participation in economic development

type projects’’ means an eligible

applicant has not sponsored nor had

any significant participation in projects

that have provided employment or

business development opportunities

through business, service, physical and

commercial activities. In addition,

applicants with housing experience

must not have significant participation

in planning, developing and managing

housing with an aggregate cost or

investment value of $1 million or more.

We anticipate that grants of up to

$75,000 each will be made to eligible

applicants. These grants will be made

for a period of one year and will not

require leveraged or mobilized funds.

These grants will be predevelopmental grants under which

CDCs may incur costs to: (1) Evaluate

the feasibility of potential projects

which address identified needs in the

low-income community and which

conform to those projects and activities

allowable under Sub-Priority Areas 1.1,

1.2, and 1.4; (2) develop a Business Plan

related to one of those projects; and (3)

mobilize resources to be contributed to

one of those projects, including the

utilization of HBCUs.

Based on the availability of funds in

Fiscal Year 1998, OCS will consider

establishing a set-aside to provide
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14541

operational funds to those organizations

which received pre-developmental

grants. Grants might be for a maximum

of $250,000 and competition for those

funds would be restricted to those

organizations receiving Fiscal Years

1996 and 1997 pre-developmental

grants. The Business Plan developed as

a result of the pre-developmental grant

would be submitted as part of the

competitive application.

Specifically, each application for

Fiscal Year 1997 funded under this Subpriority Area must include the following

as part of the project narrative:

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

a description of the low-income area it

proposes to address;

2. Analysis of need in the distressed

community;

3. How the potential projects relate to

applicant’s organizational goals and

previous experience (if any);

4. Project design and implementation

factors including a discussion of

potential projects that might be

implemented to address identified

needs, a strategy for conduct of

feasibility studies on potential projects

and quarterly work plans with specific

task timelines and a self-evaluation

component; and

5. Project objectives and measurable

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

business plan on only one selected

project based on results of the feasibility

studies and plan for mobilization of

nondiscretionary dollars to implement

it.

Applications for these set-aside funds

which 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.

Sub-Priority Area 1.4 Urban and Rural

Community Economic Development

(Developmental Set-Aside)

OCS intends in this Sub-priority area

to provide funds to organizations which

received grants from OCS in Fiscal

Years 1995 and 1996 under the PreDevelopmental grant program. These

organizations will compete only among

themselves. Such projects must conform

to the purposes, requirements and

prohibitions applicable to those

submitted under Priority Area 1.1.

Applications which are not funded

within this set-aside due to the limited

amount of funds available will also be

considered competitively within the

larger pool of eligible applicants under

Sub-Priority Area 1.1.

Sub-Priority Area 1.5 Administrative

and Management Expertise (Set-Aside)

OCS believes that one of the most

effective means of assuring the

successful operation of a project under

the Discretionary Grants Program area is

through the sharing amongst CDCs of

their experiences in dealing with the

day-to-day issues and challenges

presented in promoting community

economic development. Accordingly,

OCS strongly encourages more

experienced CDCs to share their

administrative and management

expertise with less experienced CDCs or

with those who have encountered

difficulties in operationalizing their

work programs. In order to facilitate

this, OCS will provide funds to one or

more community development

corporations to assist with their efforts

to enhance the management and

operational capacities of the less

experienced CDCs or those having

difficulties.

We anticipate that the grant(s) would

be for a maximum of $500,000 with a

project period not to exceed 17 months.

OCS will share with the grantee(s)

information on other grantees seeking to

benefit from such assistance. Such

formal requests could also be initiated

by a grantee with the concurrence of

OCS. These contacts may occur on-site,

by telephone, or by other methods of

communication. Costs incurred in

connection with participating in such

activities will be borne by the

recipient(s) of the OCS grant under this

sub-priority area.

Sub-Priority Area 1.6 Training and

Technical Assistance (Set-Aside)

Funds will be awarded to one

organization under this priority area for

the purpose of providing training and

technical assistance to strengthen the

network of CDCs.

We anticipate that the grant will be

for $210,000 with a grant period not to

exceed 17 months. Applicant must have

the ability to collect and analyze data

nationally that may benefit CDCs and be

able to disseminate information to all of

OCS funded grantees; publish a national

directory of funding sources for CDCs

(public, corporate, foundation,

religious); publish research papers on

specific aspects of job creation by CDCs;

design and provide information on

successful projects and economic niches

that CDCs can target. The applicant will

also be responsible for the development

of instructional programs, national

conferences, seminars, and other

activities to assist community

development corporations.

Eligible applicants are private nonprofit organizations. Applicants must

operate on a national basis and have

significant and relevant experiences in

working with community development

corporations.

Priority Area 2.0 Rural Community

Development Activities

Sub-Priority Area 2.1 Rural

Community Facilities Development

(Water and Waste Water Treatment

Systems Development)

Funds will be provided under this

sub-priority area to help low-income

rural communities develop the

capability and expertise to establish

and/or maintain affordable, adequate

and safe water and waste water

treatment facilities.

Funds provided under this Subpriority area may not be used for

construction of water and waste water

treatment systems or for operating

subsidies for such systems, but other

mobilized funds may be used for these

activities. Therefore, it is suggested that

applicants coordinate projects with the

Farmers Home Administration (FmHA)

and other Federal and State agencies to

ensure that funds for hardware for local

community projects are available.

Eligible applicants are multi-state,

regional private non-profit organizations

that can provide training and technical

assistance to small, rural communities

in meeting their community facility

needs.

See Part G 8 for special instructions

on developing a program narrative for

this 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, 1.2, 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)

(i) Organizational Experience in

Program Area (sub-rating: 0–15 points).

Documentation provided indicates

that projects previously undertaken

have been relevant and effective and

have provided permanent benefits to the

low-income population. (0–5 points)

The applicant has demonstrated the

ability to implement major activities in

such areas as business development,
14542 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

commercial development, physical

development, or financial services; the

ability to mobilize dollars from sources

such as the private sector (corporations,

banks, etc.), foundations, the public

sector, including State and local

governments, or individuals; that it has

a sound organizational structure and

proven organizational capability; and an

ability to develop and maintain a stable

program in terms of business, physical

or community development activities

that will provide needed permanent

jobs, services, business development

opportunities, and other benefits to

community residents. (0–10 points)

(ii) Staff Skills, Resources and

Responsibilities (sub-rating 0–10

points).

The application describes in brief

resume form the experience and skills of

the project director who is not only well

qualified, but his/her professional

capabilities are relevant to the

successful implementation of the

project. If the key staff person has not

yet been identified, the application

contains a comprehensive position

description which indicates that the

responsibilities to be assigned to the

project director are relevant to the

successful implementation of the

project. (0–5 points)

The applicant has adequate facilities

and resources (i.e. space and

equipment) to successfully carry out the

work plan. (0–2 points)

The assigned responsibilities of the

staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project. (0–

3 points)

(c) Criterion III: Project

Implementation (Maximum: 25 points).

The Work Plan, or Business Plan

where appropriate, is both sound and

feasible. Briefly the plan should

describe the key work tasks and show

how the project objectives will be

accomplished including the

development of business and creation of

jobs for low-income persons during the

allowable OCS project period. The

project is responsive to the needs

identified in the Analysis of Need. (0–

5 points)

It sets forth realistic quarterly time

targets by which the various work tasks

will be completed. (0–5 points)

Critical issues or potential problems

that might impact negatively on the

project are defined and the project

objectives can be reasonably attained

despite such potential problems. (0–5

points)

The application contains a full and

accurate description of the proposed use

of the requested financial assistance.

Also, if the project proposes the

development of a new or expanding

business, service, physical or

commercial activity, the application

must address applicable elements of a

business plan which are included in the

section on ‘‘Instructions for Completing

Application Package’’ of the Program

Announcement. Special attention

should be given to assure that the

financial plan element, which indicates

the project’s potential and timetable for

financial self-sufficiency, is included. It

must include the following exhibits for

the first three years (on a quarterly

basis) of business’ operations: Profit and

Loss Forecasts, Cash Flow Projections

and Proforma Balance Sheets. Also, an

initial Source and Use of Funds

statement for all project funding must be

included. (0–10 points)

(d) Criterion IV: Significant and

Beneficial Impact (Maximum: 20

points).

(i) Significant and Beneficial Impact

(sub-rating: Maximum: 0–5 points).

The proposed project will produce

permanent and measurable results that

will reduce the incidence of poverty and

AFDC/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 enterprise zones and

enterprise communities. (0–2 points)

(ii) Community Empowerment

Consideration and Partnership with

Child Support Enforcement Agency

(Maximum: 0–5 points).

Special consideration will be given to

applicants who are located in areas

which are characterized by poverty and

other indicators of socio-economic

distress such as a poverty or AFDC/

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 AFDC/TANF. (0–3 points)

Applicants should document that

they were involved in the preparation

and implementation of a comprehensive

community-based strategic plan to

achieve both economic and human

development in an integrated manner;

and how the proposed project will

support the goals of that plan. Also

applicants should document that they

have entered into partnership

agreements with local Child Support

Enforcement agencies to increase

capability of low-income parents and

families to fulfill their parental

responsibilities. (0–2 points)

Note: Applicants that 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.

(iii) Cost-per-Job (sub-rating: 0–5

points).

During the project period, the

proposed project will create new,

permanent jobs or maintain permanent

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

unless there are extenuating

circumstances, i.e., Alaska where the

cost of living is much higher.

(Note: The maximum number of points

will be given to those applicants proposing

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.)

(iv) Career Development

Opportunities (sub-rating: 0–5 points).

The application documents that the

jobs to be created for low-income people

have career development opportunities

which will promote self-sufficiency.

(e) Criterion V: Public-Private

Partnerships (Maximum: 20 points).

(i) Mobilization of resources (subrating: 15 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.

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 1: Cash resources such as cash or

loans contributed from all project sources

(except for those contributed directly by the

applicant) must be documented by letters of

commitment from third parties making the

contribution. Third party in-kind

contributions such as equipment or real

property contributed by applicant or third

parties must be documented by an inventory

for equipment and a copy of deed or other

legal document for real property. In addition,

future or projected program income such as

gross or net profits from the project or

business operations will not be recognized as

mobilized or contributed resources.

Note 2: Applicants under Sub-Priority Area

1.2 who have a signed, written agreement for

a partnership with Historically Black

Colleges and Universities are deemed to have

fully met this criterion and will receive the

maximum number of points if they include

the agreement with the HBCU.
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14543

(ii) 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 (such as JTPA) to ensure that

welfare recipients, at-risk youth,

displaced workers, public housing

tenants, homeless and low-income

individuals and low-income

noncustodial parents will be trained and

placed in the newly created jobs. The

applicant provides written agreements

from the local AFDC/TANF or other

employment, education and training

office, and child support enforcement

agency indicating what actions will be

taken to integrate/coordinate services

that relate directly to the project for

which funds are being requested. (0–2

points)

Specifically, the agreements should

include: (1) The goals and objectives

that the applicant and (a) the AFDC/

TANF or other employment, education

and training office and/or (b) child

support enforcement agency expect to

achieve through their collaboration; (2)

the specific activities/actions that will

be taken to integrate/coordinate services

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

population that this collaboration will

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

in integrating/coordinating activities; (5)

how those activities will be significant

in relation to the goals and objectives to

be achieved through the collaboration;

and (6) how those activities will be

significant in relation to their impact on

the success of the OCS-funded project.

(0–2 points)

The applicant should also provide

documentation that illustrates the

organizational experience related to the

employment education and training

program (refer to Criterion II for

guidelines). (0–1 point)

(f) Criterion VI: Budget

Appropriateness and Reasonableness

(Maximum: 5 points).

Funds requested are commensurate

with the level of effort necessary to

accomplish the goals and objectives of

the project. (0–2 points)

The application includes a detailed

budget break-down for each of the

budget categories in the SF–424A. The

applicant presents a reasonable

administrative cost. (0–2 points)

The estimated cost to the government

of the project also is reasonable in

relation to the anticipated results. (0–1

point)

2. Criteria for Review and Evaluation of

Applications Submitted Under SubPriority Area 1.3

(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).

(i) Organizational experience in

program area (sub-rating: 5 Points).

Each applicant must briefly show why

their organization can successfully

implement the project for which they

are requesting funds. (0–3 points)

If an applicant has a history of prior

achievements in economic development

within the past three (3) years, it should

address the relevance and effectiveness

of those projects undertaken, especially

their cost effectiveness and the

relevance and effectiveness of any

services and the permanent benefits

provided to the targeted population. (0–

2 points)

(ii) Management capacity (sub-rating:

5 points).

Applicants must fully detail their

ability to implement sound and effective

management practices and if they have

been recipients of other Federal or other

governmental grants, they must also

detail that they have consistently

complied with financial and program

progress reporting and audit

requirements. (0–3 points)

Applicants should submit any

available documentation on their

management practices and progress

reporting procedures along with a

statement by a Certified or Licensed

Public Accountant as to the sufficiency

of the applicant’s financial management

system to protect adequately any

Federal funds awarded under the

application submitted. (0–2 points)

Note: The documentation of the applicant’s

management practices, etc., and statement

from the Accountant on the financial

management system must address the

applicant organization’s own internal system

rather than an external system of an affiliate,

partner or management support organization,

etc.

(iii) Staffing (sub-rating: 5 points).

The application must fully describe

(e.g., resumes) the experience and skills

of key staff showing that they are not

only well qualified but that their

professional capabilities are relevant to

the successful implementation of the

project.

(iv) Staffing responsibilities (subrating: 5 points).

The application must describe how

the assigned responsibilities of the staff

are appropriate to the tasks identified

for the project.

(c) Criterion III: Project Design,

Implementation and Evaluation

(Maximum: 30 Points).

(i) Project implementation component

(sub-rating: 25 points).

The work plan must address a clearly

identified need in the low-income

community described in Criterion I. The

plan must include a methodology to

evaluate the feasibility of potential

projects that conform to the type

projects and activities allowable under

Sub-priority areas 1.1, 1.2, and 1.4 (0–

10 points)

It must set forth realistic quarterly

time schedules of work tasks by which

the objectives (including the

development of a business plan and

mobilization of resources) will be

accomplished. Because quarterly time

schedules are used by OCS as a key

instrument to monitor progress, failure

to include these time targets will

seriously reduce an applicant’s point

score in this criterion. (0–10 points)

It must define critical issues or

potential problems that might impact

negatively on the project and it must

indicate how the project objectives will

be attained notwithstanding any such

potential problems. (0–5 points)

(ii) Evaluation component (sub-rating:

5 points).

All proposals should include a selfevaluation component. The evaluation

data collection and analysis procedures

should be specifically oriented to assess

the degree to which the stated goals and

objectives are achieved. (0–3 points)

Qualitative and quantitative measures

reflective of the scheduling and task

delineation in (1) above should be used

to the maximum extent possible. This

component should indicate the ways in

which the potential grantee would

integrate qualitative and quantitative

measures of accomplishment and

specific data into its program progress

reports that are required by OCS from

all pre-development grantees. (0–2

points)

(d) Criterion IV: Significant and

Beneficial Impact (Maximum: 25

Points).

Funding under this Sub-priority area

is targeted to result in a Business Plan

for a proposed project. The proposed

project around which the Business Plan

is developed with the use of OCS grant

funds must be targeted into low-income

communities, and/or designated

empowerment zones or enterprise

communities with the goals of
14544 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

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

AFDC/TANF recipients in the lowincome area targeted. (0–20 points)

Note: This Sub-priority area permits

applicants to conduct several feasibility

studies related to various potential projects.

However on completion of the studies, one

proposed project must be selected and a

business plan prepared for the selected

project.

The activity targets mobilization of

non-discretionary program dollars from

private sector individuals, public

resources, corporations, and

foundations including the utilization of

Historically Black Colleges and

Universities, if the proposed project is

implemented. (0–5 points)

(e) Criterion V: Budget

Appropriateness and Reasonableness

(Maximum: 10 points).

Funds requested are commensurate

with the level of effort necessary to

accomplish the goals and objectives of

the project. The estimated cost to the

government of the project also is

reasonable in relation to the anticipated

results. (0–5 points)

The application includes a narrative

detailed budget break-down 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).

(i) Organizational Experience in

Program Area (sub-rating: 0–10 points).

Applicant has documented the

capability to provide leadership in

solving long-term and immediate

problems locally and/or nationally in

such areas as business development,

commercial development,

organizational and staff development,

board training, and microentrepreneurship development. (0–2

points)

Applicant must document a capability

(including access to a network of skilled

individuals and/or organizations) in two

or more of the following areas: Business

Management, including strategic

planning and fiscal management;

Finance, including development of

financial packages and provision of

financial/accounting services; and

Regulatory Compliance, including

assistance with zoning and permit

compliance. (0–2 points)

Further, the applicant has the

demonstrated ability to mobilize dollars

from sources such as the private sector

(corporations, banks, foundations, etc.)

and the public sector, including state

and local governments. (0–2 points)

Applicant also demonstrates that it

has a sound organizational structure and

proven organizational capability as well

as an ability to develop and maintain a

stable program in terms of business,

physical or community development

activities that have provided permanent

jobs, services, business development

opportunities, and other benefits to

poverty community residents. (0–2

points)

Applicants must indicate why they

feel that their successful experiences

would be of assistance to existing

grantees which are experiencing

difficulties in implementing their

projects. (0–2 points)

(ii) Staff Skills, Resources and

Responsibilities (sub-rating 0–10

points).

The application describes in brief

resume form the experience and skills of

the project director who is not only well

qualified, but who has professional

capabilities relevant to the successful

implementation of the project. If the key

staff person has not yet been identified,

the application contains a

comprehensive position description

which indicates that the responsibilities

to be assigned to the project director are

relevant to the successful

implementation of the project. (0–5

points)

The applicant has adequate facilities

and resources (i.e. space and

equipment) to successfully carry out the

work plan. (0–3 points)

The assigned responsibilities of the

staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project. (0–

2 points)

(b) Criterion II: Work Program

(Maximum: 30 points).

Based upon the applicant’s

knowledge and experience related to

OCS’s Discretionary Grants Program

(particularly community economic

development), the application should

demonstrate in some specificity a

thorough understanding of the problems

a grantee may encounter in

implementing a successful project. (0–

15 points)

The application should include a

strategy for assessing the specific nature

of the problems, outlining a course of

action and identifying the resources

required to resolve the problems. (0–15

points)

(c) Criterion III: Significant and

Beneficial Impact (Maximum: 30

points).

Project funds under this sub-priority

area must be used for the purposes of

transferring expertise directly, or by a

contract with a third party, to other OCS

funded grantees. Applicants must

document how the success or failure of

collaboration with these grantees will be

documented. (0–15 points)

Applicants must demonstrate an

ability to disseminate results on the

kinds of programmatic and

administrative expertise transfer efforts

in which they participated and

successful strategies that they may have

developed to share expertise with

grantees during the grant period. (0–10

points)

Applicants must also state whether

the results of the project will be

included in a handbook, a progress

paper, an evaluation report or a general

manual and why the particular

methodology chosen would be most

effective. (0–5 points)

(d) Criterion IV: Public-Private

Partnerships (15 Points).

The applicant demonstrates that it has

worked with local, regional, state or

national offices to ensure that AFDC/

TANF recipients, at-risk youth,

displaced workers, public housing

tenants, low-income noncustodial

parents, homeless and otherwise lowincome individuals have been trained

and placed in newly created jobs. (0–10

points)

Applicant should demonstrate how it

will design a comprehensive strategy

which makes use of other available

resources to resolve typical and

recurrent grantee problems. (0–5 points)

(e) Criterion V: Budget

Appropriateness and Reasonableness

(Maximum: 5 points).

Applicant documents that the funds

requested are commensurate with the

level of effort necessary to accomplish

the goals and objectives of the project.

The application includes a narrative

detailed budget break-down for each of

the appropriate budget categories in the

SF–424A. (0–3 points).

The estimated cost to the government

of the project also is reasonable in

relation to the anticipated results. (0–2

points)

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
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14545

Area 1.0 and provides data and

information in support of its contention.

(b) Criterion II: Organizational

Experience in Program Area and Staff

Responsibilities (Maximum: 20 points).

(i) Organizational Experience.

Applicant has documented the

capability to provide leadership in

solving long-term and immediate

problems locally and/or nationally in

such areas as business development,

commercial development,

organizational and staff development,

board training, and microentrepreneurship development.

Applicant must document a capability

(including access to a network of skilled

individuals and/or organizations) in two

or more of the following areas: Business

Management, including strategic

planning and fiscal management;

Finance, including development of

financial packages and provision of

financial/accounting services; and

Regulatory Compliance, including

assistance with zoning and permit

compliance. (0–10 points)

(ii) Staff Skills.

The applicants’s proposed project

director and primary staff are well

qualified and their professional

experiences are relevant to the

successful implementation of the

proposed project. (0–10 points)

(c) Criterion III: Work Plan (Maximum

35 points).

Based upon the applicant’s

knowledge and experience related to

OCS’s Discretionary Grants Program

(particularly community economic

development), the applicant must

develop and submit a detailed and

specific work plan that is both sound

and feasible. Specifically, the work plan

should include the following elements:

(i) Demonstrate that all activities are

comprehensive and nationwide in

scope, and adequately described and

appropriately related to the goals of the

program.(0–10 points)

(ii) Demonstrate in some specificity a

thorough understanding of the kinds of

training and technical assistance that

can be provided to the network of

Community Development Corporations.

(0–10 points)

(iii) Delineate the tasks and sub-tasks

involved in the areas necessary to carry

out the responsibilities to include

training, technical assistance, research,

outreach, seminars, etc. (0–5 points)

(iv) State the intermediate and end

products to be developed by task and

sub-task.(0–5 points)

(v) Provide realistic time frames and

chronology of key activities for the goals

and objectives. (0–5 points)

(d) Criterion IV: Significant and

Beneficial Impact (Maximum: 25

points).

Project funds under this sub-priority

area must be used for the purpose of

providing training and technical

assistance on a national basis to the

network of Community Development

Corporations.

Applicant must document how the

success or failure of the assistance

provided will be documented.

(i) Application should adequately

describe how the project will assure

long-term program and management

improvements for Community

Development Corporations; (0–10

points)

(ii) The project will impact on a

significant number of Community

Development Corporations; (0–10

points)

(iii) Applicant should document how

the project will leverage or mobilize

significant other non-federal resources

for the direct benefit of the project; (0–

5 points)

(e) Criteria V: Budget Reasonableness

(Maximum 10 points).

(i) The resources requested are

reasonable and adequate to accomplish

the project. (0–5 points)

(ii) Total costs are reasonable and

consistent with anticipated results. (0–

5 points)

5. Criteria for Review and Evaluation of

All Applications Under Priority Area 2.1

(a) Criterion I: Analysis of Need

(Maximum: 5 points).

The application documents that the

project addresses a vital need in a

distressed community and provides

statistics and other data and information

in support of its contention.

(b) Criterion II: Organizational

Experience in Program Area and Staff

Responsibilities (Maximum: 15 points).

(i) Organizational Experience in

Program Area (sub-rating: 0–5 points)

Documentation provided indicates

that projects previously undertaken

have been relevant and effective and

have provided permanent benefits to the

low-income population.

Organizations which propose

providing training and technical

assistance have detailed competence in

the specific program priority area and as

a deliverer with expertise in the fields

of training and technical assistance. If

applicable, information provided by

these applicants also addresses related

achievements and competence of each

cooperating or sponsoring organization.

(ii) Staff Skills, Resources and

Responsibilities (sub-rating 0–10

points).

The application describes in brief

resume form the experience and skills of

the project director who is not only well

qualified, but his/her professional

capabilities are relevant to the

successful implementation of the

project. If the key staff person has not

yet been identified, the application

contains a comprehensive position

description which indicates that the

responsibilities to be assigned to the

project director are relevant to the

successful implementation of the

project. The applicant has adequate

facilities and resources (i.e. space and

equipment) to successfully carry out the

work plan. The assigned responsibilities

of the staff are appropriate to the tasks

identified for the project and sufficient

time of senior staff will be budgeted to

assure timely implementation and cost

effective management of the project.

(c) Criterion III: Project

Implementation (Maximum: 25 points).

The Business Plan is both sound and

feasible. The project is responsive to the

needs identified in the Analysis of

Need. It sets forth realistic quarterly

time targets by which the various tasks

will be completed. Critical issues or

potential problems that might impact

negatively on the project are defined

and the project objectives can be

reasonably attained despite such

potential problems.

(d) Criterion IV: Significant and

Beneficial Impact (Maximum: 30

points).

The application contains a full and

accurate description of the proposed use

of the requested financial assistance.

The proposed project will produce

permanent and measurable results that

will reduce the incidence of poverty in

the areas targeted and significantly

enhance the self sufficiency of program

participants. Results are quantifiable in

terms of program area expectations, e.g.,

number of units of housing

rehabilitated, agricultural and 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.

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.
14546 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

(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

Attachments B, C, and D contain all

of the standard forms necessary for the

application for awards under these OCS

programs. These forms may be

photocopied for the application.

Copies of the Federal Register

containing this announcement are

available at most local libraries and

Congressional District Offices for

reproduction. If copies are not available

at these sources, they may be obtained

by telephoning the office listed under

the section entitled FOR FURTHER

INFORMATION at the beginning of this

announcement. Also, the Federal

Register can be found on the Internet

through GPO access at the following

web address: http://

www.access.gpo.gov/suldocs/aces/

aces140.html For purposes of this

announcement, all applicants will use

the following forms:

SF 424

SF 424A

SF 424B

Applications proposing construction

projects will also present all required

financial data using SF–424A.

Instructions for completing the SF–424,

SF–424A, and SF–424B are found in

Attachments B, C, and D.

Part G contains instructions for the

project abstract and project narrative.

They will be submitted on plain bond

paper along with the SF–424 and related

forms.

Attachment K provides a checklist to

aid applicants in preparing a complete

application package for OCS.

The applicant must be aware that in

signing and submitting the application

for this award, it is certifying that it will

comply with the Federal requirements

concerning the drug-free workplace and

debarment regulations set forth in

Attachments E and F.

2. Application Submission

The closing time and date for receipt

of applications are 4:30 p.m. (Eastern

Standard Time) 60 days after

publication in the Federal Register.

Applications received after 4:30 p.m.

will be classified as late.

Deadline: Mailed applications shall be

considered as meeting an announced

deadline if they are received on or

before the deadline time and date at the

U. S. Department of Health and Human

Services, Administration for Children

and Families, Division of Discretionary

Grants, 370 L’Enfant Promenade, S. W.,

Mail Stop 6C–462, Washington, D. C.

20447, Attention: Application for

Discretionary Grants Program.

Applicants are responsible for mailing

applications well in advance, when

using all mail services, to ensure that

the applications are received on or

before the deadline time and date.

Applications handcarried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting an announced

deadline if they are received on or

before the deadline date, between the

hours of 8:00 a.m. and 4:30 p.m., at the

U. S. Department of Health and Human

Services, Administration for Children

and Families, Division of Discretionary

Grants, ACF Mailroom, 2nd Floor

Loading Dock, Aerospace Center, 901 D

Street, S. W., Washington, D. C. 20024,

between Monday and Friday (excluding

Federal holidays). (Applicants are

cautioned that express/overnight mail

services do not always deliver as

agreed.)

ACF cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ACF electronically will not be accepted

regardless of date or time of submission

and time of receipt.

Late applications: Applications which

do not meet the criteria above are

considered late applications. ACF shall

notify each late applicant that its

application will not be considered in

the current competition.

Extension of deadlines: ACF may

extend the deadline for all applicants

because of acts of God such as floods,

hurricanes, etc., or when there is

widespread disruption of the mails.

However, if ACF does not extend the

deadline for all applicants, it may not

waive or extend the deadline for any

applicant.

One signed original application and

four copies are required. The first page

of the SF–424 must contain in the lower

right-hand corner, a designation

indicating under which sub-priority

area funds are being requested (for

example 1.1, 1.2, 1.3, 1.4, 1.5, 1.6 or

2.1). See Part F, section 1, subsection 11

for details.

3. Intergovernmental Review

This program is covered under

Executive Order 12372,

‘‘Intergovernmental Review of Federal

Programs,’’ and 45 CFR Part 100,

‘‘Intergovernmental Review of

Department of Health and Human

Services Programs and Activities.’’

Under the Order, States may design

their own processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

All States and Territories except

Alabama, Alaska, American Samoa,

Colorado, Connecticut, Hawaii, Idaho,

Kansas, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, New

Jersey, Oklahoma, Oregon, Palau,

Pennsylvania, South Dakota, Tennessee,

Vermont, Virginia and Washington have

elected to participate in the Executive

Order process and have established

Single Points of Contact (SPOCs).

Applicants from these twenty-three

jurisdictions need take no action

regarding E.O. 12372. Applicants for

projects to be administered by

Federally-recognized Indian Tribes are

also exempt from the requirements of

E.O. 12372. Otherwise, applicants

should contact their SPOCs as soon as

possible to alert them of the prospective

applications and receive any necessary

instructions. Applicants must submit

any required material to the SPOCs as

soon as possible so that the program

office can obtain and review SPOC

comments as part of the award process.

It is imperative that the applicant

submit all required materials, if any, to

the SPOC and indicate the date of this

submittal (or the date of contact if no

submittal is required) on the Standard

Form 424, item 16a.

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

60 days from the application deadline

date to comment on proposed new or

competing continuation awards.

SPOCs are encouraged to eliminate

the submission of routine endorsements

as official recommendations.

Additionally, SPOCs are requested to

clearly differentiate between mere

advisory comments and those official

State process recommendations which

they intend to trigger the ‘‘accommodate

or explain’’ rule.

When comments are submitted

directly to ACF, they should be

addressed to: Department of Health and

Human Services, Administration for

Children and Families, Division of

Discretionary Grants, 370 L’Enfant

Promenade, S.W., Mail Stop 6C–462,

Washington, D.C. 20447.

A list of the Single Points of Contact

for each State and Territory is included

as Attachment G of this announcement.
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14547

4. Application Consideration

Applications which meet the

screening requirements in sections 5a

and b below may be reviewed

competitively. Such applications will be

referred to reviewers for a numerical

score and explanatory comments based

solely on responsiveness to program

priority area guidelines and evaluation

criteria published in this

announcement.

Applications submitted under all

priority areas (with the exception of

Sub-Priority Area 1.6) will be reviewed

by persons outside of the OCS unit

which will be directly responsible for

programmatic management of the grant.

The results of these reviews will assist

the Director and OCS program staff in

considering competing applications.

Reviewers’ scores will weigh heavily in

funding decisions but will not be the

only factors considered. Applications

generally will be considered in order of

the average scores assigned by

reviewers. However, highly ranked

applications are not guaranteed funding

since the Director may also consider

other factors deemed relevant including,

but not limited to, the timely and proper

completion of projects funded with OCS

funds granted in the last five (5) years;

comments of reviewers and government

officials; staff evaluation and input;

geographic distribution; previous

program performance of applicants;

compliance with grant terms under

previous DHHS grants; audit reports;

investigative reports; and applicant’s

progress in resolving any final audit

disallowances on previous OCS or other

Federal agency grants. Applicants with

three or more active OCS grants at the

time of review may be denied funding.

In addition, for applications received

under 1.0, OCS will consider the

geographic distribution of funds among

States and the relative proportion of

funding among rural and urban areas in

accordance with Section 681(b)(1)(D) of

the Act.

OCS reserves the right to discuss

applications with other Federal or nonFederal funding sources to ascertain the

applicant’s performance record.

5. Criteria for Screening Applicants

(a) Initial Screening

All applications that meet the

published deadline for submission will

be screened to determine completeness

and conformity to the requirements of

this announcement. Only those

applications meeting the following

requirements will be reviewed and

evaluated competitively. Others will be

returned to the applicants with a

notation that they were unacceptable.

(i) The application must contain a

Standard Form 424 ‘‘Application for

Federal Assistance’’ (SF–424), a budget

(SF–424A), and signed ‘‘Assurances’’

(SF 424B) completed according to

instructions published in Parts F and G

and Attachments B, C, and D of this

Program Announcement.

(ii) A project abstract must also

accompany the standard forms.

(iii) 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.

(iv) The application must be

submitted for consideration under one

priority area only.

(b) Pre-rating Review

Applications which pass the initial

screening will be forwarded to

reviewers and/or OCS staff prior to the

programmatic review to verify that the

applications comply with this Program

Announcement in the following areas:

(i) Eligibility: Applicant meets the

eligibility requirements for the priority

area under which funds are being

requested. Proof of non-profit status, i.e.

the IRS determination letter of tax

exemption, must be included in the

Appendices of the Project Narrative

where applicable. Applicants 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).

(ii) Number of Projects: An

application may contain only one

project under Sub-Priority Areas 1.1, 1.2

and 1.4. However, an application may

contain more than one project under

Sub-Priority Areas 1.3, 1.5, and 1.6

where applicants are researching

various opportunities, sharing

administrative and management

expertise with current OCS grantees, or

are providing assistance to current OCS

grantees, or providing training and/or

technical assistance for current OCS

grantees, including the organization of

seminars and other activities to assist

Community Development Corporations

and this project must be identified as

responding to one of the program

priority areas stated in this

Announcement.

Applicants which are not in

compliance with this requirement will

be ineligible for funding.

(iii) Grant amount: The amount of

funds requested does not exceed the

limits indicated in Part C, 2, b for the

appropriate priority area.

(iv) Written Agreement When

Applicant Proposes to Make Equity

Investment, Loan, or Sub-Grant: (SubPriority Areas 1.1, 1.2 and 1.4); The

application contains a written

agreement signed by the applicant and

the third party which includes all of the

elements required in Part C.

An application may be disqualified

from the competition and returned if it

does not conform to one or more of the

above requirements.

(c) Evaluation Criteria

Applications which pass the prerating review will be assessed and

scored by reviewers. Each reviewer will

give a numerical score for each

application reviewed. These numerical

scores will be supported by explanatory

statements on a formal rating form

describing major strengths and

weaknesses under each applicable

criterion published in the

announcement.

The in-depth evaluation and review

process will use the following criteria

coupled with the specific requirements

contained under each program priority

area as described in Part C.

(d) Paperwork Reduction

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.

Part F—Contents of Application and

Receipt Process

1. Contents of Application

Each application, whether involving

construction or not, should include one

original and four additional copies of

the following:

I. A signed ‘‘Application for Federal

Assistance’’ (SF–424);

II. ‘‘Budget Information-NonConstruction Programs’’ (SF–424A);

III. A signed ‘‘Assurances-NonConstruction Programs’’ (SF–424B);

IV. A Project Abstract (a paragraph

which succinctly describes the project

(in 500 characters or less));

V. A Project Narrative consisting of

the following elements preceded by a

consecutively numbered Table of

Contents that will describe the project

in the following order:

A. Eligibility Confirmation

B. Analysis of Need (except for SubPriorities 1.5 and 1.6)

C. Organizational Experience in

Program Area and Staff

Responsibilities
14548 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

1. Organizational experience in

program area

a. Grantee

b. CPA certification of management

system (applies to Sub-priority Area

1.3 only)

2. Staff Skills, Resources and

Responsibilities

D. Project Implementation

1. Includes work plan or business

plan. See instructions in Part G,

‘‘Instructions for Completing

Application Package’’.

2. Self evaluation component (applies

to Sub-priority Area 1.3 only)

E. Significant and Beneficial Impacts

1. Significant and Beneficial Impacts

2. Cost Per Job (except Sub-priority

Areas 1.3, 1.5 and 1.6)

3. Career Development Opportunities

(except Sub-priority Areas 1.3, 1.5

and 1.6)

4. Strategy for mobilization of

resources and development of

business plan (applies to Subpriority Area 1.3 only)

F. Public/Private Partnerships and

Agreements

G. Budget Appropriateness and

Reasonableness

VI. Appendices including: proof of

nonprofit status by providing a copy of

the applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

Section 501(c)(3) of the IRS code or by

providing a copy of the currently valid

IRS tax exemption certificate, or by

providing a copy of the Articles of

Incorporation bearing the seal of the

State in which the corporation or

association is domiciled; proof of CDC

status by providing a copy of the

purposes section of its Articles of

Incorporation and a listing of the

current Board of Directors’ names, titles

and addresses; resumes of the project

director and other key management

team members; written agreements i.e.,

third party participation, coordination

with AFDC/TANF, etc.; Single Point of

Contact comments, where applicable;

certification regarding anti-lobbying

activities; smokefree workplace

assurance; a disclosure of lobbying

activities, etc.

The application package should not

exceed 65 pages for applications

submitted under sub-priority areas 1.1,

1.2 and 1.4, and 30 pages for all

applications submitted under the other

sub-priority areas.

Applications should be two holed

punched at the top center and fastened

with a compressor slide paper fastener

or a binder clip. The submission of

bound applications, or applications

enclosed in binders, is especially

discouraged.

Applications must be uniform in

composition since OCS may find it

necessary to duplicate them for review

purposes. Therefore, applications must

be submitted on white 8 1/2 × 11 inch

paper only. They must not include

colored, oversized or folded materials.

Do not include organizational brochures

or other promotional materials, slides,

films, clips, etc. in the proposal. They

will be discarded, if included.

2. Acknowledgement of Receipt

All applicants will receive an

acknowledgement notice with an

assigned identification number.

Applicants are requested to supply a

self-addressed mailing label with their

application which can be attached to

this acknowledgement notice. The

identification number and the program

priority area letter code must be referred

to in all subsequent communications

with OCS concerning the application. If

an acknowledgement is not received

within three weeks after the deadline

date, please notify ACF by telephone

(202) 401–9365.

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 2.—4. Self-Explanatory.

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. The non-profit organization

can accomplish this by providing a copy

of the applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

Section 501(c)(3) of the IRS code or by

providing a copy of the currently valid

IRS tax exemption certificate, or by

providing a copy of the articles of

incorporation bearing the seal of the

State in which the corporation or

association is domiciled.

Notwithstanding the above

requirements, each applicant must

provide proof of CDC status by

providing a copy of the purposes section

of its Articles of Incorporation and a

listing of its current Board of Directors

showing each person’s name, title, and

local address.

Item 8. For the purposes of this

announcement, all applications are

‘‘New’’.

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. The following designations

must be used to identify the program

priority area:

UR—Sub-Priority Area 1.1. Urban and

Rural Community Economic

Development (Operational)

HB—Sub-Priority Area 1.2. Urban and

Rural Community Economic

Development (HBCU Set-Aside)

PD—Sub-Priority Area 1.3. Urban and

Rural Community Economic

Development (Pre-Developmental SetAside)

DD—Sub-Priority Area 1.4. Urban and

Rural Community Economic

Development (Developmental SetAside)

AM—Sub-Priority Area 1.5.

Administrative and Management (SetAside)

UT—Sub-Priority Area 1.6. Technical

Assistance (Set-Aside)
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14549

RF—Sub-Priority Area 2.1. Rural

Community Facilities Development

(Water and Waste Water Treatment

Systems Development)

2. SF–424A—‘‘Budget Information—

Non-Construction Programs.’’

See Instructions accompanying this

form as well as the instructions set forth

below:

In completing these sections, the

‘‘Federal Funds’’ budget entries will

relate to the requested OCS

discretionary funds only, and ‘‘NonFederal’’ 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 ‘‘NonFederal’’ entries.

The budget forms in SF–424A are

only to be used to present grant

administrative costs and major budget

categories. Financial data that is

generated as part of a project Business

Plan or other internal project cost data

must be separate and should appear as

part of the project Business Plan or

other project implementation data.

Sections A and D of SF–424A must

contain entries for both Federal (OCS)

and non-Federal (mobilized) funds.

Section B contains entries for Federal

(OCS) funds only. Clearly identified

continuation sheets in SF–424A format

should be used as necessary.

Section A—Budget Summary

Lines 1–4.

Col. (a):

Line 1 Enter ‘‘CSBG Discretionary’’;

Col. (b):

Line 1 Enter ‘‘93.570’’;

Col. (c) and (d):

Applicants should leave columns (c)

and (d) blank.

Col. (e)-(g):

For line 1, enter in columns (e), (f)

and (g) the appropriate amounts

needed to support the project for

the budget period.

Line 5 Enter the figures from Line 1

for all columns completed as required,

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

Section B—Budget Categories

Allowability of costs are governed by

applicable cost principles set forth in 45

CFR Parts 74 and 92. A budget narrative

must be submitted that includes the

appropriate justifications as stated.

Columns (1) and (5):

In OCS applications, it is only

necessary to complete Columns (1) and

(5).

Column 1: Enter the total

requirements for OCS Federal funds by

the Object Class Categories of this

section:

Personnel-Line 6a: Enter the total

costs of salaries and wages of applicant/

grantee staff only. A breakdown of

amounts and percentage of time that

comprises the salary must be noted. Do

not include costs of consultants or

personnel costs of delegate agencies or

of specific project(s) or businesses to be

financed by the applicant.

Fringe Benefits-Line 6b: Enter the

total costs of fringe benefits unless

treated as part of an approved indirect

cost rate which is entered on line 6j.

Provide a breakdown of amounts and

percentages that comprise fringe benefit

costs.

Travel-Line 6c: Enter total estimated

costs of all travel by employees of the

project. The purpose, traveler, number

of days, airfare and per diem rates must

be stated. Travel costs for the Executive

Director or Project Director to attend a

two day national workshop in

Washington, D.C. should be included.

Do not enter costs for consultant’s

travel. Provide justification for

requested travel costs.

Equipment-Line 6d: Enter the total

estimated costs of all non-expendable

personal property to be acquired by the

project. ‘‘Non-expendable personal

property’’ means tangible nonexpendable personal property having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit.

Supplies-Line 6e: Enter the total

estimated costs of all tangible personal

property (supplies) other than that

included on line 6d. Identify the item,

unit cost and quantity to be purchased.

Contractual-Line 6f: Enter the total

estimated costs of all contracts,

including (1) procurement contracts

(except those which belong on other

lines such as equipment, supplies, etc.)

and (2) contracts with secondary

recipient organizations including

delegate agencies and specific project(s)

or businesses to be financed by the

applicant. Identify the purpose and

costs associated. Also include any

contracts with organizations for the

provision of technical assistance. Do not

include payments to individual service

contractors on this line. If available at

the time of application, attach a list of

contractors indicating the name of the

organization, the purpose of the contract

and the estimated dollar amount of the

award.

Note: Whenever the applicant/grantee

intends to delegate part of the program to

another agency, the applicant/grantee must

submit Sections A and B of this form (SF–

424A), completed for each delegate agency by

agency title, along with the required

supporting information referenced in the

applicable instructions. The total costs of all

such agencies will be part of the amount

shown on Line 6f. Provide back-up

documentation identifying name of

contractor, purpose of contract and major

cost elements.

Construction-Line 6g: Enter the

estimated costs of renovation, repair, or

new construction. Identify the type of

construction activity and costs

associated, i.e., concrete, HVAC,

electrical, etc. Provide narrative

justification and breakdown of costs.

Other-Line 6h: Enter the total of all

other costs. Such costs, where

applicable, may include but are not

limited to insurance, food, medical and

dental costs (noncontractual), fees and

travel paid directly to individual

consultants, space and equipment

rentals, printing and publication,

computer use, training costs, including

tuition and stipends, training service

costs including wage payments to

individuals and supportive service

payments, and staff development costs.

Note that costs identified as

‘‘miscellaneous’’ and ‘‘honoraria’’ are

not allowable.

Total Direct Charges-Line 6i: Show

the total of Lines 6a through 6h.

Indirect Charges-Line 6j: Enter the

total amount of indirect costs. This line

should be used only when the applicant

currently has an indirect cost rate

approved by the Department of Health

and Human Services or another Federal

agency or is awaiting such approval.

With the exception of local governments

and State agencies, applicants should

enclose a copy of the current rate

agreement if it was negotiated with a

Federal agency other than the

Department of Health and Human

Services.

If the applicant organization is in the

process of initially developing or

renegotiating a rate, it should

immediately, upon notification that an

award will be made, develop a tentative

indirect cost rate proposal based on its

most recently completed fiscal year in

accordance with the principles set forth

in the pertinent DHHS Guide for

Establishing Indirect Cost Rates, and

submit it to the appropriate DHHS

Regional Office.

It should be noted that when an

indirect cost rate is requested, those

costs included in the indirect cost pool

should not be charged as direct costs to

the grant.

Totals-Line 6k: Enter the total

amounts of Lines 6i and 6j. The total

amount shown in Section B, Column

(5), Line 6k, should be the same as the

amount shown in Section A, Line 5,

Column (e).

Program Income-Line 7: Enter the

estimated amount of income, if any,
14550 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

expected to be generated from this

project. Separately show expected

program income generated from OCS

support and income generated from

other mobilized funds. Do not add or

subtract this amount from the budget

total. Show the nature and source of

income in the program narrative

statement.

Column 5: Carry totals from Column

1 to Column 5 for all line items.

Section C—Non-Federal Resources

This section is to record the amounts

of ‘‘non-Federal’’ resources that will be

used to support the project. ‘‘NonFederal’’ 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 nonFederal resources on a separate sheet

and describe whether it is a granteeincurred 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.

Line 8:

Column (a): Enter the project title.

Column (b): Enter the amount of

contributions to be made by the

applicant to the project.

Column (c): Enter the State

contribution. If the applicant is a State

agency, enter the non-Federal funds to

be contributed by the State other than

the applicant.

Column (d): Enter the amount of cash

and in-kind contributions to be made

from all other sources.

Column (e): Enter the total of columns

(b), (c), and (d).

Lines 9, 10, and 11 should be left

blank.

Line 12: Carry the total of each

column of Line 8, (b) through (e). The

amount in Column (e) should be equal

to the amount on Section A, Line 5,

column (f).

Section D—Forecasted Cash Needs

Line 13: Enter the amount of Federal

(OCS) cash needed for this grant by

quarter. During the budget period for

grants which are more than twelve (12)

months, submit a separate sheet for each

additional twelve (12) months or

portion thereof.

Line 14 Enter the amount of cash from

all other sources needed by quarter

during the budget period.

Line 15: Enter the total of Lines 13

and 14.

Section E—Budget Estimates of Federal

Funds Needed for Balance of Project(s)

Completion not required

Section F—Other Budget Information

Line 21—Use this space and

continuation sheets as necessary to fully

explain and justify the major items

included in the budget categories shown

in Section B. Include sufficient detail to

facilitate determination of allowability,

relevance to the project, and cost

benefits. Particular attention must be

given to the explanation of any

requested direct cost budget item which

requires explicit approval by the Federal

agency. Budget items which require

identification and justification shall

include, but not be limited to, the

following:

A. Salary amounts and percentage of

time worked for those key individuals

who are identified in the project

narrative;

B. Any foreign travel;

C. A list of all equipment and

estimated cost of each item to be

purchased wholly or in part with grant

funds which meet the definition of

nonexpendable personal property

provided on Line 6d, Section B. Need

for equipment must be supported in

program narrative.

D. Contractual: Major items or groups

of smaller items; and

E. Other: group into major categories

all costs for consultants, local

transportation, space, rental, training

allowances, staff training, computer

equipment, etc. Provide a complete

breakdown of all costs that make up this

category.

Line 22—Enter the type of HHS or

other Federal agency approved indirect

cost rate (provisional, predetermined,

final or fixed) that will be in effect

during the funding period, the estimated

amount of the base to which the rate is

applied and the total indirect expense.

Also, enter the date the rate was

approved, where applicable. Attach a

copy of the rate agreement if it was

negotiated with a Federal agency other

than the Department of Health and

Human Services.

Line 23—Provide any other

explanations and continuation sheets

required or deemed necessary to justify

or explain the budget information.

3. SF–424B ‘‘Assurances-NonConstruction.’’

All applicants, whether or not project

involves construction, must file the

Standard Form 424B, ‘‘Assurances: NonConstruction Programs.’’ Applicants

must sign and return the Standard Form

424B, found at Attachment D, with their

applications.

4. Restrictions on Lobbying

Activities—Applicants must provide a

certification concerning Lobbying. Prior

to receiving an award in excess of

$100,000, applicants shall furnish an

executed copy of the lobbying

certification. Applicants must sign and

return the certification, found at

Attachment H, with their applications.

5. Disclosure of Lobbying Activities,

SF–LLL—Fill out, sign and date form

found at Attachment H, if applicable.

6. Certification Regarding

Environmental Tobacco Smoke.

Applicants must make the appropriate

certification of their compliance with

the Pro-Children Act of 1994. By signing

and submitting the applications,

applicants are providing the

certification regarding environmental

tobacco smoke and need not mail back

the certification with their applications.

7. Project Abstract.

The project abstract is a brief

summary of the project to include

specific benefits such as number of jobs

to be created, especially jobs for lowincome individuals. The abstract must

not exceed 500 characters (including

words, spaces and punctuation) on a

separate sheet of plain paper headed by

the applicant’s name as shown in item

5 of the SF 424 and the priority area

number as shown by you at the bottom

of the SF 424.

8. Project Narrative.

The application package including the

narrative should not exceed 65 pages for

the applications submitted under subpriority areas 1.1, 1.2 and 1.4 and 30

pages under the other sub-priority areas.

The project narrative must address the

specific concerns mentioned under the

relevant priority area description in Part

C. The narrative should provide

information on how the application

meets the evaluation criteria in Part D,

of this Program Announcement and

should follow the format below:

a. Eligibility Confirmation. This

section must explain how the applicant

has complied with each of the basic

requirements listed in Part E, sections

5b(1)-(4), i.e., (1) that the applicant

meets the eligibility requirements for

the sub-priority area under which funds

are being requested; (2) an application

submitted under sub-priority areas 1.1,

1.2, 1.4, or 2.1, contains only one

project; (3) the amount of funds

requested does not exceed the limits

indicated in Part B, Section 2b for the

appropriate sub-priority area; (4) (SubPriority Areas 1.1, 1.2, and 1.4) if an

applicant proposes to use OCS funds for

an equity investment, a loan, or a subgrant, the application contains a written
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14551

agreement signed by the applicant and

the third party which includes all of the

elements required in Part C. An

application may be disqualified from

the competition and returned if it does

not conform to one or more of the above

requirements.

b. Analysis of Need. The application

should include a description of the

target area and population to be served

as well as a discussion of the nature and

extent of the problem to be solved. It

should also include documentation

supportive of its needs assessment such

as employment statistics, housing

statistics, etc.

c. Organizational Experience and

Staff Responsibilities. (i) Organizational

Experience. Each applicant must

document competence in the specific

program priority area under which an

application is submitted.

Documentation must be provided which

addresses the relevance and

effectiveness of projects previously

undertaken in the specific priority area

for which funds are being requested and

especially their cost effectiveness, the

relevance and effectiveness of any

services provided, and the permanent

benefits provided to the low-income

population. Organizations which

propose providing training and

technical assistance must detail their

competence in the specific program

priority area and as a deliverer with

expertise in the fields of training and

technical assistance. If applicable,

information provided by these

applicants must also address related

achievements and competence of each

cooperating or sponsoring organization.

Applicable to Sub-Priority Areas 1.1,

1.2, 1.4 and 1.5

Applicants in these priority areas

must also document a firmly established

and quantifiable performance record

that shows the following:

—The ability to implement major

activities such as business

development, commercial

development, physical development,

or financial services;

—Successful working relationships

within the community including

public officials, financial institutions,

corporations, other community

organizations and residents;

—A sound asset base and organizational

structure in terms of (a) net worth, (b)

management stability, and (c)

organizational capability;

—An ability to develop and maintain a

stable program in terms of business,

physical or community development

activities that will provide needed

permanent jobs, services, business

development opportunities and other

benefits to community residents, and

impact on community-wide economic

problems and needs;

—Sound administrative and fiscal

systems and controls, and the ability

to establish and maintain partnerships

with the private sector in such forms

as financial support, volunteerism or

executives on loan.

(ii) Staff Skills, Resources and

Responsibilities. The application must

fully describe (e.g. a resume or position

description) the experience and skills of

the proposed project director showing

that the individual is not only well

qualified but that his/her professional

capabilities are relevant to the

successful implementation of the

project.

The application must include

statements regarding who will have the

responsibilities of the chief executive

officer, who will be responsible for grant

coordination with OCS, and how the

assigned responsibilities of the staff are

appropriate to the tasks identified for

the project. It must show clearly that

sufficient time of senior staff will be

budgeted to assure timely

implementation and cost effective

management of the project.

d. Project Implementation. 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 subpriority 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. patents, trade secrets;

(iii) Potential: Features of the product

or service that may give it an advantage

over the competition;

(d) Market Research and Evaluation:

This section should present sufficient

information to show that the product or

service has a substantial market and can

achieve sales in the face of competition;

(i) Customers: Describe the actual and

potential purchasers for the product or

service by market segment.

(ii) Market Size and Trends: State the

size of the current total market for the

product or service offered;

(iii) Competition: An assessment of

the strengths and weaknesses of

competitive products and services;

(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
14552 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

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 monthby-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

product’s 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 predevelopmental,

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 project’s target

area. A section that describes and

discusses the potential economic and

non-economic benefits to low-income

members of the community must be

included as well as a description of the

strategy that will be used to identify and

hire individuals being served by public

assistance programs and how linkages

with community agencies/ organizations

administering the AFDC/TANF program

will be developed. The following project

benefits must be described:

Economic Development and Job

Creation

—Number of permanent jobs (with

particular emphasis on jobs for lowincome people) that will be created

during the project period. Also, for

low-income people, provide the

following information:

—Number of jobs that will have career

development opportunities and a

description of those jobs;

—Number of jobs that will be filled by

individuals lifted from AFDC/TANF

assistance;

—Number of Self-employed and other

ownership opportunities created for

low income residents;

—Annual salary expected for each

person employed (net profit after

deductions of business expenses for

self-employed persons);

—Specific steps to be taken including

on-going management support and

technical assistance provided by the

grantee or a third party to develop and

sustain self-employed program

participants after their businesses are

in place.

Note: OCS will not recognize job

equivalents nor job counts based on

economic multiplier functions; jobs must be

specifically identified.

Other benefits which might be

discussed are:

Human Development

—New technical skills development and

associated career opportunities for

community residents;

—Management development and

training;

—Benefits of self-sufficiency for persons

lifted from AFDC/TANF assistance.

Community Development

—Development of community’s

physical assets;

—Provision of needed, but currently

unsupplied, services or products to

community;

—Improvement in the living

environment.

(1) The Financial Plan: The Financial

Plan is basic to the development of a

Business Plan. Its purpose is to indicate

the project’s potential and the timetable

for financial self-sufficiency. In

developing the Financial Plan, the

following exhibits must be prepared for

the first three years of the business’

operation:

(i) Profit and Loss Forecasts—

quarterly for each year;

(ii) Cash Flow Projections—quarterly

for each year

(iii) Pro forma balance sheets—

quarterly for each year;

Also, additional financial information

for the business operation that must be

included are an initial Source and Use

of Funds Statement for project funds

and a brief summary paragraph

discussing any further capital

requirements and their sources.

If an applicant is proposing a project

which will affect a property listed in, or

eligible for inclusion in the National

Register of Historic Places, it must

identify this property in the narrative

and explain how it has complied with

the provisions of Section 106 of the

National Historic Preservation Act of

1966 as amended. If there is any

question as to whether the property is

listed in or eligible for inclusion in the

National Register of Historic Places, the

applicant should consult with the State

Historic Preservation Officer. (See

Attachment D: SF–424B, Item 13 for

additional guidance.) The applicant

should contact OCS early in the

development of its application for

instructions regarding compliance with

the Act and data required to be

submitted to the Department of Health

and Human Services. Failure to comply

with the cited Act may result in the

application being ineligible for funding

consideration.

Applicable to Sub-Priority Areas 1.1,

1.2, and 1.4

Applications submitted under SubPriority Areas 1.1, 1.2 and 1.4 which

propose to use the requested OCS funds

to make an equity investment or a loan

to a business concern, including a

wholly-owned subsidiary, or to make a

sub-grant with a portion of the OCS

funds, must include a written agreement

between the community development

corporation and the recipient of the

grant funds which contains all of the

elements listed in Part C under the

appropriate Priority Area.

Applicable to Sub-Priority Area 1.5 Only

An applicant in this priority area

must document its experience and

capability in several of the following

areas:

Business/Development;

Micro-Entrepreneurship Development;

Commercial Development;

Organizational and Staff Development;

Board Training;

Business Management, including

Strategic planning and Fiscal

Management;

Finance, including Business Packaging

and Financial/Accounting Services,

and/or

Regulatory Compliance including

Zoning and Permit Compliance

Incubator Development

Tax Credits and Bond Financing

Marketing
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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 re ́source ́s should be identified and

resumes of the individuals or key

organizational staff provided.

Resumes of the applicant’s staff, who

are to be directly involved in

programmatic and administrative

expertise sharing, should also be

included. The applicant must document

successful experience in the

mobilization of resources (both cash and

in-kind) from private and public

sources. The applicant must also clearly

state how the information learned from

this project may be disseminated to

other interested grantees.

Applicable to Sub-Priority Area 1.6 only

An applicant in this priority area

must document its experience and

capability in implementing projects

national in scope and have significant

and relative experiences in working

with Community Development

Corporations.

The applicant must have the ability to

collect and analyze data nationally that

may benefit CDCs and be able to

disseminate information to all of OCS

funded grantees; publish a national

directory of funding sources for CDCs

(public, corporate, foundation,

religious); publish research papers on

specific aspects of job creation by CDCs;

design and provide information on

successful projects and economic niches

that CDCs can target. The applicant will

also be responsible for the development

of instructional programs, national

conferences, seminars, and other

activities to assist community

development corporations; and provide

peer-to-peer technical assistance to OCS

funded CDCs.

Applicable to Sub-Priority Area 2.1

Each applicant must include a full

discussion of how the proposed use of

funds will enable low-income rural

communities to develop the capability

and expertise to establish and maintain

affordable, adequate and safe water and

waste water systems. Applicants must

also discuss how they will disseminate

information about water and waste

water programs serving rural

communities, and how they will better

coordinate Federal, State, and local

water and waste water program

financing and development to assure

improved service to rural communities.

Among the benefits that merit

discussion under this sub-priority area

are: The number of rural communities to

be provided with technical and advisory

services; the number of rural poor

individuals who are expected to be

directly served by applicant-supported

improved water and waste water

systems; the decrease in the number of

inadequate water systems related to

applicant activity; the number of 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.

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 a discussion of

the ‘‘Significant and Beneficial Impact,

Public-Private Partnerships and Budget

Appropriateness and Reasonableness’’

areas as well as information to be

included in the Appendices.

Part H—Post Award Information and

Reporting Requirements

Following approval of the

applications selected for funding, notice

of project approval and authority to

draw down project funds will be made

in writing. The official award document

is the Financial Assistance Award

which provides the amount of Federal

funds approved for use in the project,

the budget period for which support is

provided, the terms and conditions of

the award, the total project period for

which support is contemplated, and the

total financial participation from the

award recipient.

General Conditions and Special

Conditions (where the latter are

warranted) which will be applicable to

grants, are subject to the provisions of

45 CFR Parts 74 and 92.

Grantees will be required to submit

semi-annual progress and financial

reports (SF–269) as well as a final

progress and financial report.

Grantees are subject to the audit

requirements in 45 CFR Parts 74 and 92

and OMB Circular A–128 or A–133. If

an applicant will not be requesting

indirect costs, it should anticipate in its

budget request the cost of having an

audit performed at the end of the grant

period.

Section 319 of Public Law 101–121,

signed into law on October 23, 1989,

imposes prohibitions and requirements

for disclosure and certification related

to lobbying on recipients of Federal

contracts, grants, cooperative

agreements, and loans. It provides

limited exemptions for Indian tribes and

tribal organizations. Current and

prospective recipients (and their subtier

contractors and/or grantees) are

prohibited from using appropriated

funds for lobbying Congress or any

Federal agency in connection with the

award of a contract, grant, cooperative

agreement or loan. In addition, for each

award action in excess of $100,000 (or

$150,000 for loans) the law requires

recipients and their subtier contractors

and/or subgrantees (1) To certify that

they have neither used nor will use any

appropriated funds for payment to

lobbyists, (2) to submit a declaration

setting forth whether payments to

lobbyists have been or will be made out

of nonappropriated funds and, if so, the

name, address, payment details, and

purpose of any agreements with such

lobbyists whom recipients or their

subtier contractors or subgrantees will

pay with the nonappropriated funds and

(3) to file quarterly up-dates about the

use of lobbyists if an event occurs that

materially affects the accuracy of the

information submitted by way of

declaration and certification. The law

establishes civil penalties for

noncompliance and is effective with

respect to contracts, grants, cooperative

agreements and loans entered into or

made on or after December 23, 1989. See

Attachment H for certification and

disclosure forms to be submitted with

the applications for this program.

Attachment I indicates the regulations

which apply to all applicants/grantees

under the Discretionary Grants Program.

Dated: March 18, 1997.

Donald Sykes,

Director, Office of Community Services.

Attachment A

Size of family unit Poverty

guideline

1996 Poverty Guidelines for the 48 Contiguous States and the District of Columbia

1 .................................................... $7,740

2 .................................................... 10,360

3 .................................................... 12,980

4 .................................................... 15,600

5 .................................................... 18,220

6 .................................................... 20,840

7 .................................................... 23,460

8 .................................................... 26,080

For family units with more than 8 members, add $2,226 for each additional member. (The same increment applies to smaller

family sizes also, as can be seen in the figures above.)

1996 Poverty Guidelines for Alaska

1 .................................................... 9,660

2 .................................................... 12,940
14554 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

Size of family unit Poverty

guideline

3 .................................................... 16,220

4 .................................................... 19,500

5 .................................................... 22,780

6 .................................................... 26,060

7 .................................................... 29,340

8 .................................................... 32,620

For family units with more than 8 members, add $3,280 for each additional member. (The same increment applies to smaller

family sizes also, as can be seen in the figures above.)

1996 Poverty Guidelines for Hawaii

1 .................................................... 8,901

2 .................................................... 11,920

3 .................................................... 14,930

4 .................................................... 17,940

5 .................................................... 20,950

6 .................................................... 23,960

7 .................................................... 26,970

8 .................................................... 29,980

For family units with more than 8 members, add $3,010 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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Instructions for the SF 424

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) & 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.

Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

on a separate sheet. If appropriate (e.g.,

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

affected (e.g., State, counties, cities).

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit disallowances,

loans and taxes.

18. To be signed by the authorized

representative of 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
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Instructions for the SF–424A

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for the whole project except when

applying for assistance which requires

Federal authorization in annual or other

funding period increments. In the latter case,

Sections A, B, C, and D should provide the

budget for the first budget period (usually a

year) and Section 3 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 total by programs.

Lines 1–4, Columns (c) Through (g.)

For new applications, leave Columns (c)

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

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

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

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

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

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

needed for the upcoming period. The

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

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

For supplemental grants and changes to

existing grants, do not use Columns (c) and

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

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

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

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B. Budget Categories

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

enter the titles of the same programs,

functions, and activities shown on Lines 1–

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

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

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

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total of amounts on

Lines 6i and 6j. For all applications for new

grants and continuation grants the total

amount in column (5), Line 6k, should be the

same as the total amount shown in Section

A, Column (g), Line 5. For supplemental

grants and changes to grants, the total

amount of the increase or decrease as shown

in Columns (1)–(4), Line 6k should be the

same as the sum of the amounts in Section

A, Columns (e) and (f) on Line 5.

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal-Resources

Lines 8–11—Enter amount 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 contribution to be made

by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

Column (e)—Enter totals of Columns (b),

(c), and (d).

Line 12—Enter the total for each of

Columns (b)–(e). The amount in Column (e)

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

Lines 16–19—Enter in Column (a) the same

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

Columns (b)–(e). When additional schedules

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individual direct object-class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

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BILLING CODE 4184–01–C
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Attachment F—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.

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

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted 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 transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Attachment G—OMB State Single Point of

Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800

N. Central Avenue, Fourteenth Floor,

Phoenix, Arizona 85012, Telephone (602)

280–1315, FAX: (602) 280–8144

Arkansas

Mr. Tracy L. Copeland, Manager, State

Clearinghouse, Office of Intergovernmental

Services, Department of Finance and

Administration, 1515 W. 7th St., Room

412, Little Rock, Arkansas 72203,

Telephone: (501) 682–1074, FAX: (501)

682–5206

California

Grants Coordinator, Office of Planning and

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814, Telephone

(916) 323–7480, FAX: (916) 323–3018

Delaware

Francine Booth, State Single Point of Contact

Executive Department, Thomas Collins

Building, P.O. Box 1401, Dover, Delaware

19903, Telephone: (302) 739–3326, FAX:

(302) 739–5661

District of Columbia

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. and Dev.,

717 14th Street, N.W.—Suite 500,

Washington, D.C. 20005, Telephone: (202)

727–6554, FAX: (202) 727–1617

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2740 Centerview

Drive, Tallahassee, Florida 32399–2100,

Telephone: (904) 922–5438, FAX: (904)

487–2899

Georgia

Tom L. Reid, III, Administrator, Georgia State

Clearinghouse, 254 Washington Street,

S.W.—Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656–3855 or (404) 656–

3829, FAX: (404) 656–7938

Illinois

Virginia Bova, State Single Point of Contact,

Department of Commerce and Community

Affairs, James R. Thompson Center, 100

West Randolph, Suite 3–400, Chicago,

Illinois 60601, Telephone: (312) 814–6028,

FAX: (312) 814–1800

Indiana

Amy Brewer, State Budget Agency, 212 State

House, Indianapolis, Indiana 46204,

Telephone: (317) 232–5619, FAX: (317)

233–3323

Iowa

Steven R. McCann, Division for Community

Assistance, Iowa Department of Economic

Development, 200 East Grant Avenue, Des

Moines, Iowa 50309, Telephone: (515)

242–4719, FAX: (515) 242–4859

Kentucky

Ronald W. Cook, Office of the Governor,

Department of Local Government, 1024

Capitol Center Drive, Frankfort, Kentucky

40601–8204, Telephone: (502) 573–2382,

FAX: (502) 573–2512
14562 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

Maine

Joyce Benson, State Planning Office, State

House Station #38, Augusta, Maine 04333,

Telephone: (207) 287–3261, FAX: (207)

287–6489

Maryland

William G. Carroll, Manager, State

Clearinghouse for Intergovernmental

Assistance, Maryland Office of Planning,

301 W. Preston Street—Room 1104,

Baltimore, Maryland 21201–2365, Staff

Contact: Linda Janey, Telephone: (410)

225–4490, FAX: (410) 225–4480

Michigan

Richard Pfaff, Southeast Michigan Council of

Governments, 1900 Edison Plaza, 660 Plaza

Drive, Detroit, Michigan 48226, Telephone:

(313) 961–4266, FAX: (313) 961–4869

Mississippi

Cathy Malette, Clearinghouse Officer,

Department of Finance and

Administration, 455 North Lamar Street,

Jackson, Mississippi 39202–3087,

Telephone: (601) 359–6762, FAX: (601)

359–6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse,

Office of Administration, P.O. Box 809,

Room 760, Truman Building, Jefferson

City, Missouri 65102, Telephone: (314)

751–4834, FAX: (314) 751–7819

Nevada

Department of Administration, State

Clearinghouse, Capitol Complex, Carson

City, Nevada 89710, Telephone: (702) 687–

4065, FAX: (702) 687–3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire

Office of State Planning, Attn:

Intergovernmental Review Process, Mike

Blake, 21⁄2 Beacon Street, Concord, New

Hampshire 03301, Telephone: (603) 271–

2155, FAX: (603) 271–1728

New Mexico

Robert Peters, State Budget Division, Room

190 Bataan Memorial Building, Santa Fe,

New Mexico 87503, Telephone: (505) 827–

3640

New York

New York State Clearinghouse, Division of

the Budget, State Capitol, Albany, New

York 12224, Telephone: (518) 474–1605

North Carolina

Chrys Baggett, Director, N.C. State

Clearinghouse, Office of the Secretary of

Admin., 116 West Jones Street, Raleigh,

North Carolina 27603–8003, Telephone:

(919) 733–7232, FAX: (919) 733–9571

North Dakota

North Dakota Single Point of Contact, Office

of Intergovernmental Assistance, 600 East

Boulevard Avenue, Bismarck, North

Dakota 58505–0170, Telephone: (701) 224–

2094, FAX: (701) 224–2308

Ohio

Larry Weaver, State Single Point of Contact,

State Clearinghouse, Office of Budget and

Management, 30 East Broad Street, 34th

Floor, Columbus, Ohio 43266–0411

Please direct correspondence and

questions about intergovernmental review to:

Linda Wise, Telephone: (614) 466–0698, FAX

(614) 466–5400

Rhode island

Daniel W. Varin, Associate Director,

Department of Administration/Division of

Planning, One Capitol Hill, 4th Floor,

Providence, Rhode Island 02908–5870,

Telephone: (401) 277–2656, FAX: (401)

277–2083

Please direct correspondence and

questions to:

Review Coordinator, Office of Strategic

Planning

South Carolina

Omeagia Burgess, State Single Point of

Contact, Grant Services, Office of the

Governor, 1205 Pendleton Street—Room

477, Columbia, South Carolina 29201,

Telephone: (803) 734–0494, FAX: (803)

734–0385

Texas

Tom Adams, Governors Office, Director,

Intergovernmental Coordination, P.O. Box

12428, Austin, Texas 78711, Telephone:

(512) 463–1771, FAX: (512) 463–1888

Utah

Carolyn Wright, Utah State Clearinghouse,

Office of Planning and Budget, Room 116,

State Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538–1535, FAX: (801)

538–1547

West Virginia

Fred Cutlip, Director, Community

Development Division, W. Virginia

Development Office, Building #6, Room

553, Charleston, West Virginia 25305,

Telephone: (304) 558–4010, FAX: (304)

558–3248

Wisconsin

Martha Kerner, Section Chief, State/Federal

Relations, Wisconsin Department of

Administration, 101 East Wilson Street—

6th Floor, P.O. Box 7868, Madison,

Wisconsin 53707, Telephone: (608) 266–

2125, FAX: (608) 267–6931

Wyoming

Sheryl Jeffries, State Single Point of Contact,

Office of the Governor, State Capital, Room

124, Cheyenne, Wyoming 82002,

Telephone: (307) 777–5930, FAX: (307)

632–3909

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director,

Bureau of Budget and management

Research, Office of the Governor, P.O. Box

2950, Aganna, Guam 96910, Telephone:

011–671–472–2285, FAX: 011–671–472–

2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/

Director, Puerto Rico Planning Board,

Federal Proposals Review Office, Minillas

Government Center, P.O. box 41119, San

Juan, Puerto Rico 00940–1119, Telephone:

(809) 727–4444 or (809) 723–6190, FAX:

(809) 724–3270 or (809) 724–3103

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, State

Single Point of Contact, Office of

Management and Budget, Office of the

Governor, Saipan, MP, Telephone: (670)

664–2256, FAX: (670) 664–2272

Contact Person: Ms. Jacoba T. Seman, Federal

Programs Coordinator, Telephone: (670)

644–2289, FAX: (670) 664–2272

Virgin Islands

Jose George, Director, Office of Management

and Budget, #41 Norregade Emancipation

Garden Station, Second Floor, Saint

Thomas, Virgin Islands 00802

Please direct all questions and

correspondence about intergovernmental

review to:

Linda Clarke, Telephone: (809) 774–0750,

FAX: (809) 776–0069

Attachment H—Certification Regarding

Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

been paid or will be paid, by or on behalf of

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress;

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including 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 impose 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.
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14563

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form-LLL ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

Submission of this statement is a

prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

lllllllllllllllllllll

Signature

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Title

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Organization

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Date

BILLING CODE 4184–01–P
14564 Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 58 / Wednesday, March 26, 1997 / Notices 14565

Attachment I—Department of Health and

Human Services (DHHS) Regulations

Applying to All Applicants/Grantees

Title 45 of the Code of Federal Regulations

Part 16—Administration of Grants (nongovernmental)

Part 74—Administration of Grants (state and

local governments and Indian Tribal

affiliates):

Sections

74.26—Non-Federal Audits

74.27—Allowable cost for hospitals and

non-profit organizations among other

things

74.32—Real Property

74.34—Equipment

74.35—Supplies

74.24—Program Income

Part 75—Informal Grant Appeal Procedures

Part 76—Debarment and Suspension from

Eligibility for Financial Assistance

Subpart F—Drug Free Workplace

Requirements

Part 80—Non-discrimination Under Programs

Receiving Federal Assistance through

DHHS Effectuation of Title VI of the Civil

Rights Act of 1964

Part 81—Practice and Procedures for

Hearings Under Part 80 of this Title

Part 83—Regulation for the Administration

and Enforcement of Sections 799A and 845

of the Public Health Service Act

Part 84—Non-discrimination on the Basis of

Handicap in Programs and Activities

Receiving Federal Financial Assistance

Part 85—Enforcement of Non-discrimination

on the Basis of Handicap in Programs or

Activities Conducted by DHHS

Part 86—Non-discrimination on the Basis of

Sex in Education Programs and Activities

Receiving or Benefitting from Federal

Financial Assistance

Part 91—Non-discrimination on the Basis of

Age in Health and Human Services

Programs or Activities Receiving Federal

Financial Assistance

Part 92—Uniform Administrative

Requirements for Grants and Cooperative

Agreements to States and Local

Governments (Federal Register, March 11,

1988)

Part 93—New Restrictions on Lobbying

Part 100—Intergovernmental Review of

DHHS Programs and Activities

Attachment J—Certification Regarding

Environmental Tobacco Smoke

Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

as the Pro-Children Act of 1994 (Act),

requires that smoking not be permitted in any

portion of any indoor routinely owned or

leased or contracted for by an entity and used

routinely or regularly for provision of health,

day care, education, or library services to

children under the age of 18, if the services

are funded by Federal programs either

directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

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

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provision for the children’s services and that

all subgrantees shall certify accordingly.

Attachment K—Checklist for Use in

Submitting OCS Grant Applications

(Optional)

The application should contain:

1. A completed, signed SF–424, ‘‘Application

for Federal assistance’’. The letter code

for the priority area e.g., UR) should be

in the lower right hand corner

2. A completed ‘‘Budget Information—NonConstruction’’ (SF–424A)

3. A signed ‘‘Assurances: Non-Construction’’

(SF–424A)

4. A Project Abstract

5. A Project Narrative beginning with a Table

of contents that describes the project in

the following order:

(a) Eligibility Confirmation

(b) Analysis of Need (except for SubPriority 1.5 and 1.6)

(c) Organizational Experience in Program

Area and Staff Responsibilities

(1) Organizational experience in program

area

(2) Staff Skills, Resources and

Responsibilities

(3) CPA certification of management

system (applies to Subpriority Area 1.3

only)

(d) Project Implementation (Business Plan)

(1) Includes work plan or business plan.

See instructions in Part G, ‘‘Instructions

for Completing Application Package’’

(2) Self-evaluation component (applies to

Subpriority Area 1.3 only)

(e) Significant and Beneficial Impacts

(1) Significant and Beneficial Impacts

(2) Cost Per Job (except Subpriority Areas

1.3, 1.5 and 1.6)

(3) Career Development Opportunities

(except Subpriority Areas 1.3, 1.5 and

1.6)

(4) Strategy for mobilization of resources

and development of business plan

(applies to Subpriority Area 1.3 only)

(f) Public/Private Partnerships and

Agreements

(g) Budget Appropriateness and

Reasonableness

(h) Appendices including: copy of

applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

section 501(c)(3) of the IRS code or by

providing a copy of the currently valid

IRS tax-exemption certificate, or by

providing a copy of the Articles of

incorporation bearing the seal of the

State in which the corporation or

association is domiciled; proof of CDC

status by providing the purposes section

of the Articles of Incorporation and a list

of the current Board of Directors’ names,

titles and addresses; copies of resumes of

the project director and other key

management team members; written

agreements i.e., third party agreements,

coordination with AFDC/TANF, etc.;

Single Point of Contact comments (where

applicable); etc.

6. A signed copy of ‘‘Certification Regarding

Lobbying Activities’’

7. A completed ‘‘Disclosure of Lobbying

Activities’’, if appropriate; and

8. A self-addressed mailing label which can

be affixed to a notice to acknowledge

receipt of application.

The application should not exceed a total

of 65 pages for applications submitted under

sub-priority areas 1.1, 1.2, and 1.4 and 30

pages for all applications submitted under

the other sub-priority areas. It should include

one original and four identical copies,

printed on white 81⁄2 by 11 inch paper only.

Applications should be two holed punched

at the top center and fastened with a

compressor slide paper fastener or a binder

clip. All pages should be numbered.

[FR Doc. 97–7520 Filed 3–25–97; 8:45 am]

BILLING CODE 4184–01–P