18668 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. OCS–95–05]

Request for Applications Under the

Office of Community Services’ FY 1995

Demonstration Partnership Program

(DPP)

AGENCY: Office of Community Services,

ACF, DHHS.

ACTION: Announcement of availability of

funds and request for applications

under the Office of Community

Services’ Demonstration Partnership

Program (DPP).

SUMMARY: The Office of Community

Services (OCS) announces that, based

on availability of funds, applications

will be accepted for grants pursuant to

the Secretary’s authority under section

408(a) (Pub. L. 99–425), of the Human

Services Reauthorization Act of 1986 as

amended.

CLOSING DATE: The closing date for

submission of applications is June 12,

1995.

FOR FURTHER INFORMATION CONTACT:

Office of Community Services,

Administration for Children and

Families, Division of Community

Demonstration Programs, 370 L’Enfant

Promenade, SW., Fifth Floor,

Washington, DC 20447, Attention:

Richard Saul, (202) 401–9347.

This Announcement is accessible on

the OCS Electronic Bulletin Board for

downloading through your computer

modem by calling 1–800–627–8886. For

assistance in accessing the Bulletin

Board, a Guide to Accessing and

Downloading is available from Ms.

Minnie Landry at (202) 401–5309.

Table of Contents

Part I. Introduction

A. Legislative Authority

B. Eligibility

C. Definition of Terms

Part II. Background Information

A. Project Periods and Budget Periods

B. Availability of Funds and Grant

Amounts

C. Matching Funds

D. Prohibition on the Use of Funds

E. Program Beneficiaries

F. Sub-Contracting or Delegating Projects

G. Maintenance of Effort

H. Multiple Submittals and Multiple

Grants

Part III. Program Priority Areas

1.0 General Demonstration Projects

(Approximately $2.4 million available)

2.0 Replication Projects (Approximately

$1.5 million available, including Urban

Youth project)

3.0 EZ/EC Continuous Improvement

Grants (Maximum of $1,000,000

available)

4.0 Urban Youth Projects (Up to $2.5

million available, including Replication

project)

Part IV. Application Elements and Review

Criteria

A. Program Elements, Review and

Assessment Criteria for Applications

under Priority Areas 1.0 and 4.0

B. Special Program Elements, Review and

Assessment Criteria for Applications for

Replication Projects under Priority Area

2.0

C. Program Elements, Review and

Assessment Criteria for Applications for

EZ/EC Continuous Improvement Grants

under Priority Area 3.0

Part V. Application Procedures

A. Availability of Forms

B. Application Submission

C. Intergovernmental Review

D. Application Consideration

E. Criteria for Screening Applications

Part VI. Instructions for Completing

Application Forms

A. SF–424—Application for Federal

Assistance

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

C. SF–424B—Assurances—NonConstruction

Part VII. Contents of Application

Part VIII. Post-Award Information and

Reporting Requirements

Part I. Introduction

A. Legislative Authority

Section 408 of the Human Services

Reauthorization Act of 1986, as

amended (Pub. L. 99–425), entitled

Demonstration Partnership Agreements

Addressing the Needs of the Poor,

authorizes the Secretary to make grants

to eligible entities in order to stimulate

the development of new approaches to

provide for greater self-sufficiency of the

poor, to test and evaluate such new

approaches, to disseminate project

results and evaluation findings, and for

the development and implementation of

new and innovative approaches to deal

with particularly critical needs or

problems of the poor which are common

to a number of communities.

Additionally, the legislation provides

for grants to demonstrate new

approaches to dealing with the

problems caused by entrenched, chronic

unemployment and lack of economic

opportunities for urban youth.

Proposed projects must be carried out

in partnership with other organizations

or institutions, public or private, which

can be local, regional or national in

character, and should, through these

partnerships, strengthen the

community’s socio-economic

infrastructure and the integration,

coordination, and redirection of

community resources to support

progress toward self-sufficiency.

Projects must include plans and funding

for a third party evaluation which can

lead to replication of successful

programs.

This solicitation is requesting

applications with proposal narratives of

not more than twenty (20) pages

(accompanied by the usual forms and

appropriate appendices) on the basis of

which funding decisions will be made.

B. Eligibility

Eligible entities for these grants are all

current recipients of Community

Services Block Grant funds which are

officially designated as Community

Action Agencies or Community Action

Programs under Section 673(1) of the

Community Services Block Grant

(CSBG) Act, and which meet all the

requirements under Section 675(c)(3) of

that Act; and organizations serving

migrant and seasonal farmworkers

which received CSBG funding in Fiscal

Year 1994.

In order to establish eligibility, the

application must contain a letter signed

by the State Director of the Community

Services Block Grant program certifying

that the applicant is an ‘‘eligible entity’’

as defined in Section C below and that

it has the capacity to operate the

proposed project.

C. Definition of Terms

For purposes of this Announcement,

the following definitions apply:

—Budget Period: The term ‘‘budget

period’’ refers to the interval of time

into which a multi-year period of

assistance (project period) is usually

divided for budgetary and funding

purposes. (In the case of grants under

this Announcement, project and

budget periods may run concurrently

for up to three years)

—Case Management: For purposes of

this Announcement, case

management includes but is not

limited to: assessment of the client’s

needs, development of a holistic,

comprehensive service plan, and

delivery of the most efficient and

effective mix of services and support

in the implementation of that plan.

—Eligible entity: Any organization

which is officially designated as a

community action agency or a

community action program under

Section 673(1) of the Community

Services Block Grant (CSBG) Act, and

meets all the requirements under

Section 675(c)(3) of the CSBG Act. All

‘‘eligible entities’’ are current

recipients of Community Services

Block Grant funds, including

organizations serving migrant and

seasonal farmworkers which received
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18669

CSBG funding in the previous fiscal

year (FY 1994). In those cases where

‘‘eligible entity’’ status is unclear,

final determination will be made by

OCS/ACF.

—Family: For purposes of this Notice,

family includes the definition of

nuclear family, as well as the

inclusion of household members and/

or the extended family.

—Hypothesis: An assumption made in

order to test its validity. It should

assert a relationship between an

intervention and an outcome on a

target population. For example, there

will be a significant increase in the

proportion of (target population)

making progress toward selfsufficiency (outcome) who receive

and/or participate in (intervention) as

compared to those who do not. The

outcome must be measurable.

—Innovative project: One that departs

from or significantly modifies past

program practices and tests a new

approach(es).

—Intervention: Any planned activity

within a project that is intended to

produce changes in the target

population or the environment, and

can be formally evaluated.

—Outcome evaluation: An assessment

of measured results designed to

provide a valid determination of the

net effects attributable to the

intervention. An outcome evaluation

will produce and interpret findings

related to whether the intervention

produced desirable changes and its

potential for replicability. It should

answer the question, ‘‘Did this

program work?’’

—Partnership: A formal negotiated

arrangement between an eligible

entity and another organization (or

organizations) that provides for

substantive collaborative policy and

service provision roles for each of the

partners in the planning and conduct

of the project, the results of which

should be better integration of

resources and services delivery at the

community level.

—Process evaluation: Descriptive

information that is gathered on the

development and implementation of a

program/intervention that may serve

as a document for replicating the

program elsewhere. The evaluation

should also identify problems that

occurred and how they were dealt

with and recommend improved

means of future implementation. It

should answer the question: ‘‘How

was the program carried out?’’ In

concert with the outcome evaluation,

it should also help explain, ‘‘Why did

this program work/not work?’’

—Project period: The term ‘‘project

period’’ refers to the total time for

which a project is approved for

support, including any extensions.

—Self-sufficiency: A condition where an

individual or family, by reason of

employment, does not need and is not

eligible for, public assistance.

Part II. Background Information

A. Project Periods and Budget Periods

(See Part I, C, Definitions)

Project and budget periods for all DPP

projects will be for a minimum of 30

months and a maximum of 36 months.

These will consist of:

1. A six-month start-up period during

which project staff can be hired,

agreements with Project Partners will be

finalized, the Third Party Evaluator will

be brought on board, and the final

Project Evaluation Plan will be

completed with the assistance of the

approved evaluator and the OCS

Evaluation Technical Assistance

Contractor. This start-up period should

be used to refine the project

implementation plan and budget to

reflect any changes in the evaluation

strategy; and during this period the

Project Director and the Evaluator will

participate in a workshop conference

with staff of OCS and the TA contractor;

2. A twenty-four month (2 year)

operational period during which the

project implementation plan will be

carried out; and

3. A close-out period of up to six

months for completion of the final

evaluation and report, and any planned

dissemination of project results. To

insure funding stability throughout the

project period, proposed projects must

have sufficient non-OCS funds

committed so that, combined with FY

95 OCS grant funds, grantees will have

sufficient resources to complete their

proposed projects and final evaluations.

[Note: Where grantees can show that a

significant improvement in the extent or

validity of evaluation findings will be

the result, projects may receive

refunding after the two-year operational

period, on a competitive basis and

subject to the availability of funds, in an

amount not to exceed 80 per cent of the

original grant for continuation of the

project for an additional period of up to

thirty (30) months (a start-up period not

being required).]

B. Availability of Funds and Grant

Amounts

The total appropriated amount for the

FY 1995 Demonstration Partnership

Program is $7,977,000, of which

approximately $7,000,000 will be

available for grants pursuant to this

Announcement to support new general

project grant awards, replication

projects, EZ/EC Continuous

Improvement grants, and projects

directed at the problems of urban youth.

1. For priority areas 1.0 General

Projects and 2.0 Replication Projects

grant requests will be considered for an

amount up to $350,000 in OCS funds for

the total budget/project period of up to

thirty-six months, except that, of the

four suggested Replication Projects

under Priority Area 2.0, one will be

considered an Urban Youth Project with

a maximum grant amount of $500,000,

as explained in Part III, below.

2. For priority area 3.0 EZ/EC

Continuous Improvement Projects grant

requests will be considered for an

amount not to exceed $50,000. The

project/budget periods for these grants

may be up to thirty-six months.

3. For priority area 4.0 Urban Youth

Projects grant requests will be

considered for an amount up to

$500,000 for the total project/budget

period of up to 36 months.

C. Matching Funds

An applicant is required to obtain

commitment of at least one private or

public sector dollar or equivalent inkind contribution for each dollar of OCS

funds awarded for all priority categories

except 4.0 Urban Youth. Thus, if an

applicant is requesting $250,000 in OCS

funds, at least $250,000 worth of

additional resources must be committed

to the project from private or public

sector sources. For Urban Youth

Projects, Priority Area 4.0, OCS will

fund 80% of the total cost of each

project, that is, 80% of the total of the

federal and non-federal shares. This

means that the match must be 25% of

the OCS grant. Thus, if an applicant is

requesting $500,000 in OCS funds,

which represents 80% of the total

project cost, that total cost will amount

to $625,000, and the match 20% of that

total, or $125,000, which is 25% of the

$500,000 OCS grant amount.

Public sector resources that can be

counted toward the minimum match

include funds from State and local

governments, and funds from various

block grants allocated to the States by

the Federal Government providing the

authorizing legislation for these grants

permits such use. (Note, for example,

that Community Development Block

Grant (CDBG) funds may be counted as

matching funds; CSBG funds may not.)

Funds identified by the applicant as

those to be counted toward the

minimum match requirement may be in

the form of grantee-incurred costs, cash,

or third-party in-kind contributions

fairly valued. OCS is recommending
18670 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

that at least 50% of the match be

provided by the proposed partners

through the delivery of specific services

or resources to the client population.

Such resources must be definitely

committed or contingent only upon

receipt of an OCS grant, and must be

applied to specific project activities

within the OCS-approved project and

used only for project purposes for the

duration of the OCS grant. The firm

commitment of the specific amounts of

matching funds and/or the dollar value

of third-party in-kind contributions

must be documented in the project

application. Documentation of matching

funds must be in the form of letters of

commitment or intent to commit from

the donor, contingent only upon receipt

of OCS grant funds.

If any part of match is to be used as

a revolving loan fund, those funds must

be cash, specifically set-aside for

eligible low-income recipients of the

project.

Funds expended prior to the

approved OCS starting date for a grant

cannot be considered as matching

funds.

D. Prohibition on the Use of Funds

The use of funds for the purchase or

construction of real property is

prohibited.

E. Program Beneficiaries

Projects proposed for funding under

this announcement must result in direct

benefits to low-income persons whose

incomes are no more than 125% of the

DHHS poverty income guidelines as

defined in the most recent Annual

Revision of Poverty Income Guidelines

published by DHHS.

Attachment C to this Notice is an

excerpt from the guidelines currently in

effect. Annual revisions of these

guidelines are normally published in

February or early March of each year.

These revised guidelines may be

obtained at public libraries,

Congressional offices, or by writing the

Superintendent of Documents, U. S.

Government Printing Office,

Washington, DC 20402. These

Guidelines are also accessible on the

OCS Electronic Bulletin Board for

downloading through your computer

modem by calling 1–800–627–8886. For

assistance in accessing the Bulletin

Board, a Guide to Accessing and

Downloading is available from Ms.

Minnie Landry at (202) 401–5309.

No other government agency or

privately defined poverty guidelines are

applicable for the determination of lowincome eligibility for this OCS program.

F. Sub-Contracting or Delegating

Projects

An applicant will not be funded

where the proposal is for a grantee to act

as a straw-party, that is, to act as a mere

conduit of funds to a third party without

performing a substantive role itself. This

prohibition does not bar subcontracting

or subgranting for specific services or

activities needed to conduct the project.

G. Maintenance of Effort

The activities funded under this

program announcement must be in

addition to, and not in substitution for,

activities previously carried on without

Federal assistance. Also, funds or other

resources currently devoted to activities

designed to meet the needs of the poor

within a community, area, or State must

not be reduced in order to provide the

required matching contributions. When

legislation for a particular block grant

permits the use of its funds as match,

the applicant must show that it has

received a real increase in its block

grant allotment and must certify that

other anti-poverty programs will not be

scaled back to provide the match

required for this project. A signed

certificate of Maintenance of Effort must

be included with the application (see

Attachment J).

H. Multiple Submittals and Multiple

Grants

In accordance with the statutory

provision that limits grants to any

eligible entity to one in any given fiscal

year, no eligible applicant will receive

more than one grant pursuant to this

Announcement.

Part III. Program Priority Areas

1.0 General Demonstration Projects

(Approximately $2.4 Million Available)

For Fiscal Year 1995 OCS plans to

fund approximately seven General

Demonstration Projects at $350,000 or

less each.

Applications submitted under this

category must focus on developing new

and innovative ways of promoting

individual and family self-sufficiency

among the poor within the context of

the communities in which they live.

The applicant will be expected to

propose solutions that show promise of

increasing self-sufficiency and that

depart from or modify conventional

approaches used by eligible entities. At

a minimum, every individual should

achieve an economic self-sufficiency

goal appropriate to their age group. For

adult populations (18 years of age or

more) that goal should include a job

which will allow individuals to provide

for basic needs with the potential for

career development that will lead to

self-sufficiency within a reasonable

period of time, enrollment in an

educational program which will lead to

such a job, or interim goals on the

ladder to self-sufficiency.

While self-sufficiency implies

reliance on one’s own initiative and

abilities, such a transformation cannot

occur independently of the context of

the relationships, resources, and

institutions in the surrounding

community. OCS understands the

importance to self-sufficiency of such

community resources as adequate child

care, safe and affordable housing,

accessible medical care, good

transportation, adequate municipal

services and other elements of the

community’s socioeconomic

infrastructure. Also important to real

progress toward self-sufficiency is

readily available and empathetic help in

accessing these institutional resources

and the emotional support networks

that enable people to overcome

adversity and move ahead.

Accordingly, OCS is interested in

demonstrations of strategies that offer

real promise of transforming the lives of

poor individuals and families in part by

improving the community infrastructure

and the workings of the community’s

service institutions. Applications

should include partnerships with

organizations which are providers of

services within the community and one

of the goals of the partnerships should

be a developing shift of focus within

these organizations from one of client

maintenance to client transformation,

and a growing recognition of the value

of the agency’s services as investments

in their clients’ communities.

In the spirit of ‘‘local initiative’’ OCS

looks forward to innovative proposals

that grow out of the experience of

community action and the needs of the

applicants’ clientele and communities,

and that will make the fruits of local

creativity available broadly to others

seeking solutions to similar problems.

At the same time, OCS is again

interested in receiving applications that

propose a realistic plan for harnessing

self-sufficiency support activities to

Environmental Justice and Sustainable

Community Development initiatives in

ways which will offer the poor

opportunities for long term career

development as well as improving the

supportive economic infrastructure and

facilities of the community. (See

Attachment A for a fuller discussion of

Environmental Justice and Sustainable

Community Development.)

For the purposes of this

Announcement, programs falling within

the rubric of Environmental Justice and
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18671

Sustainable Community Development

might include community-based job and

career development around lead

abatement in low-income dwellings; in

clean-up of toxic wastes or leaking

underground storage tanks; in holistic

‘‘livable house’’ treatment of lowincome dwellings which would

combine lead abatement with

weatherization and the mitigation of

other hazards such as asbestos or radon;

in the installation and maintenance of

alternative and renewable energy

technologies in the homes of the poor;

in recycling; in the exploitation of new

and non-traditional uses of agricultural

crops and products; in forest or

watershed restoration; in urban

pesticide programs designed to reduce

the use of toxic pesticides in low

income urban communities through

Integrated Pest Management and similar

techniques; or in the launching of

enterprises involving new and nonpolluting manufacturing or other

commercial methodologies which can

provide needed goods and services in

ways which are non-polluting and

consistent with sustainable community

development.

When, in addition, these communitybased improvement initiatives capitalize

upon significant new public programs

or private market forces that offer good

potential for continuing financial

support of these activities, the

initiatives have reasonable chances of

growing and prospering, thereby

offering additional jobs to entry-level

workers and career prospects to

employees who perform well.

Applications that offer a sound plan for

capitalizing upon such public and/or

private market forces to provide real

employment and career opportunities

for low-income individuals will be

especially welcome.

Applications which propose

initiatives involving activities which

will expose program participants or

community residents to toxic or

poisonous substances, including, but

not limited to, lead paint or dust,

asbestos, toxic wastes, radon gas, or

toxic pesticides, must include, as an

appendix to the application, specific

assurances that all applicable federal,

state, and local laws and regulations for

the protection of workers and

community residents will be strictly

adhered to.

Applications which include job and

career development dependent on the

securing of contracts for services or

successful marketing of goods and/or

services must include assurance that

such contracts will be forthcoming or

assurance based on market surveys or

other means that sufficient markets for

the proposed goods or services exist to

promise a reasonable expectation of

project success. Where the development

and management of a new business

venture are a major focus of the

proposed work plan, applicant must

provide assurance that such activities

will be under the direction of a person

or persons having business experience,

and the application must include, as an

appendix, a Business Plan based on the

outline included as Attachment B to this

Announcement.

The interventions that applicants

propose for this program should be

multi-dimensional in nature in order to

provide the kind of comprehensive

approach needed as an effective basis

for individual transformation. They

should, where appropriate, address both

individual and family progress toward

self-sufficiency, and may also involve

two or more generations as both

providers and beneficiaries of project

services.

2.0 Replication Projects

(Approximately $1.5 Million Available,

Including 1 Urban Youth Project)

The Demonstration Partnership

Program is required by its authorizing

legislation to invest at least 10% (but no

more than 25%) of its appropriation to

replicate, in additional geographic areas,

previously funded programs that have

demonstrated a significant potential for

dealing with particularly critical needs

or problems of the poor that exist in a

number of communities.

For Fiscal Year 1995 OCS plans to

fund up to three general replication

projects at up to $350,000 each, and one

replication urban youth project at up to

$500,000, for a total of up to

approximately $1,500,000. OCS seeks to

stimulate, with these grants, additional

experimentation and application of

approaches that seem to offer special

promise in fostering social and

economic self-sufficiency among a

variety of low-income people.

The eligibility, match requirements,

and time frame for General Replication

Projects are the same as for General

Demonstration Projects; for Urban

Youth Replication Projects they are the

same as for Urban Youth Projects.

For FY 1995, OCS has identified four

previously funded Demonstration

Partnership Projects that have, in their

design and implementation,

demonstrated a significant potential for

dealing successfully with a number of

critical needs and problems of poor

people in differing circumstances. The

four projects are:

A. Micro-Enterprise Development

Program (MEDP), [Now called the

Neighborhood Economic Development

Self-Employment Program (NEDSEP)],

Philadelphia, sponsored by the Mayor’s

Office of Community Services, which

has successfully carried out a project of

Micro-Enterprise/Self-Employment

development, supported by training and

technical assistance, comprehensive

case management, and peer counselling,

among homeless residents of a North

Philadelphia low-income neighborhood.

Project partners included the

Philadelphia County Assistance Office,

the Philadelphia Private Industry

Council (PIC), the Minority Business

Enterprise Council, the Philadelphia

Office of Services for Homeless and

Adults, the Service Corps of Retired

Executives, and the Beech Consortium,

a consortium of 45 local private and

public organizations. The Philadelphia

Project can be reached through:

Rosalind Johnson, Project Manager,

Mayor’s Office of Community Services,

1608 N. Carlisle St., Philadelphia, PA

19121, (215) 978–5930.

B. The Success Connection, Yakima,

Washington, sponsored by Yakima

Valley Opportunities Industrialization

Center, which has successfully carried

out a project of Case Management,

support groups, skills training, and

family involvement for Hispanic at risk

teen-age children of Migrant and

Seasonal Farmworker families in the

Yakima Valley. In partnership with the

state Migrant Education Services,

Central Washington University, and

local school districts, the project

reduced truancy and drop-out rates,

increased school attendance and

achievement, developed employment

opportunities, and encouraged postsecondary schooling among

participating youth. The success of the

program has led to the State of

Washington’s decision to support its

implementation State-wide. The Yakima

Project can be reached through: Mr.

Henry Beauchamp, Executive Director,

Yakima Valley OIC, 815 Fruitvale Blvd.,

Yakima, WA 98902, (509) 839–2717.

C. Homeless Opportunity Project,

Bath, Maine, sponsored by Coastal

Economic Development, Inc., which has

combined three innovative components

into a successful program to foster selfsufficiency among the homeless poor.

These include a shelter-based job

training program, a system-wide change

in delivery of services to an integrated

case-management approach, and an

assessment instrument which can be

used in the design of individualized

development plans for program

participants. Project partners include

the area’s homeless shelter and three

other local non-profit providers,

Shoreline Community Mental Health

Systems, the Addiction Resource
18672 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

Center, and the United Way of MidCoast Maine. The Maine Project can be

reached through: Jessica Harnar,

Executive Director, Coastal Economic

Development, Inc., 39 Andrews Road,

Bath, ME 04530, (207) 442–7963.

D. Step-Up Young Father Mentor

Program, Phoenix, Arizona, sponsored

by the City of Phoenix Human Services

Department in partnership with the

Valley Big Brothers/Big Sisters of

Arizona, which has successfully brought

‘‘Big Brother’’ mentoring to youthful,

largely minority (62% Hispanic, 20%

Black, 4% Native American) fathers,

between the ages of 16 and 22, as part

of a comprehensive program of

education, pre-employment and skills

training, and case management/family

development services to enable them to

assume greater responsibility for their

families. This is the first time that the

Big Brother organization nationally has

worked with this age group. Additional

project partners include the Centers for

Advancement of Educational Practices,

City of Phoenix Parks, Recreation and

Library Dept., Maricopa County

Community Colleges, and City of

Phoenix Employment and Training. The

Phoenix project can be reached through:

William Chipman, Project Director,

1250 South 7th Ave., Phoenix, AZ

85007, (602) 262–6907.

OCS is interested in replicating each

of these programs in a geographically

different but appropriate setting.

The Philadelphia project design

should function effectively in another

large urban setting with a substantial

homeless population. It would seem

well suited to a city which has received

designation as an Empowerment Zone

or Enterprise Community, where

activities pursuant to the EZ/EC

Strategic Plan could stimulate markets

for project participants’ enterprises.

The Yakima project design should be

tried with Hispanic Farmworker

populations in another section of the

country, perhaps in California or the

Southwest.

The Maine project design should be

tried with homeless populations in

another rural setting, perhaps in a more

economically depressed community to

test its applicability to higher

concentrations of homeless.

The Phoenix project design should

function effectively with minority urban

youth in a community with an active

Big Brothers/Big Sisters or comparable

organization willing to participate as an

active partner in the project. In the case

of the Phoenix project, the replication

project will be considered an Urban

Youth project for purposes of grant

amount (up to $500,000) and match

requirement (25% of the OCS grant

amount); but proposals will be reviewed

under the Priority Area 2.0 Replication

Project Elements and Review Criteria.

In each case, the application for a

Replication Project should provide for

an extensive site visit or site visits by

key staff to the project to be replicated

(Host Project), during which such staff

can receive orientation training and

actually serve a brief apprenticeship in

the program. In addition, provision

should be made for a site visit by staff

of the Host Project to the Replication

Project during the first year of its

operations. The proposed Project Budget

should make provision for the costs of

such site visits/apprenticeships, as well

as for appropriate consulting fees for

staff of the Host Project; and the

application should include, as an

appendix, a Memorandum of

Understanding or Letter of Agreement

between the applicant and the Host

Project setting forth training/

apprenticeship undertakings and the

attendant financial arrangements.

3.0 EZ/EC Continuous Improvement

Grants (Maximum of $1,000,000

Available)

OCS in FY 1994 made approximately

115 $10,000 DPP grants to CAA’s

involved locally with developing

Strategic Plans for submission to the

Departments of HUD and Agriculture

seeking designation as Empowerment

Zones or Enterprise Communities (EZ/

EC). The purpose was to strengthen

CAA involvement in the local planning

process so as to assure the fullest

possible participation of low-income

residents of the affected communities.

OCS in FY 1995 is interested in

making a number of ‘‘Continuous

Improvement’’ grants to CAA’s or

eligible farmworker organizations which

had and have major involvement in the

planning and implementation of these

Strategic Plans in their communities.

The purpose of these grants will be to

continue to support the involvement of

low income residents in the

improvement and implementation of

these Strategic Plans through activities

which will seek to develop innovative

ways to increase the self-sufficiency of

the poor. Another important purpose of

the grants will be to assist grantees to

establish or participate in the

establishment of a system of information

and data collection that will track the

activities carried out and identify those

which develop and implement new and

innovative approaches to deal with

particularly critical needs or problems

of the poor which are common to a

number of communities, including new

approaches to dealing with the

problems caused by entrenched, chronic

unemployment and lack of economic

opportunities for urban youth.

OCS proposes, therefore, to fund up to

20 grants of up to $50,000 apiece, for a

maximum total of approximately

$1,000,000, to enable applicants eligible

for the Demonstration Partnership

Program to participate in the continuous

planning and improvement, and to

monitor the implementation, of these

Strategic Plans at the local level. OCS

hopes these grants will enable grant

recipients, through the collection and

use of information about strategic

planning, implementation and

performance, to influence the shape and

priorities of these initiatives, and to

make possible the closer monitoring of

progress at the local community level.

Each grant under this Priority Area

will be for up to $50,000. As with

Priority Areas 1.0 and 2.0, a 100%

match will be required, which can be in

cash or in-kind fairly valued, and the

operational project time frame for these

Continuous Improvement projects is

two years, with up to six additional

months for start-up and six months after

the operational period to complete

evaluation and reporting.

OCS expects the project funds to be

used to facilitate participation of low

income residents and to expand the

grantee’s human and/or technical

resources, which with OCS support will

enable it to broaden its involvement in

the implementation and monitoring of

the Strategic Plan. Applicants are

encouraged to contact their State

Corporation for National Service Offices

and/or their State Commissioner for

National Service to discuss possible

national service participation in their

projects (e.g. Americorps-VISTA,

Americorps USA, National Senior

Service Corps, Learn and Serve). Such

participation could provide two or more

volunteers to support the work of the

planner and assist staff in the

Continuous Improvement project.

Applicants for these Continuous

Improvement grants should represent

communities that have developed EZ/

EC Strategic Plans and are proceeding to

implement them, either with or without

the support of designation as an

Empowerment Zone/Enterprise

Community. OCS hopes to make grants

to at least two communities that did not

receive EZ/EC designation. But in all

cases applicants must provide evidence

of close working relationships with

those involved in the EZ/EC planning

and/or implementation process, the

local nominating officials, and the other

agencies and resources that participated

in the development of the community’s

strategic plan document. Special

emphasis should also be given in
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18673

applications to establishing and

documenting working relationships

with additional data collection and

analysis resources such as Historically

Black Colleges and Universities and

Minority Institutions with strong ties to

the low-income community.

4.0 Urban Youth Projects (up to $2.5

Million Available, Including 1

Replication Project)

For FY 1995, OCS expects to award

five or six grants of up to $500,000 for

a total of up to $2.5 million for projects

that propose to demonstrate new

approaches to dealing with the

problems caused by entrenched, chronic

unemployment and lack of economic

opportunities for urban youth, between

10 and 25 years of age. As noted above,

under Priority Area 2.0, these could

include one Urban Youth Project for

replication of the Step-Up Young Father

Mentor Program in Phoenix, Arizona.

The authorizing legislation provides

that ‘‘demonstrations shall include such

initiatives as peer counseling,

mentoring, development of job skills,

assistance with social skills, community

services, family literacy, parenting

skills, opportunities for employment or

entrepreneurship, and other services

designed to assist such at-risk youth to

continue their education, to secure

meaningful employment, to perform

community service, or to pursue other

productive alternatives within the

community.’’

OCS recognizes that greater selfsufficiency and productivity among

urban youth will not occur in isolation

of new innovative approaches to

address the conditions that prevent

dependency. Urban youth, between the

ages of ten (10) and twenty-five (25),

experience a number of systemic

conditions that prohibit the

achievement of self-sufficiency and

independence as they grow into

adulthood.

Over two-thirds of urban youth are

born to unmarried women. Nationally,

families consisting of children in

households headed by unmarried

females rose from some 10 percent in

1960 to over 35 percent today, according

to the Joint Center for Economic

Studies. This development alone has

serious economic implications. The

growth in female-headed families

contributes significantly to the overall

deepening of poverty among urban

children.

Declines in economic opportunities

play at least as great a part in increasing

the prevalence of poverty as the change

in family structure. The growing

prevalence and geographic

concentration of urban youth tend to be

associated with poor schools, high

public social service usage, greater

exposure to crime, and fewer

employment options.

Urban males who grow up in poor,

mother-only families appear to be at

special risk for a variety of problems.

They are at special risk of becoming

alienated and marginalized adults.

Today’s urban youth find themselves

and their parent(s) caught in a

downward shift from working poor

(mother-only) families to dependent

poor (mother-only) families. They are

not only subject to greater economic

deprivation, but they:

—Are very likely to be unemployed and

on public assistance;

—Grow up with few material or

educational resources;

—Are likely to engage in substance

abuse and/or criminal activities;

—Lack guidance from responsible

adults to teach them how to respect

themselves and others while they

track through adolescence to

adulthood;

—Are at special risk for a variety of

behavioral problems;

—Are too often inclined to detach

themselves from parental authority;

and,

—Are likely to assert themselves in

gangs and street cultures that support

a flamboyant lifestyle through illicit

trafficking.

Applicants are encouraged to develop

cooperative learning partnerships of the

type that will blend regular classroom

curriculum and instructions with stayin-school programs (including college

programs) and the world of work.

Innovative concepts might include ideas

built around matching scholarship and

grant funds offered from other public

and private sources to promising low

income urban youth.

Projects might also include requests

for funds to support diversified

occupation projects (projects designed

to bridge the gap between school-based

programs and the world of work).

Envisioned is the promotion of joint

projects between local public schools

and private sector businesses to develop

partial or after school and weekend job

apprenticeships or placement

opportunities for urban youth. Projects

seeking to develop opportunities around

computer technology repair work,

machine tool manufacturing, and career

development in the areas of abatement

of environmental hazards and pollution

are encouraged.

The target group of disadvantaged

youth should not be considered in

isolation from the community in which

they live. Applicants should seek to

involve partners in their project that

make possible a comprehensive, holistic

approach to individual, family, and

community development; including

agencies that can assist with parenting,

housing, family mentoring, vocational

training, day care, transportation,

apprenticeships and employment, and

interventions in violent situations. OCS

is interested, for this set-aside as well as

for the other grants, in demonstrations

that test the targeting and delivery of

these and other services to the

disadvantaged youths and their urban

neighborhoods and that employ

computer workstations and similar

strategies for improving the efficiency

and effectiveness of the delivery of

those services.

Applicants should identify any

barriers that might hinder efforts by the

project team/partnership to help

members of the target population

become self-sufficient and include in

their proposals specific plans to

counteract them. OCS is particularly

interested in partnerships that propose

creative ways to deal with problems of

individual and group violence,

including violence as a response to

conditions in families and communities

that have been subjected to historical

patterns of oppression. OCS feels that to

assure the safety of all program

participants and staff it is essential that

such programs be closely coordinated

with local law enforcement agencies.

Where projects propose to work with

youth 10 to 15 years of age, applicants

should consider the stages of youth

development and seek to counter

unhealthy influences on that

development by strengthening this

population’s sense of community

through project activities. It is

important, in this regard, that projectrelated contacts and activities be

frequent and intense enough to make a

positive impact on participating youths.

Applications that include linkages with

national and local organizations with

significant experience in this issue are

encouraged.

Applicants seeking guidance on

program design, availability of

resources, or the identification of

persons or organizations in their

communities that can provide

additional guidance, support, and

expertise in the areas of disadvantaged

youth and violence prevention may

wish to contact one of the following

persons for information and assistance:

Clifton Mitchell, Chief, Special Projects

Branch, Center for Substance Abuse

Treatment, 5515 Security Lane,

Rockwall II, 7th Floor, Rockville, MD

20852, (301) 443–6533
18674 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

Warren W. Hewitt, Jr., Director, Division

of Clinical Programs, Center for

Substance Abuse Treatment, 55–5

Security Lane, Rockwall II, 7th Floor,

Rockville, MD 20852, (301) 443–8160

Dr. Donald Vereen, M.D., M.P.H.,

Special Assistant to the Director,

National Institute on Drug Abuse,

National Institutes of Health, 5600

Fishers Lane, Room 10–05, Rockville,

MD 20857, (301) 443–6480

Timothy Thornton, Associate Director

for Youth Programs, Division of

Violence Prevention, National Center

for Injury Prevention and Control

(NCIPC), Centers for Disease Control,

4770 Buford Highway NE, Atlanta,

GA 30341, (404) 488–4646

Marilyn Silver, Information Specialist,

Office of Juvenile Justice and

Delinquency Prevention, Office of

Justice Programs, Department of

Justice, 633 Indiana Ave. NW,

Washington, DC 20531, (202) 616–

3551

James Breiling, PhD., Violence and

Traumatic Stress Research Branch,

National Institute of Mental Health,

NIH, Parklawn Bldg. Room 10C–24,

5600 Fishers Lane, Rockville, MD

20857, (301) 443–3728

Part IV. Application Elements and

Review Criteria

The ultimate goals of the projects to

be funded under the Demonstration

Partnership Program are to realize,

through project interventions,

significant improvements in the social

and economic self-sufficiency of

members of the communities served, to

evaluate the effectiveness of these

interventions and of the project design

through which they were implemented,

and thus to make possible the

replication of successful programs. As

noted above, OCS intends to make the

awards of all the above grants on the

basis of brief, concise applications. The

elements and format of these

applications, along with the review

criteria that will be used to judge them,

will be outlined in this Part.

In order to simplify the application

preparation and review process, OCS

seeks to keep grant proposals cogent and

brief.

Applications with project narratives

(excluding appendices) of more than 20

letter-sized pages of 12 c.p.i. type or

equivalent on a single side will not be

reviewed for funding. Applicants

should prepare and assemble their

project description using the following

outline of required project elements.

They should, furthermore, build their

project concept, plans, and application

description upon the guidelines set

forth for each of the project elements.

For each of the Project Elements or

Sub-Elements below there is at the end

of the discussion a suggested number of

pages to be devoted to the particular

element or sub-element. These are

suggestions only; but the applicant must

remember that the overall Project

Narrative cannot be longer than 20

pages.

The competitive review of proposals

will be based on the degree to which

applicants:

(1) Incorporate each of the Elements

and Sub-Elements below into their

proposals, so as to:

(2) Describe convincingly a project

that will develop and implement new

and innovative approaches to address

particularly critical needs or problems

of the poor;

(3) In ways that appear likely to

increase their self-sufficiency; and

(4) Test and evaluate such approaches

so as to make possible replication of a

successful program.

A. Program Elements, Review and

Assessment Criteria for Applications

Under Priority Areas 1.0 and 4.0

Element I. Organizational Experience

and Capability

(Weight of 0 to 5 points in proposal

review.)

Applicants should cite their

organization’s capability and relevant

experience in developing and operating

programs which deal with poverty

problems similar to those to be

addressed by the proposed project. They

should also cite the organization’s

experience in collaborative

programming and operations which

involve evaluations and data collection.

While the proposed project management

team will be identified and described

elsewhere in the application, applicants

should identify agency executive

leadership in this section and briefly

describe their involvement in the

proposed project and provide assurance

of their commitment to its successful

implementation. An important indicator

of the applicant organization’s

capability will be the certification to

that effect by the State CSBG Director in

the required letter of eligibility

certification. (See Part I. B., Eligibility,

above.)

Applicants should use no more than

2 pages for this element.

Element II. Project Theory, Design, and

Plan

(Total Weight of 0–25 points in proposal

review)

OCS seeks to learn from the

application why and how the project as

proposed is expected to lead to

significant improvements in individual

and family self-sufficiency.

Applicants are urged to design and

present their project in terms of a

conceptual cause-effect framework. In

the following paragraphs a ‘‘logic

model’’, or framework is described, that

suggests a way to present a project so as

to show the ‘‘logic’’ of the cause-effect

relations between project activities and

project results. Applicants don’t have to

use the exact ‘‘logic model’’ language

described; but it is important to present

the project in a way that makes clear the

cause-effect relationship between what

the project plans to do and the results

it expects to achieve.

Sub-Element II(a). Description of

Target Population, Analysis of Need,

and Project Assumptions. (Weight of 0–

10 points in application review)

The ‘‘logic model’’ begins with

identifying the underlying assumptions

about the program. These are the beliefs

on which the proposed program is built:

the assumptions about the needs of the

client population to be served; about the

current services available to those

clients, and where and how they fail to

meet their needs; about why the

proposed services or interventions are

appropriate, and will meet those needs;

and about the impact the proposed

interventions will have on the clients.

In other words, the underlying

assumptions of the program are the

applicant’s analysis of the needs and

problems to be addressed by the project,

and the applicant’s theory of how its

proposed interventions will address

those needs and problems to achieve the

desired result. Thus a strong application

is based upon a clear description of the

needs and problems to be addressed and

a persuasive understanding of the

causes of those problems.

In this sub-element of the proposal

the applicant should precisely identify

the target population to be served. The

geographic area to be impacted should

then be briefly highlighted, selectively

emphasizing the socioeconomic/poverty

and other data that are relevant to the

project design. Applicants for

environmental justice projects, for

instance, might include as much data

about neighborhood pollution and

recycling markets as they do about

poverty conditions.

The needs of this target population

should then be clearly defined, and the

applicant should state its underlying

assumptions about how these needs can

be addressed by the proposed project.

Applicants should use no more than

2 pages for this application sub-element.

Sub-Element II(b). Project Strategy

and Design Framework: Interventions,
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18675

Outcomes, and Goals (Weight of 0–10

points in proposal review.)

To continue with the ‘‘logic model’’:

The underlying assumptions

concerning client needs and the theory

of how they can be effectively

addressed, which are discussed above,

lead in the project design to the conduct

of a variety of project activities or

interventions, each of which is assumed

to result in immediate changes, or

outcomes.

The immediate changes lead to

intermediate outcomes; and the

intermediate outcomes lead to the final

project goals.

So in this sub-element the applicant

should describe the major activities, or

interventions, which are to be carried

out to address the needs and problems

identified in the previous sub-element.

And it should discuss the immediate

changes, or outcomes, which are

expected to result. These are the results

expected from each service or

intervention immediately after it is

provided. For example, a job readiness

training program might be expected to

result in clients having increased

knowledge of how to apply for a job,

improved grooming for job interviews,

and improved job interview skills. Or

peer mentoring coupled with training in

dispute settlement might be expected to

result in young urban clients acquiring

skills useful in avoiding violent

confrontations.

At the next level are the intermediate

outcomes which result from these

immediate changes. Often an

intermediate project outcome is the

result of several immediate changes

resulting from a number of related

interventions such as training and

mentoring. Intermediate project

outcomes should be expressed in

measurable changes in knowledge,

attitudes, behavior, or status/condition.

In the above examples, the immediate

changes achieved by the job readiness

program could be expected to lead to

intermediate outcomes of client

employment and increased income. The

acquisition of dispute settlement skills,

coupled with mentoring, could be

expected to result in the actual

avoidance of confrontation and

violence.

Finally, the application should

describe how the achievement of these

intermediate outcomes will be expected

to lead to the attainment of the project

goals: Employment, new careers in

environmental clean-up, successful

business ventures, enrollment in post

secondary education, or whatever they

may be. Applicants must remember that

if the major focus of the project is to be

the development and start-up of a new

business, then a Business Plan which

follows the outline in Attachment B to

this announcement must be submitted

as an appendix to the Proposal.

Applicants don’t have to use the exact

‘‘logic model’’ terminology described

above, but it is important to describe the

project in a way that makes clear the

expected cause-and-effect relationship

between what the project plans to do—

the activities or interventions, the

changes that are expected to result, and

how those changes will lead to

achievement of the project goals of

greater self-sufficiency.

This design section should cover no

more than 3 pages of the proposal.

Sub-Element II(c). Work Plan (Weight

of 0–5 points in proposal review).

Once the project strategy and design

framework are established, the applicant

should present the highlights of a work

plan for the project. The plan should

explicitly tie into the project design

framework and should be feasible, i.e.,

capable of being accomplished with the

resources and partners available. The

plan should briefly describe the key

project tasks, and show the timelines

and major milestones for their

implementation. Critical issues or

potential problems that might affect the

achievement of project objectives

should be explicitly addressed, with an

explanation of how they would be

overcome, and how the objectives will

be achieved notwithstanding any such

problems. The plan should be presented

in such a way that it can be correlated

with the budget narrative included

earlier in the application.

The applicant should use no more

than 2 pages for this part of this

proposal element.

Applicant may be able to use a simple

Gantt or time line chart to convey the

work plan in minimal space.

Element III. Project Partnerships

(Weight of 0–15 points in the proposal

review.)

Suitable project partners are a

required component of the

Demonstration Partnership Program,

and are critical to the kind of service

concentration and systemic change

envisioned by OCS. Project partners

should have skills, resources, and

experience that complement those of the

applicant, so that the partnership is

stronger than its individual parts.

Applicants should use this section to

identify their project partners, describe

the roles that they have agreed to play,

and document that at least 50% of the

matching funds will be provided by

these partners through the delivery of

specific services or resources to the

target population.

The application should include, in an

appendix, commitment letters from, or

Partnership Agreements with these

proposed partners signed by the

executive of the partnering entity. These

documents should describe the role of

the partner in the project, including the

relevant skills of the partner, the

services to be provided, and the

resources and levels of effort to be

provided to the project.

Applicants should use no more than

3 pages for this proposal element (plus

the Partnership Agreement(s) in the

appendix).

Element IV. Project Innovations

(Weight of 0 to 10 points in the proposal

review.)

Applicant should briefly describe the

ways in which the proposed project

represents a new and innovative

approach or approaches to provide for

greater self-sufficiency of the poor and/

or to deal with particularly critical

needs or problems of the poor that are

common to a number of communities.

Innovation can be in the characteristics

of the target population to be served, or

the needs to be addressed; the kinds of

activities, or interventions, that will be

carried out; the ways in which they will

be carried out; new and different

combinations of activities or

interventions that will be implemented;

or in the settings in which the project

will function: e.g. new and innovative

types of work or businesses or

institutions in which the project will

function.

Applicants should use no more than

1 page for this proposal element.

Element V. Project Management and

Organization

(Weight of 0 to 10 points in the proposal

review.)

While the experience of agency

leadership is important to project

success, the caliber of day-to-day project

management is critical. Applicants

should identify the Project Director and

other key staff they feel are especially

important to the success of the project,

and include resumes as an appendix to

the proposal. Where the staff have not

been identified, a position description

should be included in the appendix.

The application should describe their

relevant capabilities for managing this

multi-faceted project, with emphasis

placed on successful management

experience in directing both on-budget

and leveraged resources to create

community conditions capable of

supporting effective interventions and

transforming lives. This individuals’

commitment and planned level-of-effort
18676 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

to the project should be specified.

Project proposals will be assessed, for

this element, on the relevant experience,

capabilities, commitment and planned

level of effort to the project of the

Project Director and key staff members

as described in the application.

Applicants should also, in this

section, describe (and diagram if

necessary) the organization of the

project. The relationships among the

Project Director and the key officials in

the applicant and partnering

organizations should be depicted, and

the project-related authorities and

responsibilities of these key actors

should be made clear.

Applicants should use no more than

2 pages for this proposal element (plus

the resumes and/or position

descriptions in the appendix).

Element VI. Project Budget

(Weight of 0–5 points in the proposal

review.)

Applicants will be required to submit

Federal budget forms with their

proposals to provide basic applicant and

project information (SF 424) and

information about how Federal and

other project funds will be used (424A).

In addition to and immediately

following the completed Federal budget

forms, applicants must submit a Budget

Narrative, or explanatory budget

information. This Budget Narrative is

not considered a part of the Project

Narrative, and does not count as part of

the twenty pages; but rather is included

in the application following the budget

forms.

The budget narrative should briefly

explain the adequacy of the Federal and

match funds to accomplish project

purposes, should explain the source and

nature of matching funds, and should

identify and briefly explain any

imbalances between level of activities

undertaken and project funds expended.

Applicants should nonetheless use no

more than two or three pages for this

proposal element (not including the

federal budget forms).

Resources in addition to the required

matching amounts are encouraged by

OCS, both to augment project resources

and to strengthen the basis for

continuing partnerships to benefit the

target community. The amounts of such

resources beyond the required match,

their appropriateness to the project

design, and the likelihood that they will

continue beyond the project time frame

will be taken into account in judging the

application.

Element VII. Project Evaluation

(Weight of 0–15 points in the proposal

review.)

Sound evaluations are essential to the

Demonstration Partnership Program.

OCS requires applicants to include in

their applications a well thought

through outline of an evaluation plan

for their project. The outline should

explain how the applicant proposes to

answer the key questions about how

effectively the project is being/was

implemented (the Process Evaluation)

and whether and why/why not the

project activities, or interventions

achieved the expected outcomes and

goals of the project (the Outcome

Evaluation).

Applicants are not being asked to

submit a complete and final Evaluation

Plan as part of their proposal; but they

must include:

(1) A well thought through outline of

an evaluation plan which identifies the

principal cause-and-effect relationships

to be tested, and which demonstrates

the applicant’s understanding of the role

and purpose of both Process and

Outcome Evaluations (see previous

paragraph);

(2) The identity and qualifications of

the proposed third party evaluator, or if

not selected, the qualifications which

will be sought in choosing an evaluator,

which must include successful

experience in evaluating social service

delivery programs, and the planning

and/or evaluation of programs designed

to foster self-sufficiency in low income

populations; and

(3) A commitment to the selection of

a third-party evaluator approved by

OCS, and to completion of a final

evaluation design and plan, in

collaboration with the approved

evaluator and the OCS Evaluation

Technical Assistance Contractor during

the six-month start-up period of the

project, if funded.

Applicants should ensure, above all,

that the evaluation outline presented is

consistent with their project design. A

clear project framework of the type

recommended earlier identifies the key

project assumptions about the target

populations and their needs, and the

hypotheses, or expected cause-effect

relationships to be tested in the project:

that the proposed project activities, or

interventions, will address those needs

in ways that will lead to the

achievement of the project goals of selfsufficiency. It also identifies in advance

the most important process and

outcome measures that will be used to

identify performance success and

expected changes in individual

participants, the grantee organization,

and the community.

For these reasons, the evaluator that

the applicant expects to work with

should be involved—at least briefly but

substantively—in the development of

the project design and proposal.

The applicant should use no more

than 3 pages for this proposal element,

plus the Resume or Position Description

for the evaluator, which should be in an

Appendix.

Element VIII. Significant and Beneficial

Impact

(Weight of 0–10 points in the proposal

review.)

OCS seeks, with its Demonstration

Partnership Program, to use a modest

amount of money to support innovative

approaches that will create significant

benefits for low-income individuals,

families, and communities.

Accordingly, it intends to make grants

that have a strong likelihood of creating

beneficial impacts both within the

project communities and, through wide

dissemination of useful project results

and findings, in other communities

facing similar challenges.

The proposed project is expected to

lead to tangible achievements toward

individual and family self-sufficiency

and, as a result, verifiable reductions in

the incidence of poverty in the targeted

community. Applicants should

summarize, in this section, the

beneficial impacts that they propose to

make in that community, their

expectations for the continuation of

those benefits beyond the project’s life,

and the kind of information that they

expect to share with OCS and the social

service/community development fields

from their demonstration project.

Project proposals will be assessed, for

this element, on the likely value of the

project to the target community over

time—given the proposed outcomes and

the likelihood that they will be

realized—and to the larger community

of CSBG grantees across the nation.

Applicants should use no more than

1 page for this proposal element. The

score for the element will be based to

some extent on the coherence and

feasibility of the entire application.

Element IX. Community Empowerment

Consideration

(Weight of 0–5 points in proposal

review.)

Special consideration will be given to

applicants who are located in areas

which are characterized by poverty and

other indicators of socio-economic

distress such as a poverty rate of at least

20%, designation as an Empowerment

Zone or Enterprise Community, high

levels of unemployment, and a high

incidence of violence, gang activity,

crime, or drug use. If such is the case,

applicants should document that they
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18677

were involved in the preparation and

planned implementation of a

comprehensive community-based

strategic plan to achieve both economic

and human development in an

integrated manner and how the

proposed project supports the goal(s) of

that plan. (0–5 points)

Applicants should use no more than

1 page for this proposal element.

B. Special Program Elements, Review

and Assessment Criteria for

Applications for Replication Projects

Under Priority Area 2.0

The Project Narrative should begin

with the statement that the proposal is

for a replication project in priority area

2.0, and identify which of the projects

described in Part II is to be replicated.

Note that proposals for replication of the

Philadelphia; Yakima, Washington; and

Bath, Maine projects are limited to a

maximum grant amount of $350,000

with a 100% match, similar to General

Demonstrations under Priority Area 1.0.

Proposals for replication of the Phoenix

project will, for purposes of grant

amount and match requirement, be

considered Urban Youth Projects under

Priority Area 4.0 with a maximum grant

amount of $500,000 and a required

match of 25% of the OCS grant amount.

In all other respects, proposals for

replication of the Phoenix project

should follow the elements and criteria

of this Sub-Part, which follow.

Element I. Organizational Experience

and Capability

(Weight of 0 to 5 points in proposal

review.)

[This element should be the same as

under Priority Areas 1.0 and 4.0, and

should take no more than 2 pages of the

Project Narrative.]

Element II. Project Theory, Design, and

Plan

(Total Weight of 0–25 points in proposal

review.)

OCS seeks to learn from this element

of the application why and how the

project as proposed is expected to lead

to significant improvements in

individual and family self-sufficiency.

Applicants may find it helpful to

design and present their project in terms

of a conceptual cause-effect framework.

A ‘‘logic model’’ that may be helpful is

developed in the following paragraphs.

Sub-Element II(a). Description of

Target Population, Analysis of Need,

and Project Assumptions. (Weight of 0–

10 points in application review.)

The ‘‘logic model’’ begins with

identifying the underlying assumptions

about the program. These are the beliefs

on which the proposed program is built:

The assumptions about the needs of the

client population to be served; about the

current services available to those

clients, and where and how they fail to

meet their needs; about why the

proposed services or interventions are

appropriate, and will meet those needs;

and about the impact the proposed

interventions will have on the clients.

In other words, the underlying

assumptions of the program are the

applicant’s analysis of the needs and

problems to be addressed by the project,

and the applicant’s theory of how its

proposed interventions will address

those needs and problems to achieve the

desired result. In this sub-element of the

proposal the applicant should precisely

identify the target population to be

served. The geographic area to be

impacted should then be briefly

highlighted, selectively emphasizing the

socioeconomic/poverty and other data

that are relevant to the project design.

The needs of this target population

should then be clearly defined, with

particular attention to whether and how

the characteristics and needs of this

target population appear to differ from

those of the project being replicated (the

Host Project). The applicant should state

its underlying assumptions about how

these needs can be addressed by the

proposed project, including its

assumptions about any modifications to

the design and interventions of the Host

Project that it believes are needed to

address such differences.

Applicants should use no more than

2 pages for this application sub-element.

Sub-Element II(b). Project Strategy

and Work Plan: Interventions,

Outcomes, and Goals. (Weight of 0–15

points in proposal review.)

To continue with the ‘‘logic model’’:

The underlying assumptions

concerning client needs and the theory

of how they can be effectively

addressed, which are discussed above,

lead in the project design to the conduct

of a variety of project activities or

interventions, each of which is assumed

to result in immediate changes, or

outcomes.

The immediate changes lead to

intermediate outcomes; and the

intermediate outcomes lead to the final

project goals.

In this sub-element, applicants for

replication projects under Priority Area

2.0 should explain the strategy and

design of the project being replicated

(the Host Project), and how they plan to

implement and/or adapt the activities,

or interventions of the Host Project to

the particular needs of the new target

population and the setting of the

replication project, as described in the

previous sub-element. The applicant

should describe the immediate changes

expected to result from the project

activities, or interventions, and how

they can lead to intermediate outcomes,

and in turn to attainment of the final

project goals.

Again, applicants don’t have to use

this exact terminology, but it is

important to describe the project in a

way that makes clear the expected

cause-and-effect relationship between

what the project plans to do—the

activities or interventions, the changes

that are expected to result, and how

those changes will lead to achievement

of the project goals of greater selfsufficiency.

Finally, the applicant should present

the highlights of a work plan for the

project patterned after the work plan of

the Host Project, and highlight any

differences from that plan. It should

explicitly tie into the project design

framework and should be feasible, i.e.,

capable of being accomplished with the

resources and partners available. The

plan should briefly describe the key

project tasks, and show the timelines

and major milestones for their

implementation. Critical issues or

potential problems that might affect the

achievement of project objectives

should be explicitly addressed, with an

explanation of how they would be

overcome, and how the objectives will

be achieved notwithstanding any such

problems. The plan should be presented

in such a way that it can be correlated

with the budget narrative developed

later in the application.

The applicant should use no more

than 4 pages for this proposal subelement. Applicant may be able to use

a simple Gantt or time line chart to

convey the work plan in minimal space.

Element III. Project Partnerships

(Weight of 0–30 points in the proposal

review.)

Sub-element III(a). Arrangements with

Host Project. (Weight of 0–15 points in

the proposal review.)

Applicant must have made

arrangements with the project to be

replicated (the Host Project) for an

extensive site visit or site visits by key

staff to the Host Project, during which

such staff can receive orientation

training and actually serve a brief

apprenticeship in the program. In

addition, provision should be made for

a site visit by staff of the Host Project

to the Replication Project during the

first year of its operations.

In this sub-element applicant should

briefly describe the steps that it has

taken to learn about the design, work

plan, and findings of the Host Project,

and the arrangements that have been
18678 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

made for site visits and/or

apprenticeships. The proposed Project

Budget should make provision for the

costs of such site visits/apprenticeships,

as well as for appropriate consulting

fees for staff of the Host Project; and the

application should include, as an

appendix, a Memorandum of

Understanding or Letter of Agreement

between the applicant and the Host

Project setting forth training/

apprenticeship undertakings and the

attendant financial arrangements.

Applicants should use no more than

3 pages for this proposal element (plus

the Memorandum of Understanding or

Letter of Agreement with the Host

Project, which should be in an

Appendix).

Sub-element III(b). Project

Partnerships. (Weight of 0–15 points in

the proposal review.)

Suitable project partners are a

required component of the

Demonstration Partnership Program,

and are critical to the kind of service

concentration and systemic change

envisioned by OCS. Project partners

should have skills, resources, and

experience that complement those of the

applicant, so that the partnership is

stronger than its individual parts.

Applicants should use this section to

identify their project partners, describe

the roles that they have agreed to play,

and document that at least 50% of the

required match will be provided by

these partners through the delivery of

specific services or resources to the

target population.

The application should include, in an

appendix, commitment letters from, or

Partnership Agreements with these

proposed partners signed by the

executive of the partnering entity. These

documents should describe the role of

the partner in the project, including the

relevant skills of the partner, the

services to be provided, and the

resources and levels of effort to be

provided to the project.

Applicants should use no more than

2 pages for this proposal element (plus

the Partnership Agreement(s) in the

Appendix).

Element IV. Project Management and

Organization

(Weight of 0 to 10 points in the proposal

review.)

[This element should be the same as

Element V under Priority Areas 1.0 and

4.0 and should take no more than 2

pages of the Project Narrative]

Element V. Project Budget

(Weight of 0–5 points in the proposal

review.)

Applicants will be required to submit

Federal budget forms with their

proposals to provide basic applicant and

project information (SF 424) and

information about how Federal and

other project funds will be used (424A).

In addition to and immediately

following the completed Federal budget

forms, applicants must submit a Budget

Narrative, or explanatory budget

information. This Budget Narrative is

not considered a part of the Project

Narrative, and does not count as part of

the twenty pages; but rather is included

in the application following the budget

forms.

The budget narrative should briefly

explain the adequacy of the Federal and

match funds to accomplish project

purposes, should explain the source and

nature of matching funds, and should

identify and briefly explain any

imbalances between level of activities

undertaken and project funds expended.

Resources in addition to the required

matching amounts are encouraged by

OCS, both to augment project resources

and to strengthen the basis for

continuing partnerships to benefit the

target community. The amounts of such

resources beyond the required match,

their appropriateness to the project

design, and the likelihood that they will

continue beyond the project time frame

will be taken into account in judging the

application.

For replication projects under Priority

Area 2.0 the budget and budget

narrative must include provision for the

costs of site visits/apprenticeships

pursuant to the arrangements between

the applicant and the Host Project, as

well as for appropriate consulting fees

for staff of the Host Project as provided

in the Memorandum of Understanding

or Letter of Agreement between the

parties.

Although as noted, the Budget

Narrative does not count against the

twenty page limitation on the Project

Narrative, applicants should use no

more than two or three pages for this

proposal element (not including the

federal budget forms).

Element VI. Project Evaluation

(Weight of 0–10 points in the proposal

review.)

[This element should be the same as

Element VII under Priority Areas 1.0

and 4.0, and should not use more than

3 pages of the Project Narrative.]

Element VII. Significant and Beneficial

Impact

(Weight of 0–10 points in the proposal

review.)

[This element should be the same as

Element VIII under Priority Areas 1.0

and 4.0, and should not use more than

1 page of the Project Narrative.]

Element VIII. Community

Empowerment Consideration

(Weight of 0–5 points in proposal

review.)

[This element should be the same as

Element IX under Priority Areas 1.0 and

4.0, and should not use more than 1

page of the Project Narrative.]

C. Program Elements, Review and

Assessment Criteria for Applications for

EZ/EC Continuous Improvement Grants

Under Priority Area 3.0

Element I. Organizational Experience

and Capability

(Weight of 0 to 10 points in proposal

review.)

[This element should be the same as

under Priority Areas 1.0 and 4.0, and

should take no more than 2 pages of the

Project Narrative.]

Element II. Relationship to EZ/EC

Strategic Planning Process

(Weight of 0–25 points in proposal

review.)

Applicants should describe the part

they played in the development of the

community’s EZ/EC Strategic Plan, and

provide evidence of a continuing

collaborative relationship with the

public and private agencies which took

part in the planning process. The OCS

review process will give the highest

scores to applicants who can show that

they were intimately involved in the

development of the Strategic Plan and

will be active participants in its

implementation. Letters of support from

involved community agencies may be

included in the appendix to the

proposal to support applicant’s role in

the process.

[Applicant should use no more than 3

pages for this proposal element, plus

any support letters included in the

appendix.]

Element III. Project Goals, Activities,

and Work Plan

(Weight of 0–25 points in proposal

review.)

In this element the applicant should:

(1) Define its goals in relation to the

Strategic Plan implementation, the

involvement of low income residents,

and the collection of data concerning

both the implementation process and

the impact of programs carried out as

part of the Strategic Plan;

(2) Describe the activities it is

proposing to carry out which it expects

will lead to the achievement of these

goals; and
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18679

(3) Present the highlights of a work

plan briefly describing the key project

tasks and showing the timelines and

major milestones for their

implementation.

Applicant should use no more than 4

pages for this proposal element.

Element IV. Partnerships

(Weight of 0–15 points in proposal

review.)

Suitable project partners are a

required component of the

Demonstration Partnership Program,

and are critical to the kind of

involvement by the applicant in the

community’s Strategic Plan

implementation which is envisioned by

OCS. Project partners should also have

important roles in the community, and

should have skills, resources, and

experience that complement those of the

applicant. Applicants should use this

section to identify their project partners,

describe the roles that they have agreed

to play, and document that at least 50%

of the required match will be provided

by these partners through the provision

of specific services or resources to the

project.

The application should include, in an

Appendix, commitment letters from

these proposed partners signed by the

executive of the partnering entity, and

briefly describing the role of the partner

in the project, including the relevant

skills of the partner, and the resources

and levels of effort to be provided to the

project.

Applicants should use no more than

3 pages for this proposal element (plus

the partnership letter(s) in the

Appendix).

Element V. Project Management and

Organization

(Weight of 0–15 points in proposal

review.)

Applicants should identify the Project

Director and other key staff they feel are

especially important to the success of

the project, and include resumes as an

appendix to the proposal. Where the

staff members have not been identified,

position descriptions should be

included in the appendix. Applicants

should also, in this section, describe

(and diagram if necessary) the

organization of the project. The

relationships among the Project Director

and the key officials in the applicant

and partnering organizations should be

depicted, and the project related

authorities and responsibilities of these

key actors should be made clear.

Applicants should use no more than

2 pages for this proposal element (plus

the resumes and/or position

descriptions in the appendix).

Element VI. Project Budget

(Weight of 0–10 points in the proposal

review.)

Applicants will be required to submit

Federal budget forms with their

proposals to provide basic applicant and

project information (SF 424) and

information about how Federal and

other project funds will be used (424A).

In addition to and immediately

following the completed Federal budget

forms, applicants must submit a Budget

Narrative, or explanatory budget

information. This Budget Narrative is

not considered a part of the Project

Narrative, and does not count as part of

the twenty pages; but rather is included

in the application following the budget

forms.

The budget narrative should briefly

explain the adequacy of the Federal and

match funds to accomplish project

purposes, and should explain the source

and nature of matching funds.

Although as noted, the Budget

Narrative does not count against the

twenty page limitation on the Project

Narrative, applicants should use no

more than one or two pages for this

proposal element (not including the

federal budget forms).

Part V. Application Procedures

A. Availability of Forms

Attachments D through J contain all of

the standard forms necessary for the

application for awards under this OCS

program. These attachments and Parts

VI and VII of this Notice contain all the

instructions required for submittal of

applications.

Additional copies of this

Announcement may be obtained by

writing or telephoning the office listed

under the section entitled FOR FURTHER

INFORMATION CONTACT at the beginning of

this announcement. In addition, it is

accessible on the OCS Electronic

Bulletin Board for downloading through

your computer modem by calling 1–

800–627–8886. For assistance in

accessing the Bulletin Board, a Guide to

Accessing and Downloading is available

from Ms. Minnie Landry at (202) 401–

5309.

B. Application Submission

1. Number of Copies Required. One

signed original application and four

copies should be submitted. (Approved

by the Office of Management and

Budget under Control Number 0970–

0062.)

2. Acknowledgment of Receipt. All

applicants will receive an

acknowledgement 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. The assigned

identification number, along with any

other identifying codes, must be

referenced in all subsequent

communications concerning the

application. If an acknowledgement is

not received within three weeks after

the deadline date, please notify ACF by

telephone at (202) 401–9365.

3. Deadlines: The closing date for

receipt of applications is June 12, 1995.

To be considered as meeting the

deadline, applications must be received

before 4:30 p.m. EDST on the deadline

date at the ACF Office of Financial

Management, Division of Discretionary

Grants, 6th Floor OFM/DDG, 370

L’Enfant Promenade, SW, Washington,

DC 20447.

4. Applications Submitted by Other

Means. Applications which are not

submitted in accordance with the above

criteria shall be considered as meeting

the deadline only if they are physically

received before the close of business on

or before the deadline date. Hand

delivered applications will be accepted

at the ACF Office of Financial

Management, Division of Discretionary

Grants, 6th Floor ACF Guard Station,

901 D Street, SW, Washington, DC

during the normal working hours of 8

a.m. to 4:30 p.m., Monday through

Friday.

5. Late Applications: Applications

which do not meet the criteria above

will be considered late applications.

ACF will notify each late applicant that

its application will not be considered in

this competition.

6. Extension of Deadline. ACF may

extend the deadline for all applicants

because of acts of God such as floods,

hurricanes, etc. or when there is a

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.

C. 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, Colorado,

Connecticut, Hawaii, Idaho, Kansas,

Louisiana, Minnesota, Montana,

Nebraska, Oklahoma, Oregon,

Pennsylvania, South Dakota, Virginia,
18680 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

Washington, American Samoa and

Palau have elected to participate in the

Executive Order process and have

established Single Points of Contact

(SPOCs) .

Applicants from these nineteen

jurisdictions need take no action

regarding E.O. 12372. All other

applicants should contact their SPOC as

soon as possible to alert them of the

prospective application and to 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. These

comments are reviewed as part of the

award process. Failure to notify the

SPOC can result in a delay in grant

award.

SPOCs are encouraged to eliminate

the submission of routine endorsements

as official recommendations.

Additionally, SPOCs are requested to

differentiate clearly between mere

advisory comments and those official

State process recommendations which

they intend to trigger the ‘‘accommodate

or explain’’ rule under 45 CFR 100.10.

It is helpful in tracking SPOC comments

if the SPOC will clearly indicate the

applicant organization as it appears on

the application SF–424.

When comments are submitted

directly to ACF, they should be

addressed to: Department of Health and

Human Services, Administration for

Children and Families, Office of

Financial Management, Division of

Discretionary Grants, 6th Floor, 370

L’Enfant Promenade, SW, Washington,

DC 20447. A list of the Single Points of

Contact for each State and Territory is

included at Attachment L to this

announcement.

D. Application Consideration

Applications which meet the

screening requirements in Section E

below will be reviewed competitively.

Such applications will be referred to

reviewers for a numerical score and

explanatory comments based solely on

responsiveness to the Legislative

Authority, the Priority Areas outlined in

Part III, and the Application Elements

and Review Criteria set forth in Part IV

of this Announcement.

Applications will be reviewed by

persons outside of the OCS unit which

will be directly responsible for

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 will be

considered in rank order of the averaged

scores. However, highly ranked

applications are not guaranteed funding

since other factors are taken into

consideration, including: The timely

and proper completion of projects

funded with OCS funds granted in the

last (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 OCS or other Federal agency grants.

OCS reserves the right to discuss

applications with other Federal or nonFederal funding sources to determine

the applicant’s performance record.

E. Criteria For Screening Applications

1. 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:

a. The application must contain a

Standard Form 424 ‘‘Application for

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

(SF–424A) and signed ‘‘Assurances’’

(SF–424B) completed according to

instructions published in Part VI and

Attachment D to this Announcement.

b. A project narrative must also

accompany the standard forms, and

must be limited to no more than twenty

(20) pages, typewritten on one side of

the paper only, in type no smaller than

12 c.p.i., 11 point, or equivalent, with

margins no less than one inch. Charts,

exhibits, letters of support, cooperative

agreements, resumes and position

descriptions are not counted against this

page limit and should be included in

the appendices to the proposal. It is

strongly recommended that you follow

the format for the narrative discussed in

Part IV, Application Elements and

Review Criteria.

c. 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.

2. Pre-Rating Review

Applications which pass the initial

screening will be forwarded to OCS staff

prior to the programmatic review to

verify that the applications comply with

this program announcement in the

following areas:

a. Eligibility: Applicant is an ‘‘eligible

entity’’ as defined in Part I, Section C.

In order to establish eligibility, the

application must contain a letter signed

by the State Director of the Community

Services Block Grant program certifying

that the applicant is an ‘‘eligible entity’’

as defined by this program

announcement and that it has the

capacity to operate the proposed project.

Applicants must also be aware that

the applicant’s legal name as required

on the SF–424 (Item 5) must match that

listed as corresponding to the Employer

Identification Number (Item 6).

b. Grant Amount: The amount of

funds requested does not exceed

$350,000 in OCS funds for general or

replication projects under Priority Areas

1.0 and 2.0 (other than an application

for replication of the Step-Up Young

Father Mentor Program in Phoenix, AZ,

which may request up to $500,000);

does not exceed $50,000 for EZ/EC

Continuous Improvement projects under

Priority Area 3.0; or does not exceed

$500,000 for Urban Youth projects

under Priority Area 4.0.

c. Matching Funds: The required

match has been firmly committed in the

form of letters of commitment or intent

to commit the required matching funds

contingent only upon receipt of OCS

funds. Such letters must be included as

appendices to the application.

d. Target Populations: The application

clearly serves low-income participants

and beneficiaries as defined in Part II,

Section E.

e. Partnership Agreements:

Partnership arrangements have been

briefly described in the application and

a copy of the partnership agreement(s)

describing the partnership arrangements

and containing a letter of commitment

or intent to commit from the prospective

partner(s), contingent only upon receipt

of OCS funds, has been included in the

appendix.

f. Project Evaluation: The outline of a

third-party project evaluation plan is an

element of the application, and includes

a commitment to the selection of a third

party evaluator approved by OCS and to

completion of a final evaluation design

and plan in collaboration with the

approved evaluator and the OCS

Evaluation Technical Assistance

Contractor during the six-month start-up
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18681

period. A resume or position

description of the evaluator should be

included in the appendix.

g. Replication Project (Priority Area

2.0) only: The proposed project will be

operated in a geographic area other than

that in which the project being

replicated (Host Project) was carried

out, and arrangements for site visits/

apprenticeships between the applicant

and the Host Project are reflected in the

proposal narrative and budget.

An application may be disqualified

from the competition and returned if it

fails to conform to one or more of the

above requirements.

Part VI—Instructions for Completing

Application Forms

(Approved by the Office of Management

and Budget under Control Number

0970–0062.)

The standard forms attached to this

announcement shall be used when

submitting applications for all funds

under this announcement. It is

suggested that you reproduce singlesided copies of the SF–424, SF–424A,

and SF–424B, and type your application

on the copies. Please prepare your

application in accordance with

instructions provided on the forms as

well as with the OCS specific

instructions set forth below:

A. SF–424—Application for Federal

Assistance

Top of Page. Please enter the single

priority area number under which the

application is being submitted. An

application should be submitted under

only one priority area.

Item 1. For the purposes of this

announcement, all projects are

considered Applications. Also for the

purposes of this announcement, there

are no construction projects.

Item 2. Date Submitted and Applicant

Identifier—Date application is

submitted to ACF and applicant’s own

internal control number, if applicable.

Item 3. Date Received by State—N/A.

Item 4. Date Received by Federal

Agency—Leave blank.

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 (CRS/

EIN) and the Payment Identifying

Number, if one has been assigned, in the

Block entitled Federal Identifier located

at the top right hand corner of the form.

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.

Item 8. Type of Application—Please

check the type of application.

Item 9. Name of Federal Agency—

Enter DHHS/ACF/OCS

Item 10. The Catalog of Federal

Domestic Assistance Number for OCS

programs covered under this

announcement is 93.573. The title is

Community Services Block Grant

Discretionary Awards—Demonstration

Partnership Program.

Item 11. Descriptive Title of

Applicant’s Project—Enter the project

title (a brief descriptive title). The

following letter designations must be

used:

General Projects: DP

Replication Projects: DR

EZ/EC Continuous Grants: DE

Urban Youth: DY

Item 12. Areas Affected by Project—

List only the larger unit or units

affected, such as State, county or city.

Item 13. Proposed Project—Enter the

desirable starting date for the project

(start of start-up) and the proposed

completion date. Projects may not

exceed the maximum duration

specified: 36 months for all

Applications (including up to 6 months

start-up, a 24 months operational period

and 6 months for evaluation).

Item 14. Congressional District of

Applicant/Project—Enter the number of

the Congressional District where the

applicant’s principal office is located

and the number(s) of the Congressional

district(s) where the project will be

located.

Item 15a–e. Estimated Funding: Enter

the amounts requested or to be

contributed by Federal and non-Federal

sources for the total project period.

Items b, c, d and e should reflect both

cash and third-party, in-kind

contributions for the total project

period.

Item 15f. N/A

Item 15g. Enter the sum of Items 15a–

15e.

B. SF–424A—Budget Information-NonConstruction Programs

See Instructions accompanying this

page as well as the instructions set forth

below:

In completing these sections, the

Federal Funds budget entries will relate

to the requested OCS Demonstration

Partnership Program funds only, and

Non-Federal will include mobilized

funds from all other sources—applicant,

state, and other. Federal funds other

than those requested from the

Demonstration Partnership Program

should be included in Non-Federal

entries.

Sections A and D of SF–424A must

contain entries for both Federal (OCS)

and non-Federal (matching) funds for

the entire project period. Section B

contains entries for Federal (OCS) funds

only.

Section A—Budget Summary

Lines 1–4

Col. (a):

Line 1—Enter OCS Demonstration

Partnership Program:

Col. (b):

Line 1—Catalog of Federal Domestic

Assistance Number is 93.573.

Col. (c) and (d): Not Applicable

Column (e)—(g)

Line 1–4. Enter in columns (e), (f) and

(g) the appropriate amounts needed to

support the entire project period.

Line 5—Enter the figures from Line 1

for all columns completed, (e), (f), and

(g).

Section B—Budget Categories

This Section should contain entries

for OCS funds only.

Please note: This information supersedes

the instructions provided following the SF–

424A.

Enter in Column 1: the amounts

covering the first 12 months of the

project (including any start-up period).

Enter in Column 2: the amounts

covering the second twelve months of

the project.

Enter in Column 3: the amounts

covering the third twelve months of the

project (including the six-month

evaluation period).

Under Column (5) enter the total

funds requested by the Object Class

Categories of this section (6a–6j).

Allocability of costs are governed by

applicable cost principles set forth in 45

CFR parts 74 and 92.

Budget estimates for administrative

costs (not to exceed 10 percent of the

grant amount) must be supported by

adequate detail for the grants officer to

perform a cost analysis and review.

Adequately detailed calculations for

each object class are those which reflect

estimation methods, quantities, unit

costs, salaries, and other similar

quantitative detail sufficient for the

calculation to be duplicated. For any

additional object class categories

included under the object class Other,

identify the additional object class(es)

and provide supporting calculations.

Supporting narratives and

justifications are required for each

budget category, with emphasis on

unique/special initiatives, large dollar

amounts; local, regional, or other

travels, new positions, major equipment

purchases and training programs as

indicated below:
18682 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

Object Class Categories—Line 6: Enter

the total amount of Federal funds

required by the Object Class Categories

of this section.

Personnel—Line 6a. Enter the total

costs of salaries and wages.

Justification

Identify the principal investigator or

project director, if known. Specify by

title or name the percentage of time

allocated the project, the individual

annual salaries, and the cost to the

project of the organization’s staff who

will be working on the project.

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.

Justification

Provide a breakdown of amounts and

percentages that comprise fringe benefit

costs, such as health insurance, FICA,

retirement insurance, taxes, etc.

Travel—Line 6c: Enter total costs of

all travel by employees of the project.

Travel costs to attend two national

workshops in Washington, DC by the

project director should be included (see

Part VIII). Do not enter costs for

consultant’s travel.

Justification

Include the total number of

traveler(s), total number of trips,

destinations, number of days,

transportation costs and subsistence

allowances.

Equipment-Line 6d: Enter the total

costs of all non-expendable personal

property to be acquired by the project.

Non-expendable personal property

means tangible personal property

having a useful life of more than one

year and an acquisition cost of $5,000 or

more per unit.

Justification

Only equipment required to conduct

the project may be purchased with

Federal funds. The applicant

organization or its subgrantees must not

already have such equipment, or a

reasonable facsimile, available for use in

the project. The justification also must

contain plans for future use or disposal

of the equipment after the project ends.

Supplies-Line 6e: Enter the total costs

of all tangible personal property

(supplies) other than that included on

line 6d.

Justification

Specify general categories of supplies

and their costs.

Contractual-Line 6f: Enter the total

costs of all contracts, including the

estimated cost of a third-party

evaluation contract. Travel costs for the

chief evaluator to attend two national

workshops in Washington, DC should

be included (see Part VIII). OCS’

experience with this program has shown

that a quality evaluation contract can be

purchased for 8%—10% of the OCS

grant funds. [This percentage is a guide

for the applicants’ use in planning its

request for procurement and should not

be construed as a minimum nor

maximum allowable amount.]

Justification

Attach a list of contractors, indicating

the names of the organizations, the

purposes of the contracts, the estimated

dollar amounts, and selection process of

the awards as part of the budget

justification. Also provide back-up

documentation identifying the name of

contractor, purpose of contract, and

major cost elements.

Note: Whenever the applicant/grantee

intends to delegate part of the program to

another agency, thus entering into an

interagency agreement, 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 draft

Request for Proposal in accordance with 45

CFR part 74. Free and open competition is

encouraged for any procurement activities

planned using ACF grant funds. Prior

approval from OCS is required when

applicants anticipate evaluation

procurements that will exceed $25,000 and

are requesting an award without competition.

The applicant’s procurement

procedures should outline the type of

advertisement appropriate to the nature

and anticipated value of the contract to

be awarded. Advertisements are

typically made in city, regional, and

local newspapers; trade journals; and/or

through announcements by professional

associations.

Construction-Line 6g: Construction

costs are not permitted under the

Demonstration Partnership Program.

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 (non-contractual), fees and

travel paid directly to individual

consultants, space and equipment

rentals, printing and publication,

computer use, training costs including

tuition and stipends, training service

costs including wage payments to

individuals and supportive service

payments, and staff development costs.

Total Direct Charges-Line 6i. Show

the total of Lines 6a through 6h.

Indirect Charges-Line 6j: Enter the

total amount of indirect costs. This line

generally should be used only when the

applicant currently has an indirect cost

rate approved by the Department of

Health and Human Services or other

Federal agencies. With the exception of

local governments, applicants should

enclose a copy of the current rate

agreement if it was negotiated with a

Federal agency other than the

Department of Health and Human

Services. If the applicant organization is

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 also be charged as direct

costs to the grant. 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).

Totals-Line 6k: Enter total amounts of

lines 6i and 6j.

Program Income-Line 7: Enter the

estimated amount of income, if any,

expected to be generated from this

project. Separately show expected

program income generated from OCS

support and income generated from

other mobilized funds. Do not add or

subtract this amount from the budget

total. Show the nature and source of

income in the program narrative

statement.

Justification

Describe the nature, source and

anticipated use of program income in

the Program Narrative Statement.

Column 5: Carry totals from Column

1 to Column 5 for all line items.

Section C—Non-Federal Resources

This section is to record the amounts

of non-Federal resources that will be

used to support the project. Non-Federal

resources mean other than OCS funds

for which the applicant is applying.

Provide a brief explanation, on a

separate sheet, showing the type of

contribution, broken out by Object Class

Category, (see Part VI, B, SF–424A,

Section B, Line 6) and whether it is cash

or third-party in-kind. The firm

commitment of these required funds

must be documented and submitted

with the application in order to be given

credit in the partnerships’ criterion.
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18683

Except in unusual situations, this

documentation must be in the form of

letters of commitment or intent to

commit contingent only upon receipt of

OCS funds from the organization(s) and/

or individuals from which funds will be

received.

Justification

Describe all non-Federal resources

including third-party, cash and/or inkind contributions.

Grant Program-Line 8. Grant Program.

Column (a): Enter the project title.

Column (b): Enter the amount of cash

or donations to be made by the

applicant.

Column (c): Enter the State

contribution.

Column (d): Enter the amount of cash

and third-party in-kind contributions to

be made from all other sources.

Column (e): Enter the total of columns

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

Grant Program-Lines 9, 10, and 11

should be left blank.

Grant Program-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

Federal-Line 13. Enter the amount of

Federal (OCS) cash needed for this

grant, by quarter, during the first year.

Non-Federal-Line 14. Enter the

amount of cash from all other sources

needed by quarter during the first year.

Total-Line 15. Enter the total of Lines

13 and 14.

Section E—Budget Estimates of Federal

Funds Needed for Balance of Project

Not Applicable.

Section F—Other Budget Information

Direct Charges-Line 21. Include a

narrative justification for each Object

Class Category required under Section B

for the total project period. This

narrative justification should be on a

separate page and should immediately

follow the SF–424A in the application

package.

Indirect Charges-Line 22. Enter the

type of HHS or other Federal agency’s

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 and attach a copy

of the rate agreement if negotiated with

an agency other than the Department of

Health and Human Services.

Remarks-Line 23. Please provide any

other explanations and/or continuation

sheets required or deemed necessary to

justify or explain the budget

information.

C. SF–424B Assurances-NonConstruction

All applicants must fill out, sign, date

and return the Assurances (see

Attachment D) with the application.

Part VII—Contents of Application

Each application submission should

include a signed original and four

additional copies of the application.

Pages should be numbered sequentially

throughout the application package,

beginning with the Proposal Abstract as

page number one, and each application

must include all of the following, in the

order listed below:

1. An Abstract of the proposal—very

brief, on one page, not to exceed 250

words, which identifies the type of

project, the target population, the

partner(s), and the major elements of the

work plan, and that would be suitable

for use in an announcement that the

application has been selected for a grant

award;

2. Table of Contents;

3. A completed Standard Form 424

which has been signed by an official of

the organization applying for the grant

who has authority to obligate the

organization legally; [Note: The original

SF–424 must bear the original signature

of the authorizing representative of the

applicant organization];

4. Budget Information-NonConstruction Programs (SF–424A);

5. A narrative budget justification for

each object class category required

under Section B, SF–424A;

6. Filled out, signed and dated

Assurances—Non-Construction

Programs (SF–424B), Attachment D;

7. Attachments E and F, setting forth

the Federal requirements concerning the

drug-free workplace and debarment

regulations with which the applicant is

certifying that it will comply, by signing

and submitting the SF–424.

8. Certification Regarding

Environmental Tobacco Smoke

9. Restrictions on Lobbying—

Certification for Contracts, Grants,

Loans, and Cooperative Agreements: fill

out, sign and date form found at

Attachment H;

10. Disclosure of Lobbying Activities,

SF–LLL: Fill out, sign and date form

found at Attachment I, if appropriate;

11. A project narrative, limited to no

more than twenty (20) pages, which

includes all of the elements described in

Part IV, according to the project Priority

Area:

[Specific information/data required

under each component is described in

Part IV Application Elements and

Review Criteria.]

The total number of pages for the

narrative portion of the application

package must not exceed 20 pages,

excluding Appendices. Typewritten on

one side of the paper only, in type no

smaller than 12 c.p.i., 11 point, or

equivalent, with margins no less than

one inch. Pages should be numbered

sequentially throughout the application

package, excluding Appendices,

beginning with the Abstract as Page #1.

12. Appendices, including

Maintenance of Effort Certification (See

Attachment J); letter signed by State

CSBG Director; partnership agreements

signed by the partners; statement

regarding the date of incorporation;

Single Point of Contact comments, if

applicable and available; resumes and/

or position descriptions; a Business Plan

if appropriate or required (see Program

Sub-Element IIb); Certification

Regarding Lobbying, if appropriate; and

letters of match commitment or letters

of intent.

The application may also contain

letters that show collaboration or

substantive commitments to the project

by organizations other than partners

with committed match. Such letters are

not part of the narrative and should be

included in the Appendices. These

letters are, therefore, not counted

against the twenty page limit.

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 81⁄2 × 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. The

applications should be two-hole

punched at the top center and fastened

separately with a compressor slide

paper fastener, or a binder clip. The

submission of bound applications, or

applications enclosed in binders is

specifically discouraged.

Attachment M provides a checklist to

applicants in preparing a complete

application package.

Part VIII—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 project and budget periods for
18684 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

which support is provided, the terms

and conditions of the award, the total

project period for which support is

contemplated, and the total required

financial grantee participation.

In addition to the General Conditions

and Special Conditions (where the latter

are warranted) which will be applicable

to grants, grantees will be subject to the

provisions of 45 CFR part 74 or 92.

Project directors and chief evaluators

will be required to attend a national

DPP evaluation workshop in

Washington, DC which will be

scheduled shortly after the effective date

of the grant, during the 6-month start-up

period. They also will be required to

attend, as presenters, a workshop on

utilization and dissemination to be held

after the end of the project period.

Grantees will be required to submit

semi-annual progress and financial

reports (SF 269) throughout the project

period, as well as a final progress and

financial report within 90 days of the

termination of the project. An interim

evaluation report, along with the written

policies and procedures resulting from

the process evaluation, will be due 30

days after the first twelve months of the

project period and a final evaluation

report will be due 90 days after the

expiration of the grant. These reports

will be submitted in accordance with

instructions to be provided by OCS, and

will be the basis for the dissemination

effort to be conducted by the Office of

Community Services.

Grantees are subject to the audit

requirements in 45 CFR parts 74 (nongovernmental), 92 (governmental), OMB

Circular A–133 and OMB Circular A–

128.

Section 1352 of Pub. L. 101–121,

signed into law on October 23, 1989,

imposes new prohibitions and

requirements for disclosure and

certification related to lobbying on

recipients of Federal contracts, grants,

cooperative agreements, and loans. It

provides exemptions for Indian tribes

and tribal organizations. Current and

prospective recipients (and their subtier

contractors and/or grantees) are

prohibited from using Federal funds,

other than profits from a Federal

contract, 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 disclose the name,

address, payment details, and purpose

of any agreements with lobbyists whom

recipients or their subtier contractors or

subgrantees will pay with profits or

nonappropriated funds on or after

December 22, 1989 and (3) to file

quarterly up-dates about the use of

lobbyists if material changes occur in

their use. The law establishes civil

penalties for noncompliance. See

Attachments H and I for certification

and disclosure forms to be submitted

with the applications for this program.

Attachment K indicates the

regulations which apply to all

applicants/grantees under the

Demonstration Partnership Program.

Dated: April 4, 1995.

Donald Sykes,

Director, Office of Community Services.

Attachment A

Environmental Justice and Sustainable

Community Development

Environmental Justice and

Sustainable Community Development

are terms that have come into common

usage only recently, with the growing

realization that low income and

minority people and communities have

long suffered inequitable and life- and

health-threatening environmental

degradation. A 1987 report by the

Commission for Racial Justice of the

United Church of Christ, Toxic Waste

and Race in the United States,

concluded that race has been a factor in

the locating of commercial hazardous

waste facilities in the United States, and

that the clean-up of uncontrolled toxic

waste sites in Black and Hispanic

communities should be given the

highest possible priority. The findings

of this report were confirmed by the

Environmental Protection Agency in its

own study: Environmental Equity:

Reducing Risks For All Communities,

Vols. I and II, U.S. EPA, June 1992.

Toxic Waste and Race Revisited, Center

for Policy Alternatives, 1994, a study cosponsored by the Center for Policy

Alternatives, the NAACP, and the

United Church of Christ Commission for

Racial Justice, using data updated to

1993 from the 1990 U.S. Census, found

that ‘‘Despite growing national attention

to the issue of ‘environmental justice’,

people of color today are even more

likely than whites to live in

communities with commercial

hazardous waste facilities than they

were a decade ago. The disproportionate

environmental impacts first identified

and documented in the 1987 report

* * * have grown more severe.’’

A study by the National Law Journal

published in 1992 included among

many of its findings that over the

previous ten years EPA fines against

polluters, on average for all types of

cases, were 54 percent lower in poor

neighborhoods than in wealthy

communities; and in the case of

violators of RCRA (the Resource

Conservation and Recovery Act) which

is the law that governs hazardous waste

sites, violators in minority communities

were fined on average one-fifth the

amounts of violators in white areas.

EPA’s Office of Environmental Justice

reports that as a result of both these

studies the agency is currently carrying

out a comprehensive demographic

study, based on 1990 census data, of

EPA enforcement and toxic waste sites.

On a related and equally critical front,

a Public Health Service Report to the

Congress in 1988 stated that 55 percent

of Black children below the poverty

level have toxic levels of lead in their

blood whose permanent effects include

reduced intellectual function, aggressive

behavior, hearing loss and growth

impairment. Since that time the Centers

for Disease Control have significantly

lowered the threshold for the blood-lead

levels that they consider toxic. See:

Preventing Lead Poisoning in Young

Children, A Statement By The Centers

For Disease Control—October 1991, U.S.

Department of Health and Human

Services, Public Health Service.

While the environmental

consciousness of many civil rights

leaders is thus being raised, many low

income and minority persons and

communities still see environmental

concerns and laws aimed at protecting

the environment as roadblocks to their

economic advancement, keeping needed

jobs out of their communities or causing

businesses to move or retrench because

of the perceived high costs of practices

and safeguards which are required as

measures to protect the environment.

What they often have not understood is

the degree to which they are being

subjected to life- and health-threatening

conditions such as illegal dumping of

toxics, indiscriminate use of pesticides,

or homes laden with asbestos, lead, and

Radon, and that these very conditions

cause physical and mental deterioration

of residents and the breakdown of

community infrastructure. For low

income and minority communities are

often contaminated to the point that it

presents a serious barrier to economic

revitalization. For example, EPA’s

Office of Solid Waste and Emergency

Response (OSWER) reports that

Cleveland Tomorrow, that city’s forward

looking Chamber of Commerce, has after

extended study concluded that the

‘‘economic rebirth’’ of Cleveland will

never happen until the clean-up of

contaminated sites in that city has been

accomplished.
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18685

Nor has there been until recently a

realization that these same

environmental justice issues offer

unprecedented opportunities for the

creation of long term, well paid jobs

with career potential in work that can be

meaningful and satisfying in terms of

human needs. On February 11, 1994

President Clinton issued Executive

Order 12898: ‘‘Federal Actions To

Address Environmental Justice in

Minority Populations and Low-Income

Populations’’, calling on each Federal

Department and Agency to ‘‘develop an

agency-wide environmental justice

strategy * * * that identifies and

addresses disproportionately high and

adverse human health or environmental

effects of its programs * * *’’. The Draft

Environmental Justice Strategy of the

Department of Health and Human

Services includes the following

Strategy:

*Make the development and support of

community-based projects that create

environmentally-related jobs and career

opportunities for low-income and minority

residents a high priority for all the

Department’s programs that deal with job

training, job and economic development, job

support services and welfare reform.

By the same token, there is a growing

realization that long term survival on the

planet will only be possible if we develop a

sustainable economy which husbands

resources and eliminates waste. The

President’s Council on Sustainable

Development (PCSD) was established by

President Clinton and charged with a

mandate to develop specific policy

recommendations for a national strategy for

sustainable development that can be

implemented by the public and private

sectors.

The Council has written: ‘‘* * *

sustainable development means a program of

domestic economic and political reform that

* * * yields broad-based economic progress

accomplished in a manner that protects and

restores the quality of the natural

environment, improves the quality of life for

individuals and broadens the prospects for

future generations. It means, in other words,

maintaining economic growth while

producing the absolute minimum of

pollution, repairing the environmental

damages of the past, using far fewer nonrenewable resources, producing much less

waste, and extending the opportunity to live

in a pleasant and healthy environment to the

whole population.’’

The Council’s Sustainable Communities

Task Force suggests that: ‘‘General principles

of community sustainability include social

equity, racial justice, population

stabilization, improved quality of life,

participation of stakeholders invested in the

outcome, elimination of waste, reduced

consumption, encouragement of local selfreliance, recognition of local ecosystem

assets and limitations, urban rehabilitation

and clean-up, and improved public health.’’

Applicants seeking to identify

additional resources and/or persons

within their communities who can

provide guidance and expertise in the

areas of environmental justice and

sustainable community development

may wish to contact one of the

following offices for information and

assistance:

Sustainable Communities Task Force,

President’s Council on Sustainable

Development, 730 Jackson Place NW.,

Washington, DC 20503, Contact:

Angela Park (202) 408–5342,

Information on local and national

organizations involved with

Sustainable Community

Development.

Rural Development Administration,

U.S. Department of Agriculture AG

3202, Washington, DC 20250–3202,

Contacts: Stanley Zimmerman, (202)

690–2514, szim@rurdev.usda.gov,

Information and resources on Rural

Economic and Community

Development.

Cooperative State Research Service, U.S.

Department of Agriculture, 370

L’Enfant Promenade, SW., 3rd Floor,

Washington, DC 20250–2260, Contact:

Dr. Dan Kugler (202) 401–6861,

Deputy Administrator for Special

Programs, Information on New Uses

and Markets for Agricultural

Products, Sustainable Agriculture,

and Aquaculture.

Office of Community Planning and

Development, HUD, 451 7th Street

SW., Room 7244, Washington, DC

20410, Contact: Andy Euston, Leader

for Sustainable Community

Development Explorations (202) 708–

1911, Information on Sustainable

Community Development; referral to

local and regional resources.

Office of Assistant to the Secretary for

Labor Relations, HUD, 451 7th Street

SW., Room 7118, Washington, DC

20410, Contact: Richard S. Allan,

Deputy Assistant, (202) 708–0370,

Information on training for lead

abatement and toxic materials,

handling and disposal, and Project

Step-Up.

Office of Lead Paint Abatement and

Poisoning Prevention, HUD, 451 7th

Street SW., Room B133, Washington,

DC 20410, Contact: Dorothy Allen

(202) 755–1771, Information on

funded lead abatement projects and

resources and T/TA available.

Regional and State Planning Branch,

Office of Policy Planning and

Evaluation, U.S. Environmental

Protection Agency, 401 M Street SW.,

Washington, DC 20460, Contact:

Deborah Martin, Branch Chief, (202)

260–2729, Environmental planning

and assistance in understanding and

assessing environmental risks.

Energy-Efficiency and Renewable

Energy Clearinghouse, U.S.

Department of Energy, Write: EREC,

PO Box 3048, Merrifield, VA 22116,

Call Toll-Free: 1–800–523–2929,

Publications, source lists,

bibliographies; detailed technical

responses on energy efficiency and

renewables; business assistance,

referrals to associations, labs, state

energy offices, and special interest

groups.

Attachment B: Outline of Business Plan

The Business Plan should include the

following:

1. The business and its industry. This

section should describe the nature and

history of the business and provide

some background on its industry.

a. The Business: as a legal entity; the

general business category;

b. Description and Discussion of

Industry: Current status and prospects

for the industry;

2. Products and Services: This section

deals with the following:

a. Description: Describe in detail the

products or services to be sold;

b. Proprietary Position: Describe

proprietary features of any of the

products, e.g. patents, trade secrets; and

c. Potential: Features of the product or

service that may give it an advantage

over the competition.

3. Market Research and Evaluation:

This section should present sufficient

information to show that the product or

service has a substantial market and can

achieve sales in the face of competition;

a. Customers: Describe the actual and

potential purchasers for the product or

service by market segment.

b. Market Size and Trends: State the

size of the current total market for the

product or service offered;

c. Competition: An assessment of the

strengths and weaknesses of competitive

products and services;

d. Estimated Market Share and Sales:

Describe the characteristics of the

product or service that will make it

competitive in the current market.

4. Marketing Plan: The marketing plan

should detail the product, pricing,

distribution, and promotion strategies

that will be used to achieve the

estimated market share and sales

projections. The marketing plan must

describe what is to be done, how it will

be done and who will do it. The plan

should address the following topics—

Overall Marketing Strategy, Packaging,

Service and Warranty, Pricing,

Distribution and Promotion.

5. Design and Development Plans: If

the product, process or service of the
18686 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

proposed venture requires any design

and development before it is ready to be

placed on the market, the nature and

extent and cost of this work should be

fully discussed. The section should

cover items such as Development Status

and Tasks, Difficulties and Risks,

Product Improvement and New

Products, and Costs.

6. Manufacturing and Operations

Plan: A manufacturing and operations

plan should describe the kind of

facilities, plant location, space, capital

equipment and labor force (part and/or

full time and wage structure) that are

required to provide the company’s

product or service.

7. Management Team: The

management team is the key in starting

and operating a successful business. The

management team should be committed

with a proper balance of technical,

managerial and business skills, and

experience in doing what is proposed.

This section must include a description

of: the key management personnel and

their primary duties; compensation and/

or ownership; the organizational

structure; Board of Directors;

management assistance and training

needs; and supporting professional

services.

8. Overall Schedule: A schedule that

shows the timing and interrelationships

of the major events necessary to launch

the venture and realize its objectives.

Prepare, as part of this section, a 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.

9. Critical Risks and Assumptions:

The development of a business has risks

and problems and the Business Plan

should contain some explicit

assumptions about them. Accordingly,

identify and discuss the critical

assumptions in the Business Plan and

the major problems that will have to be

solved to develop the venture. This

should include a description of the risks

and critical assumptions relating to the

industry, the venture, its personnel, the

product’s market appeal, and the timing

and financing of the venture.

10. Community Benefits: The

proposed project must contribute to

economic, community and human

development within the project’s target

area. A section that describes and

discusses the potential economic and

non-economic benefits to low-income

members of the community must be

included as well as a description of the

strategy that will be used to identify and

hire individuals being served by public

assistance programs and how linkages

with community agencies/organizations

administering the JOBS program will be

developed. The following project

benefits must be described:

Economic

—Number of permanent jobs that will

be created for low-income people

during the grant period;

—Number of jobs to be created for lowincome people that will have career

development opportunities and a

description of those jobs;

—Number of jobs that will be filled by

individuals on public assistance;

—Ownership opportunities created for

poverty-level project area residents;

—Specific steps to be taken to promote

the self-sufficiency of program

participants.

Other benefits which might be

discussed are:

Human Development

—New technical skills development and

associated career opportunities for

community residents;

—Management development and

training.

Community Development

—Development of community’s

physical assets;

—Provision of needed, but currently

unsupplied, services or products to

community;

—Improvement in the living

environment.

11. The Financial Plan: The Financial

Plan is basic to the development of a

Business Plan. Its purpose is to indicate

the project’s potential and the timetable

for financial self-sufficiency. In

developing the Financial Plan, the

following exhibits must be prepared for

the first three years of the business’

operation:

a. Profit and Loss Forecasts-quarterly

for each year;

b. Cash Flow Projections-quarterly for

each year;

c. Pro forma balance sheets-quarterly

for each year;

d. Initial sources of project funds;

e. Initial uses of project funds; and

f. Any future capital requirements and

sources.

ATTACHMENT C

Size of family unit Poverty

guideline

1995 Poverty Income Guidelines for All

States (Except Alaska and Hawaii) and

the District of Columbia

1 ................................................ $7,470

2 ................................................ 10,030

3 ................................................ 12,590

4 ................................................ 15,150

5 ................................................ 17,710

6 ................................................ 20,270

7 ................................................ 22,830

8 ................................................ 25,390

For family units with more than 8 members,

add $2,560 for each additional member.

(The same increment applies to smaller

family sizes also, as can be seen in the

figures above.)

Poverty Income Guidelines for Alaska

1 ................................................ 9,340

2 ................................................ 12,540

3 ................................................ 15,740

4 ................................................ 18,940

5 ................................................ 22,140

6 ................................................ 25,340

7 ................................................ 28,540

8 ................................................ 31,740

For family units with more than 8 members,

add $3,200 for each additional member.

(The same increment applies to smaller

family sizes also, as can be seen in the

figures above.)

Poverty Income Guidelines for Hawaii

1 ................................................ 8,610

2 ................................................ 11,550

3 ................................................ 14,490

4 ................................................ 17,430

5 ................................................ 20,370

6 ................................................ 23,310

7 ................................................ 26,250

8 ................................................ 29,190

For family units with more than 8 member,

add $2,940 for each additional member.

(The same increment applies to smaller

family sizes also, as can be seen in the

figures above.)

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BILLING CODE 4184–01–C
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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.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

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

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

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

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

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 applicants’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.

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BILLING CODE 4184–01–C
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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 E should present the need

for Federal assistance in the subsequent

budget periods. All applications should

contain a breakdown by the object class

categories shown in Lines a–k of Section B.

Section A. Budget Summary

Lines 1–4, Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the catalog program

title and the catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple functions or activities, enter the

name of each activity or function on each

line in Column (a), and enter the catalog

number in Column (b). For applications

pertaining to multiple programs where none

of the programs require a breakdown by

function or activity, enter the catalog

program title on each line in Column (a) and

the respective catalog number on each line in

Column (b).

For applications pertaining to multiple

programs where one or more programs

require a breakdown by function or activity,

prepare a separate sheet for each program

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) Through (g)

For new applications, leave Column (c)

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

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

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

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

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

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

needed for the upcoming period. The

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

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

For supplemental grants and changes to

existing grants, do not use Columns (c) and

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

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

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

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B. Budget Categories

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

enter the titles of the same programs,

functions, and activities shown on Lines 1–

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

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function, or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

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

6h 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 Column (1)–(4), Line 6k should be the

same as the sum of the amounts in Section

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

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8–11—Enter amounts of non-Federal

resources that will be used on the grant. If

in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State agency

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 of 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.

Assurances—Non-Construction Programs

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance, and the institutional,

managerial and financial capability

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

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of the United States, and

if appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will
18692 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personnel or organizational

conflict of interest, or personal gains.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

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

4763) relating to prescribed standards for

merit systems for programs funded under one

of the nineteen statutes or regulations

specified in Appendix A of OPM’s Standards

of a Merit System of Personnel

Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statues

relating to nondiscrimination. These include

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

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

prohibits discrimination on the basis of race,

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

Education Amendments of 1972, as amended

(20 U.S.C. §§ 1681–1683, and 1685–1686),

which prohibits discrimination on the basis

of sex; (c) Section 504 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. §§ 6101–

6107), which prohibits discrimination on the

basis of age; (e) the Drug Abuse Office and

Treatment Act of 1972 (P.L. 92–255), as

amended, relating to nondiscrimination on

the basis of drug abuse; (f) the

Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and

Rehabilitation Act of 1970 (P.L. 91–616), as

amended, relating to nondiscrimination on

the basis of alcohol abuse or alcoholism; (g)

§§ 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. 290dd–3 and 290ee–

3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h)

Title VIII of the Civil Rights Act of 1968 (42

U.S.C. § 3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or

refinancing of housing; (i) any other

nondiscrimination provisions in the specific

statute(s) under which application for

Federal assistance is being made; and (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

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

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply with the provisions of the

Hatch Act (5 U.S.C. §§ 1501–1508 and 7324–

7328) which limit the political activities of

employees whose principal employment

activities are funded in whole or in part with

Federal funds.

9. Will comply, as applicable, with the

provisions of the Davis-Bacon Act (40 U.S.C.

§§ 276a to 276a–7), the Copeland Act (40

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

Contract Work Hours and Safety Standards

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

standards for federally assisted construction

subagreements.

10. Will comply, if applicable, with flood

insurance purchase requirements of Section

102(a) of the Flood Disaster Protection Act of

1973 (P.L. 93–234) which requires recipients

in a special flood hazard area to participate

in the program and to purchase flood

insurance if the total cost of insurable

construction and acquisition is $10,000 or

more.

Will comply with environmental standards

which may be prescribed pursuant to the

following: (a) institution of environmental

quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91–

190) and Executive Order (EO) 11514; (b)

notification of violating facilities pursuant to

EO 11738; (c) protection of wetlands

pursuant to EO 11990; (d) evaluation of flood

hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency

with the approved State management

program developed under the Coastal Zone

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

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

State (Clear Air) Implementation Plans under

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

as amended (42 U.S.C. § 7401 et seq.); (g)

protection of underground sources of

drinking water under the Safe Drinking

Water Act of 1974, as amended, (P.L. 93–

523); and (h) protection of endangered

species under the Endangered Species Act of

1973, as amended, (P.L. 93–205)

12. Will comply with the Wild and Scenic

Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)

related to protecting components or potential

components of the national wild and scenic

rivers systems.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593

(identification and protection of historic

properties), and the Archaeological and

Historic Preservation Act of 1974 (16 U.S.C.

469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award

assistance.

15. Will comply with the Laboratory

Animal Welfare Act of 1966 (P.L. 89–544, as

amended, 7 U.S.C. 2131 et seq.) pertaining to

the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

Poisoning Prevention Act (42 U.S.C. §§ 4801

et seq.) which prohibits the use of lead paint

in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act of

1984.

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations and policies

governing this program.

lllllllllllllllllllll

Signature of authorized certifying official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Applicant organization

lllllllllllllllllllll

Date submitted

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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

By signing and submitting this proposal,

the applicant defined as the primary

participant in accordance with 45 CFR part

76, certifies to the best of its knowledge and

believe that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from covered

transactions by any Federal Department or

agency;

(b) Have not within a 3-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State,

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statute or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted or otherwise

criminally or civilly charged by a

governmental entity (Federal, State of local)

with commission of any of the offenses

enumerated in paragraph (1) (b) of this

certification; and

(d) Have not within a 3-year period

preceding this application/proposal had one

or more public transactions (Federal, State, or

local) terminated for cause or default.

The inability of a person to provide the

certification required above will not

necessarily result in denial of participation in

this covered transaction. If necessary, the

prospective participant shall submit an

explanation of why it cannot provide the

certification. The certification or explanation

will be considered in connection with the

Department of Health and Human Services

(HHS) determination whether to enter into

this transaction. However, failure of the

prospective primary participant to furnish a

certification or an explanation shall

disqualify such person from participation in

this transaction.

The prospective primary participant agrees

that by submitting this proposal, it will

include the clause entitled ‘‘Certification

Regarding Debarment, Suspension,

Ineligibility, and Voluntary Exclusion—

Lower Tier Covered Transaction.’’ provided

below without modification in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered Transactions

(To be Supplied to Lower Tire Participants)

By signing and submitting this lower tier

proposal, the prospective lower tier

participant, as defined in 45 CFR Part 76,

certifies to the best of its knowledge and

belief that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded form participation in

this transaction by any federal department or

agency.

(b) Where the prospective lower tier

participant is unable to certify to any of the

above, such prospective participant shall

attach an explanation to this proposal.

The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause entitled

‘‘certification Regarding Debarment,

Suspension, Ineligibility, and Voluntary

Esclusion—Lower Tier Covered Transactions.

‘‘without modification in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

Attachment G

Certification Regarding Environmental

Tobacco Smoke

Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

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

requires that smoking not be permitted in any

portion of any indoor facility owned or

leased or contracted for by an entity and used

routinely or regularly for the provision of

health, day care, education, or library

services to children under the age of 18, if

the services are funded by Federal programs

either directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

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

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for children’s services and that all

subgrantees shall certify accordingly.

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 an agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

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

who fails to file the required certification

shall be subject to a civil penalty of not less

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

each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form–LLL ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

Submission of this statement is a

prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

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BILLING CODE 4184–01–M
18696 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices 18697

Attachment J

Certification Regarding Maintenance of Effort

The undersigned certifies that:

(1) Activities funded under this program

announcement are in addition to, and not in

substitution for, activities previously carried

on without Federal assistance.

(2) Funds or other resources currently

devoted to activities designed to meeting the

needs of the poor within a community, area,

or State have not been reduced in order to

provide the required matching contributions.

When legislation for a particular block

grant permits the use of its funds as match,

the applicant must show that it has received

a real increase in its block grant allotment

and must certify that other anti-poverty

programs will not be scaled back to provide

the match required for this project.

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Date

Attachment K—DHHS Regulations Applying

to All Applicants/Grantees Under the

Demonstration Partnership Program

Title 45 of the Code of Federal Regulations:

Part 16—Department of Grant Appeals

Process

Part 74—Administration of Grants (nongovernmental)

Part 74—Administration of Grants (state and

local governments and Indian Tribal

affiliates):

Sections 74.62(a) Non-Federal Audits

74.173 Hospitals

74.174(b) Other Nonprofit Organizations

74.304 Final Decisions in Disputes

74.710 Real Property, Equipment and

Supplies

74.715 General Program Income

Part 75—Informal Grant Appeal Procedures

Part 76—Debarment and Suspension from

Eligibility for Financial Assistance

Subpart F—Drug Free Workplace

Requirements

Part 80—Non-Discrimination Under

Programs Receiving Federal Assistance

through the Department of Health and

Human Services Effectuation of Title VI

of the Civil Rights Act of 1964

Part 81—Practice and Procedures for

Hearings Under Part 80 of this Title

Part 83—Non-discrimination on the basis of

sex in the admission of individuals to

training programs

Part 84—Non-discrimination on the Basis of

Handicap in Programs

Part 91—Non-discrimination on the Basis of

Age in Health and Human Services

Programs or Activities Receiving Federal

Financial Assistance

Part 92—Uniform Administrative

Requirements for Grants and Cooperative

Agreements to States and Local

Governments (Federal Register, March

11, 1988)

Part 93—New Restrictions on Lobbying

Part 100—Intergovernmental Review of

Department of Health and Human

Services Programs and Activities

Attachment L

Executive Order 12372—State Single Points

of Contact

Arizona

Mrs. Janice Dunn, Attn: Arizona State

Clearinghouse, 3800 N. Central Avenue,

14th Floor, Phoenix, Arizona 85012,

Telephone (602) 280–1315

Arkansas

Tracie L. Copeland, Manager, State

Clearinghouse, Office of Intergovernmental

Services, Department of Finance and

Administration, PO Box 3278, Little Rock,

Arkansas 72203, Telephone (501) 682–

1074

California

Glenn Stober, Grants Coordinator, Office of

Planning and Research, 1400 Tenth Street,

Sacramento, California 95814, Telephone

(916) 323–7480

Delaware

Ms. Francine Booth, State Single Point of

Contact, Executive Department, Thomas

Collins Building, Dover, Delaware 19903,

Telephone (302) 736–3326

District of Columbia

Rodney T. Hallman, State Single Point of

Contact, Office of Grants Management and

Development, 717 14th Street, NW., Suite

500, Washington, DC 20005, Telephone

(202) 727–6551

Florida

Florida State Clearinghouse,

Intergovernmental Affairs Policy Unit,

Executive Office of the Governor,

Office of Planning and Budgeting,

The Capitol,

Tallahassee, Florida 32399–0001,

Telephone (904) 488–8441

Georgia

Mr. Charles H. Badger, Administrator,

Georgia State Clearinghouse,

254 Washington Street, SW.,

Atlanta, Georgia 30334,

Telephone (404) 656–3855

Illinois

Steve Klokkenga,

State Single Point of Contact,

Office of the Governor,

107 Stratton Building,

Springfield, Illinois 62706,

Telephone (217) 782–1671

Indiana

Jean S. Blackwell,

Budget Director, State Budget Agency,

212 State House,

Indianapolis, Indiana 46204,

Telephone (317) 232–5610

Iowa

Mr. Steven R. McCann,

Division of Community Progress,

Iowa Department of Economic Development,

200 East Grand Avenue,

Des Moines, Iowa 50309,

Telephone (515) 281–3725

Kentucky

Ronald W. Cook,

Office of the Governor,

Department of Local Government,

1024 Capitol Center Drive,

Frankfort, Kentucky 40601,

Telephone (502) 564–2382

Maine

Ms. Joyce Benson,

State Planning Office,

State House Station #38,

Augusta, Maine 04333,

Telephone (207) 289–3261

Maryland

Ms. Mary Abrams,

Chief, Maryland State Clearinghouse,

Department of State Planning,

301 West Preston Street,

Baltimore, Maryland 21201–2365,

Telephone (301) 225–4490

Massachusetts

Karen Arone,

State Clearinghouse,

Executive Office of Communities and

Development,

100 Cambridge Street, Room 1803,

Boston, Massachusetts 02202,

Telephone (617) 727–7001

Michigan

Richard S. Pastula, Director,

Michigan Department of Commerce,

Lansing, Michigan 48909,

Telephone (517) 373–7356

Mississippi

Ms. Cathy Mallette, Clearinghouse Officer,

Office of Federal Grant Management and

Reporting,

301 West Pearl Street,

Jackson, Mississippi 39203,

Telephone (601) 960–2174

Missouri

Ms. Lois Pohl,

Federal Assistance Clearinghouse,

Office of Administration,

PO Box 809,

Room 430, Truman Building,

Jefferson City, Missouri 65102,

Telephone (314) 751–4834

Nevada

Department of Administration, State

Clearinghouse, Capitol Complex, Carson

City, Nevada 89710, Telephone (702) 687–

4065, Attention: Ron Sparks,

Clearinghouse Coordinator

New Hampshire

Mr. Jeffrey H. Taylor, Director, New

Hampshire Office of State Planning, Attn:

Intergovernmental Review, Process/James

E. Bieber, 21⁄2 Beacon Street, Concord, New

Hampshire 03301, Telephone (603) 271–

2155

New Jersey

Gregory W. Adkins, Acting Director, Division

of Community Resources, N.J. Department

of Community Affairs, Trenton, New Jersey

08625–0803, Telephone (609) 292–6613

Please direct correspondence and

questions to:
18698 Federal Register / Vol. 60, No. 70 / Wednesday, April 12, 1995 / Notices

Andrew J. Jaskolka, State Review Process,

Division of Community Resources, CN 814,

Room 609, Trenton, New Jersey 08625–

0803, Telephone (609) 292–9025

New Mexico

George Elliott, Deputy Director, State Budget

Division, Room 190, Bataan Memorial

Building, Santa Fe, New Mexico 87503,

Telephone (505) 827–3640, Fax (505) 827–

3006

New York

New York State Clearinghouse, Division of

the Budget, State Capitol, Albany, New

York 12224, Telephone (518) 474–1605

North Carolina

Mrs. Chrys Baggett, Director, Office of the

Secretary of Admin., N.C. State

Clearinghouse, 116 W. Jones Street,

Raleigh, North Carolina 27603–8003,

Telephone (919) 733–7232

North Dakota

N.D. Single Point of Contact, Office of

Intergovernmental Assistance, Office of

Management and Budget, 600 East

Boulevard Avenue, Bismarck, North

Dakota 58505–0170, Telephone (701) 224–

2094

Ohio

Larry Weaver, State Single Point of Contact,

State/Federal Funds Coordinator, State

Clearinghouse, Office of Budget and

Management, 30 East Broad Street, 34th

Floor, Columbus, Ohio 43266–0411,

Telephone (614) 466–0698

Rhode Island

Mr. Daniel W. Varin, Associate Director,

Statewide Planning Program, Department

of Administration, Division of Planning,

265 Melrose Street, Providence, Rhode

Island 02907, Telephone (401) 277–2656

Please direct correspondence and

questions to:

Review Coordinator, Office of Strategic

Planning

South Carolina

Omeagia Burgess, State Single Point of

Contact, Grant Services, Office of the

Governor, 1205 Pendleton Street, Room

477, Columbia, South Carolina 29201,

Telephone (803) 734–0494

Tennessee

Mr. Charles Brown, State Single Point of

Contact, State Planning Office, 500

Charlotte Avenue, 309 John Sevier

Building, Nashville, Tennessee 37219,

Telephone (615) 741–1676

Texas

Mr. Thomas Adams, Governor’s Office of

Budget and Planning, PO. Box 12428,

Austin, Texas 78711, Telephone (512) 463–

1778

Utah

Utah State Clearinghouse, Office of Planning

and Budget, Attn: Carolyn Wright, Room

116 State Capitol, Salt Lake City, Utah

84114, Telephone (801) 538–1535

Vermont

Mr. Bernard D. Johnson, Assistant Director,

Office of Policy Research and

Coordination, Pavilion Office Building, 109

State Street, Montpelier, Vermont 05602,

Telephone (802) 828–3326

West Virginia

Mr. Fred Cutlip, Director, Community

Development Division, West Virginia

Development Office, Building #6, Room

553, Charleston, West Virginia 25305,

Telephone (304) 348–4010

Wisconsin

Mr. William C. Carey, Federal/State

Relations, Wisconsin Department of

Administration, 101 South Webster Street,

PO Box 7864, Madison, Wisconsin 53707,

Telephone (608) 266–0267

Wyoming

Sheryl Jeffries, State Single Point of Contact,

Herschler Building, 4th Floor, East Wing,

Cheyenne, Wyoming 82002, Telephone

(307) 777–7574

Guam

Mr. Michael J. Reidy, Director, Bureau of

Budget and Management Research, Office

of the Governor, PO Box 2950, Agana,

Guam 96910, Telephone (671) 472–2285

Northern Mariana Islands

State Single Point of Contact, Planning and

Budget Office, Office of the Governor,

Saipan, CM, Northern Mariana Islands

96950

Puerto Rico

Norma Burgos/Jose H. Caro, Chairman/

Director, Puerto Rico Planning Board,

Minillas Government Center, PO. Box

41119, San Juan, Puerto Rico 00940–9985,

Telephone (809) 727–4444

Virgin Islands

Jose L. George, Director, Office of

Management and Budget, #41 Norregade

Emancipation Garden Station, Second

Floor, Saint Thomas, Virgin Islands 00802

Please direct correspondence to:

Linda Clarke, Telephone (809) 774–0750

Attachment M—Checklist for Use in

Submitting OCS Grant Applications

(Optional)

The application should contain:

1. Proposal abstract—250 words or less.

2. Table of Contents.

3. A completed, signed SF–424,

‘‘Application for Federal Assistance.’’ The

letter code for the priority area should be in

the lower right-hand corner of the page.

4. A completed SF–424A, ‘‘Budget

Information—Non-Construction’’.

5. Narrative budget justification.

6. A signed SF–424B, ‘‘Assurances—NonConstruction’’.

7. Attachments E and F concerning drug

free workplace and debarment regulations.

8. Certification regarding Environmental

Tobacco Smoke.

9. A signed copy of ‘‘Certification

Regarding Anti-lobbying Activities’’

(Attachment H).

10. A completed Disclosure of Lobbying

Activities, if applicable (Attachment I).

11. A Project Narrative not to exceed

twenty pages, which includes all of the

elements described in Part IV.

12. Appendices, including:

—Maintenance of Effort Certification

(Attachment J)

—Letter signed by State CSBG Director

certifying eligibility

—Partnership Agreements signed by the

partners

—Single Point of Contact comments, if

applicable and available

—Resumes and/or position descriptions

—A Business Plan if appropriate or required

(see Program Sub-Element IIb in Part IV)

—Letters of match commitment or letters of

intent

—Statement regarding worker safety, if

appropriate (see Part III, discussion of

Program Priority Area 1.0)

[FR Doc. 95–8833 Filed 4–11–95; 8:45 am]

BILLING CODE 4184–01–M