35518 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. OCS–96–08]

Request for REACH Plans Under the

Office of Community Services FY 1996

Low-Income Home Energy Assistance

Program, Residential Energy

Assistance Challenge Option (REACH)

Program

AGENCY: Office of Community Services,

ACF, DHHS.

ACTION: Announcement of availability of

funds and request for REACH plans

under the Office of Community Services

Residential Energy Assistance Challenge

Option (REACH) Program.

SUMMARY: The Administration for

Children and Families (ACF), Office of

Community Services (OCS) announces

that, based on availability of funds,

REACH Plans will be accepted for grants

pursuant to the Secretary’s authority

under Section 2607B(b) of the LowIncome Home Energy Assistance Act of

1981, as amended, 42 U.S.C. 8621 et

seq.

CLOSING DATES: The closing date and

time for receipt of REACH applications

is 4:30 p.m., eastern time zone, on

September 3, 1996. Applications

received after 4:30 p.m. on that day will

be classified as late. Postmarks and

other similar documents do not

establish receipt of an application.

Detailed application submission

instructions including the addresses

where applications must be received are

found in Part VI B, Application

Submission.

FOR FURTHER INFORMATION CONTACT:

Office of Community Services,

Administration for Children and

Families, Division of Community

Demonstration Programs, 370 L’Enfant

Promenade, S.W., Fifth Floor,

Washington, D. C. 20447. Attention:

Richard Saul—(202) 401–9341; Anna

Guidery—(202) 401–5318.

This Notice 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.

The Catalog of Federal Domestic

Assistance number for this program is

93.568.

Table of Contents

Part I—Introduction

A. Legislative Authority

B. Definition of Terms

C. Purpose

Part II—Background Information

A. Program Priority Areas

B. Project Periods and Budget Periods

C. Availability of Funds and Grant Amounts

D. Program Participants/Beneficiaries

E. Prohibition and Restrictions on the Use of

Funds

F. Multiple Submittals and Multiple Grants

G. Maintenance of Effort

Part III—Reach Priority Areas and Program

Requirements

A. Program Requirements for Priority Area

1.0

1. Eligible Applicants for Priority Area 1.0

2. Program Focus

3. Economic Development Strategy and

Mobilization of Resources

4. Scope of the Priority Area 1.0 REACH

Plan

5. Low-Income Citizen Participation

6. Third-Party Project Evaluation

7. Consistency With LIHEAP Legislation

8. Dissemination of Project Results.

B. Special Program Requirements for Priority

Area 2.0

1. Eligible Applicants for Priority Area 2.0

2. Program Focus

3. Economic Development strategy

4. Scope of the Priority Area 2.0 REACH

Plan

5. Low-Income Citizen Participation

6. Third Party Project Evaluation

7. Consistency With LIHEAP Legislation

8. Dissemination of Project Results

Part IV—Reach Plan Elements and Review

Criteria

A. Program Elements, Review and

Assessment Criteria for REACH Plans

Under Priority Area 1.0

B. Special Program Elements, Review and

Assessment Criteria for REACH Plans

Under Priority Area 2.0

Part V—Quality Standards for Energy

Efficiency Education Services Plans

A. Purpose

B. Target Population

C. Needs Assessment and Project Design

Process

D. Service Delivery

E. Relation of Services to Changes, of

Changes to Outcomes, and of Outcomes

to Goals (a ‘‘Logic Model’’)

F. Evaluation

Part VI—Application Procedures

A. Availability of Forms

B. Application Submission

C. Paperwork Reduction Act of 1995

D. Application Consideration

E. Criteria for Screening Applications

Part VII—Instructions for Completing

Application Forms

A. SF–424—Application for Federal

Assistance

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

C. SF–424B—Assurances—Non-Construction

Part VIII—Contents of Reach Plan

Part IX—Post-Award Information and

Reporting Requirements

A. Notification of Grant Award

B. Attendance at Workshops

C. Reporting Requirements

D. Audit Requirements

E. Prohibitions and Requirements with regard

to Lobbying

F. Applicable Federal Regulations

Part I. Introduction

A. Legislative Authority

Section 2607B(b) of the Low-Income

Home Energy Assistance Act of 1981, as

amended, 42 U.S.C. 8621 et seq.,

authorizes the creation of the

Residential Energy Assistance Challenge

Option (REACH) Program, to be funded

for the first time in FY 1996. REACH is

designed to provide services through

local community-based agencies to help

LIHEAP eligible households reduce

their energy vulnerability.

The Secretary is authorized to make

incentive grants to States, Tribes, Tribal

Organizations, and certain Insular Areas

that submit qualifying Plans, hereinafter

referred to as REACH Plans, that are

approved by the Secretary as REACH

initiatives. Successful applicants are to

use such grants for the costs of

planning, implementing, and evaluating

the initiative.

The Secretary must also reserve from

any funds allocated under the REACH

initiative, funds to make additional

payments to REACH programs that (a)

have energy efficiency education

services plans that meet quality

standards established by the Secretary

in consultation with the Secretary of

Energy; and (b) have the potential for

being replicable model designs for other

programs.

This Announcement is requesting

competitive REACH Plans from eligible

applicants which are consistent with the

information, requirements, and program

elements and review criteria outlined in

Parts II, III, IV, and V, below.

B. Definition of Terms

For purposes of this Program

Announcement, the following

definitions apply [Definitions marked

with an asterisk(*) are the definitions

found in Section 2603 of the Low

Income Home Energy Assistance Act, as

amended, (42 U.S.C. 8622) and apply to

the REACH Initiative]:

—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.
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35519

—Community-based, nonprofit: A

corporation or association whose

profits may not lawfully accrue to the

benefit of any shareholder or

individual, and whose goals,

objectives and activities are

established and carried out through a

process involving the participation of

residents of the community or local

area being served, including lowincome residents.

—Community-Based Organization

Recipient (CBO Recipient): The

Community-based nonprofit entity

through which State REACH Project

services shall be delivered in the

applicant State under Priority Area

1.0.

—Energy burden* means the

expenditures of the household for

home energy divided by the income of

the household.

—Energy crisis* means weather-related

and supply shortage emergencies and

other household energy-related

emergencies.

—Highest home energy needs* means

the home energy requirements of a

household determined by taking into

account both the energy burden of

such household and the unique

situation of such household that

results from having members of

vulnerable populations, including

very young children, individuals with

disabilities, and frail older

individuals.

—Home energy* means a source of

heating or cooling in residential

dwellings.

—Household* means any individual or

group of individuals who are living

together as one economic unit for

whom residential energy is

customarily purchased in common or

who make undesignated payments for

energy in the form of rent.

—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.

—Nonprofit Organization: A

corporation or association whose

profits may not lawfully accrue to the

benefit of any shareholder or

individual (and through which

REACH Project services may be

delivered under Priority Area 2.0).

—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?’’

—Poverty level* means, with respect to

a household in any State, the income

poverty line as prescribed and revised

at least annually pursuant to section

673(2) of the Community Services

Block Grant Act, as applicable to such

State. (See Attachment A.)

—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.

—Secretary* means the Secretary of

Health and Human Services.

—State* means each of the several

States and the District of Columbia.

—State median income* means the

State median income promulgated by

the Secretary in accordance with

procedures established under section

2002(a)(6) of the Social Security Act

(as such procedures were in effect on

the day before the date of the

enactment of this Act) and adjusted,

in accordance with regulations

prescribed by the Secretary, to take

into account the number of

individuals in the household.

C. Purpose

As described in the authorizing

legislation, the purpose of the REACH

Program is to—

(1) minimize health and safety risks

that result from high energy burdens on

low-income Americans;

(2) prevent homelessness as a result of

inability to pay energy bills;

(3) increase efficiency of energy usage

by low-income families; and

(4) target energy assistance to

individuals who are most in need.

In keeping with this broad mandate,

OCS will support a limited number of

innovative Pilot Projects that seek to

demonstrate the long term cost

effectiveness of supplementing energy

assistance payments with non-monetary

benefits that can increase the ability of

eligible households to meet energy costs

and help them to achieve energy selfsufficiency.

Part II. Background Information

A. Program Priority Areas

The REACH Program will have two

Priority Areas: Priority Area 1.0, for

which eligible applicants are States, the

District of Columbia and Puerto Rico;

and Priority Area 2.0, for which eligible

applicants are Tribes, Tribal

Organizations, and certain Insular Areas

which are LIHEAP grantees that use

LIHEAP funds to implement a LIHEAP

Program.

B. Project Periods and Budget Periods

(See Part I, B, Definition of Terms)

The Low Income Home Energy

Assistance Act of 1981 authorizes a

block grant program of which the

REACH Program is a part, and to which

45 CFR Parts 74 and 92 and OMB

Circulars do not apply. However, 45

CFR Part 96 does apply to REACH

funds. Grantees must obligate REACH

funds within the Fiscal Year following

the Fiscal Year in which the REACH

grant was awarded by OCS.

1. Project Periods. Project periods will

be 36 months for all REACH projects

under Priority Area 1.0 and for projects

under Priority Area 2.0 when the

applicant elects to delegate the project

to a non-profit organization as described

below.

States under Priority Area 1.0 and

applicants under Priority Area 2.0 with

thirty-six month Project Periods are

encouraged to provide for completion of

the planning and consummation of

awards to sub-recipients within a time

frame that will allow for adequate startup and an implementation period of at

least two years, followed by a phase-out

period that will permit completion of

the required evaluation under Priority

Area 1.0 and reporting under Priority

Area 2.0.

Project periods will be 12 months

under Priority Area 2.0 where

applicants elect to operate projects

directly, as described below.

2. Budget Periods. Budget Periods for

all REACH Projects in Priority Areas 1.0

and 2.0 will be twelve months (one

year).

(a) In the case of projects under

Priority Area 1.0, States will receive

grants for the full amount of the threeyear Project Period, and will award

REACH funds to CBO Recipients for

total project budgets covering the full

Project Period as described above, and

should solicit and/or design local

projects accordingly. Applicants under

Priority Area 1.0 may include in the

REACH Initiative budget an amount up
35520 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

ten percent (10%) of the total REACH

grant for planning, administration, and

coordinating costs at the State level, and

for contracting with a third party

evaluator as defined in Part IV–A,

Element VI, below, and discussed in

Part III–A.6., during the first project year

(the first twelve month budget period) of

the REACH Initiative. States may apply

for continued funding for such costs for

each of the second and third project

years (budget periods) on a noncompetitive basis, for an amount each

year of up to two and one-half percent

(2.5%) of the original grant, subject to

the availability of funds, satisfactory

progress of the grantee, and

determination that this would be in the

best interest of the government.

(b) In the case of REACH Projects

under Priority Area 2.0, where

applicants elect to operate REACH

projects through non-profit

organizations, grants awarded pursuant

to this announcement will likewise be

for the full amount of the three year

Project Period, and applicants will in

like manner award REACH funds to subrecipients for total project budgets

covering the full Project Period as

described in the preceding paragraph

(a). Such applicants may include up to

five percent (5%) of the total REACH

grant for planning, administration and

coordinating costs of the first year,

which may be continued for years two

and three on the same terms as

described in preceding paragraph (a).

(c) Where applicants under Priority

Area 2.0 elect to operate REACH

programs themselves, as described

below, grants awarded pursuant to this

announcement will be for 12-month

(one year) Project and Budget Periods

only.

C. Availability of Funds and Grant

Amounts

The total amount expected to be

available for REACH Initiative grants

pursuant to this announcement is

approximately $5,000,000. The Office of

Community Services expects to award

up to eight competitive grants under

Priority Area 1.0 for General Pilot

Projects of $500,000 to $1,500,000 each

for the planning, implementation and

evaluation of REACH Initiatives; but the

total amount awarded under Priority

Area 1.0 will not exceed $4,000,000,

except as provided under Priority Area

2.0. OCS expects to award up to eight

grants under Priority Area 2.0 for

smaller Pilot Projects of $50,000 to

$150,000 each to Indian Tribes and

Tribal Organizations for a total of up to

$400,000. Any funds not awarded under

Priority Area 2.0 will be available for

funding under Priority Area 1.0.

Pursuant to the legislative mandate, an

additional $600,000 has been reserved

by the Secretary to make additional

payments of up to $100,000 each to

qualifying funded REACH Initiatives

under Priority Area 1.0, and payments

of up to $25,000 each under Priority

Area 2.0, for implementation and

evaluation of Energy Efficiency

Education Services Plans which meet

the Quality Standards established in

consultation with the Secretary of

Energy which are set forth in Part V of

this Announcement, and have the

potential for being replicable model

designs for other programs. Where any

funded REACH Initiatives do not qualify

for such payments, available reserved

funds may be distributed among the

applicants that do qualify, at the

discretion of OCS and through

negotiation with the qualifying

applicants.

D. Program Participants/Beneficiaries

Projects proposed for funding under

this announcement must result in direct

benefits to low-income individuals and

families who are eligible for LIHEAP

benefits under the applicant’s LIHEAP

program, pursuant to Section 2605(b)(2)

of the Low Income Home Energy

Assistance Act of 1981, as amended.

However, not all LIHEAP recipients

and/or eligible households must be

provided REACH services. Applicants

may target a portion of the LIHEAPeligible population for REACH services.

Attachment A to this announcement

is an excerpt from the Poverty Income

Guidelines currently in effect. Annual

revisions of these guidelines are

normally published in the Federal

Register in February or early March of

each year. Where relevant to REACH

eligibility criteria, grantees will be

required to apply the most recent

guidelines throughout the project

period. These revised guidelines also

may be obtained at public libraries,

Congressional offices, or by writing the

Superintendent of Documents, U.S.

Government Printing Office,

Washington, D.C. 20402. They also are

accessible on the OCS Electronic

Bulletin Board for reading and/or

downloading. (See FOR FURTHER

INFORMATION at beginning of this

announcement.)

Consistent with the legislative

purpose of the REACH Initiative ‘‘to

target energy assistance to individuals

who are most in need’’, projects

proposed for funding under this

Announcement may further restrict

eligibility to lower income individuals

and families within the LIHEAP eligible

universe.

Under the authorizing legislation

applicants may designate all or part of

the State or all or part of the client

population as a focus of its REACH

Initiative. The Secretary has determined

that in order best to compare the cost

effective outcomes of REACH benefits

with those of LIHEAP payment benefits

alone, the geographic/client focus of the

REACH program should be one which

results in REACH expenditures bearing

a reasonable relationship to the LIHEAP

payment benefits available to the same

target population. For example, if the

target population of the REACH Project

were to receive REACH benefits costing

ten times the amounts they received in

LIHEAP payments, it would be difficult

to compare the long-term cost

effectiveness of these benefits with

those of LIHEAP payments alone.

Consequently, REACH Project

expenditures should not be less than

one-half nor more than twice the

amount of LIHEAP benefits paid within

the REACH service area to REACH

eligible households over two years,

under the current appropriation. In

other words, if LIHEAP financial

assistance to a REACH target population

totals $100,000 over two years, the

applicant should plan to provide

between $50,000 and $200,000 in

REACH services to that target

population area.

E. Prohibition and Restrictions on the

Use of Funds

The use of funds for the purchase or

construction of real property is

prohibited. Costs incurred for

rearrangement and alteration of facilities

required specifically for the funded

program are allowable when specifically

approved by ACF in writing. However,

in keeping with the legislative mandate

to include in REACH Project activities

energy related residential repair and

energy efficiency improvements, such

activities will not be considered to be

violative of these prohibitions or

restrictions.

If the applicant is proposing a project

which will affect a property listed in, or

eligible for inclusion in the National

Register of Historic Places, it must

identify this property in the narrative

and explain how it has complied with

the provisions of section 106 of the

National Historic Preservation Act of

1966 as amended. If there is any

question as to whether the property is

listed in or eligible for inclusion in the

National Register of Historic Places, the

applicant should consult with the State

Historic Preservation Officer. (See

Attachment D: SF–424B, Item 13 for

additional guidelines.) The applicant

should contact OCS early in the
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35521

development of its application for

instructions regarding compliance with

the Act and data required to be

submitted to the Department of Health

and Human Services. Failure to comply

with the cited Act will result in the

application being ineligible for funding

consideration.

F. Multiple Submittals and Multiple

Grants

Due to the limited number of grants

that will be made under this program,

only one application from any one

eligible applicant will be funded by

OCS from FY 1996 REACH funds. (This

does not preclude applicants under

Priority Area 1.0 from including more

than one local REACH Project/CBO

Recipient in their REACH plans.)

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, the benefits

and services provided eligible

participants in the REACH Project must

be provided in addition to and in

coordination with benefit payments and

services provided under the applicant’s

regular LIHEAP Program. A signed

certificate of Maintenance of Effort must

be included with the application (see

Attachment J).

Part III. Reach Priority Areas and

Program Requirements

A. Program Requirements for Priority

Area 1.0

1. Eligible Applicants for Priority

Area 1.0. Eligible applicants for these

grants under Priority Area 1.0 are the

fifty States, the District of Columbia and

Puerto Rico. They must deliver REACH

services, in one or more specific

projects, through community-based,

nonprofit organizations, hereinafter

referred to as CBO Recipients, by

awarding grants to or entering into

contracts with such CBO Recipients for

the purpose of providing such services

and payments directly to individuals

eligible for benefits. If a State makes

LIHEAP payments directly to eligible

individuals or energy suppliers, the

State must enter into contract(s) with

such CBO Recipients to administer such

programs, including (i) determining

eligibility, (ii) providing outreach

services, and (iii) providing benefits

other than payments.

In awarding grants or entering into

contracts to carry out its REACH

Initiative, the State must give priority to

eligible entities, as defined in Section

673 of the Community Services Block

Grant Act (42 U.S.C. 9902(1)) except

where significant geographic portions of

the State are not served by such entities,

that (1) have a record of successfully

providing services under the LowIncome Home Energy Assistance

Program (as determined by DHHS), and

(2) receive funds under the Department

of Energy’s Low Income Weatherization

Assistance Program. The State may not

require any such entity to operate a

REACH Project.

2. Program Focus.

The goals of a Priority 1.0 funded

REACH Plan over the project period

must include:

(1) a reduction in energy costs of

participating low-income households;

(2) an increase in the regularity of

home energy bill payments by

participating households; and

(3) an increase in energy vendor

contributions towards reducing energy

burdens of eligible households.

As noted above, so that the cost

effective outcomes of REACH benefits

may best be compared with those of

LIHEAP benefits alone, an Applicant, in

designating the REACH service area or

segment of the eligible population to be

served by the proposed REACH Plan,

should seek to define (an) area(s) or

population segment(s) whose allocation

under the LIHEAP program bears a

reasonable relationship to the resources

available to the REACH Project. That is,

REACH Project expenditures should not

be less than one-half or more than twice

the amount of LIHEAP benefits paid

within the REACH service area to

REACH eligible households over two

years, under the current appropriation.

In this regard, the applicant should

consider the totality of resources that

will be available to support the REACH

Project’s implementation and the level

of benefit and/or services reasonably

required to achieve the Project’s goals

and objectives. This will be a function,

in part, of the specific interventions that

will go to make up the ‘‘benefits and

services’’ in the particular Project

design; and an objective of every

REACH Plan should be to measure the

success of such interventions in

achieving more cost-effective long-term

outcomes than energy payment benefits

alone. Thus OCS is interested in REACH

Plans that propose testing innovative

approaches to helping low-income

families achieve energy self-sufficiency,

and ultimate independence from energy

assistance payments.

3. Economic Development Strategy

and Mobilization of Resources. OCS is

interested in having Applicants

approach the energy needs of lowincome families within a holistic

context of the economic, social,

physical, and environmental barriers to

achieving self-sufficiency. Thus

applicants should include in their

REACH Plan an explanation of how the

proposed project(s) will be integrated

with and support a larger economic

development strategy within the target

community or communities.

REACH grantees are not required to

match REACH grant awards with either

cash or in-kind contributions of goods

and services. However, in keeping with

this holistic integration of REACH

Projects within the community, they are

expected to be closely coordinated with

other public and private sector programs

involved with community revitalization,

housing rehabilitation and

weatherization, and family

development; and OCS will give

favorable consideration in the

application review process to applicants

who mobilize third-party cash and/or

in-kind contributions for direct use in

the REACH Project. Even though there

is no matching requirement for the

REACH Program, grantees will be held

accountable for any match, cash or inkind contribution proposed or pledged

as part of an approved application. (See

Part IV, Element III.)

If the REACH service area or portion

thereof is covered by a comprehensive

community-based strategic plan, such as

that required for applying for

Empowerment Zone/-Enterprise

Community (EZ/EC) status, to achieve

both economic and human development

in an integrated manner, applicants

should document how they and/or the

designated CBO Recipient(s) were

involved in the preparation and

implementation of the plan, and how

the proposed REACH project(s) will

support the goals of that plan. (See Part

IV-A, Element VIII.)

4. Scope of the Priority Area 1.0

REACH Plan. A State may submit a

REACH Plan which proposes one local

REACH Project to be implemented by

one CBO Recipient; it may submit a

Plan in which the same project is

proposed to be implemented in several

localities by separate CBO Recipients; or

it may submit a plan proposing two or

more different and distinct Projects,

each to be implemented through a

separate CBO Recipient. Where a State

proposes different and distinct REACH

Projects to be carried out by more than

one CBO Recipient, the REACH Plan

should include, for each of these

projects/CBO Recipients, a separate

narrative section, no more than ten

pages in length, covering Element I

(with three Sub-Elements), explaining

the project Theory, Design and Plan of

the proposed project, as explained in

Part IV, and designated as Segment One
35522 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

of the Project Narrative; and a Budget

Justification as described in Element II,

covering Project Budget

Appropriateness. As set forth in Part IV,

‘‘Segment One’’ of the Project Narrative

should describe the concept of the

proposed REACH Project, describing the

goals or outcomes that the project seeks

to achieve; the needs of the target

population that the project seeks to

address, and the assumptions about how

those needs can be met; and the

activities or interventions that the

project will undertake to meet the needs

and achieve the goals and outcomes of

the project.

Where a REACH Plan proposes only

one distinct project, to be implemented

either in one locality or in several, by

either one or more than one CBO

Recipient, then the Plan need include

only one Segment One narrative.

Each Priority Area 1.0 REACH Plan

must also include the designation, in

accordance with the priorities described

in Section A. 1., above, of the CBO

Recipient(s) through which the

proposed project(s) will be

implemented. With each Priority Area

1.0 REACH Plan there must be included

a Letter of Agreement from each

designated CBO Recipient subscribing

to the project concept as described in

the appropriate Segment One narrative

section of the Plan and agreeing to

operate the REACH project as proposed.

The Letter of Agreement must also

commit the CBO Recipient(s) to a

process of Low-Income Citizen

Participation in the establishment of the

local REACH Project, as described in

Section A. 5., below.

The REACH Plan must include a

description of the methodology the State

and local agencies will use to

determine—

(i) which households will receive one

or more forms of benefits under the

REACH Initiative;

(ii) the cases in which nonmonetary

benefits are likely to provide more costeffective long-term outcomes than

payment benefits alone; and

(iii) the amount of such benefits

required to meet the goals of the

program.

The Plan must also include a method

to be used for targeting REACH

nonmonetary benefits. It should further

provide that the State will award the

grant(s) or contract(s) for

implementation of the REACH Project

within a time frame that will allow for

adequate start-up and an

implementation period of at least two

years, followed by a phase-out period

that will permit completion of the

required evaluation. (See Part II–B. 1.,

Project Periods, and Part IV–A, SubElement I(c))

Finally, the REACH Plan must

include:

(A) a brief description of the crisis

and emergency assistance activities the

State will undertake that are designed

to:

(1) discourage family energy crises;

(2) encourage responsible vendor and

consumer behavior; and

(3) provide only financial incentives

that encourage household payment; (See

Part IV–A, Sub-Element I(b))

(B) a brief description of the activities

the State will undertake to—

(1) provide incentives for recipients of

assistance to pay home energy costs;

and

(2) provide incentives to vendors to

help reduce the energy burdens of

recipients of assistance.

(C) an assurance that, subject to the

methodologies described above, each

CBO Recipient will provide a variety of

services and benefits, including—

(i) payments to, or on behalf of,

individuals eligible for residential

energy assistance services and benefits

under Section 2605(b) for home energy

costs;

(ii) energy efficiency education;

(iii) residential energy demand

management services, including any

other energy related residential repair

and energy efficiency improvements in

coordination with, or delivered by,

Department of Energy weatherization

assistance programs at the discretion of

the State;

(iv) family services, such as

counseling and needs assessment,

related to energy budget management,

payment plans, and related services;

and

(v) negotiation with home energy

suppliers on behalf of households

eligible for REACH services and

benefits. (See Part IV–A, Sub-Element

I(b)). Project activities should be closely

coordinated with the applicant’s

LIHEAP Program and with

Empowerment Zone/-Enterprise

Community Initiatives where

applicable; (See Part IV–A, Element

VIII) and,

(D) an assurance that no regulated

utility covered by the plan will be

required to act in a manner that is

inconsistent with applicable regulatory

requirements. (See Part IV–A, Element

VII.)

5. Low-Income Citizen Participation.

To be considered for funding a REACH

Plan must include provision for the

systematic and regularized solicitation,

by the designated CBO Recipient(s), of

the views of eligible low-income

individuals in the community; and for

the assurance, by means of an advisory

board or similar process, that such

organization(s) will be responsive to

such views in the development and

implementation of the local Project.

Assurance for compliance with these

requirements may be accomplished

through the Letter of Agreement

required in Paragraph 4, above. (See Part

IV–A, Sub-Element I(a))

6. Third-Party Project Evaluation.

REACH Plans must include provision

for an independent, methodologically

sound evaluation of the effectiveness of

the activities carried out with the grant

and their efficacy in achieving stated

project goals related to reducing

participant home energy costs and

increasing the ability of participants to

meet such costs independent of

payment subsidy, including,

specifically, the performance goals set

out above at the opening of Section A.

2., Program Focus, above.

The Plan should include a well

thought through outline of an evaluation

plan for the proposed project(s). 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(s) (the

Outcome Evaluation). (See Part I,

Section B for definitions of Process and

Outcome Evaluations.) Applicants may

propose a single evaluation for their

overall REACH Initiative, or separate

evaluations for individual projects, as

and where appropriate.

In addition to the performance goals

mentioned above, the outline should

include a description of the indicators

that will be used by the State (and the

CBO Recipient(s)) to measure whether

the goals have been achieved.

The evaluation must be conducted by

an independent, third-party evaluator,

i.e., a person with recognized evaluation

skills who has experience with social

programs and is organizationally

distinct from, and not under the control

of, the applicant or the local

organization(s) implementing the

REACH Project. It is important that each

successful applicant have a third-party

evaluator selected, and performing at

the very latest by the time the work

program of the project is begun, and if

possible before that time so that he or

she can participate in the final design of

the program, in order to assure that data

necessary for the evaluation will be

collected and available.

7. Consistency With LIHEAP

Legislation. To be funded, a REACH

Plan must include a demonstration that
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35523

it is consistent with the following

Sections of the Low Income Home

Energy Assistance Act, as amended:

Section 2603; paragraphs (2), (3), (4), (5),

(7), (10), (11), (12), (13), and (14) of

Section 2605(b); Subsections (d), (e), (f),

(g), (h), (i), and (j) of Section 2605; and

Section 2606.

The definitions in Section 2603 have

been incorporated into the definitions in

Part I, Section B of this Announcement

and will apply to the REACH Initiative.

The rest of the cited sections,

subsections and paragraphs are set forth

in Attachment K to this Announcement.

8. Dissemination of Project Results.

REACH Plans should include provision

for disseminating the results of the

project. Applicants may budget up to

$5,000 for dissemination purposes.

B. Special Program Requirements for

Priority Area 2.0

1. Eligible Applicants for Priority

Area 2.0. Eligible Applicants for these

grants under Priority Area 2.0 are Indian

Tribes and Tribal Organizations which

are current grantees of the LIHEAP

Program; and the Insular Areas of

American Samoa, Commonwealth of the

Northern Mariana Islands, the U.S.

Virgin Islands, and Guam, provided

they are LIHEAP grantees that use

LIHEAP funds to implement a LIHEAP

Program. In accordance with 45 CFR

96.42(a), the Secretary has determined

that inasmuch as these applicants are

generally representative of and close to

their communities, which with few

exceptions are relatively small; and

inasmuch as they generally implement

their LIHEAP programs and other social

service programs directly; that therefore

the requirements of Section 2607B(e)(2)

(A) and (B) are not applicable to eligible

applicants under Priority Area 2.0; and

that consequently REACH grantees

under Priority Area 2.0 may implement

REACH programs directly, without

delegation to CBO Recipients. However,

as explained in Part II B, Budget

Periods, above, applicants electing to

implement their REACH Projects

directly will be limited to projects of

one year duration (Project and Budget

Periods of one year only).

Applicants under Priority Area 2.0

may also elect to operate their projects

through grants or contracts to non-profit

organizations. However, in such cases

the non-profit organization does not

have to be a community based

organization (CBO) as defined Part I. If

they choose to operate their projects

through non-profit organizations, the

Project and Budget Periods applicable to

Priority Area 1.0 will apply.

2. Program Focus. The Program Focus

for Priority Area 2.0 REACH projects

should be the same as for Priority Area

1.0, described above in Section A.2.

3. Economic Development Strategy.

Although OCS is interested in having

applicants under Priority Area 2.0

approach the energy needs of lowincome families within a holistic

context of the economic, social,

physical, and environmental barriers to

achieving self-sufficiency, applicants

under Priority Area 2.0 will not be

required to include a specific Economic

Development Strategy in their REACH

Plan.

4. Scope of the Priority Area 2.0

REACH Plan. The Priority 2.0 REACH

Plan should describe the concept of the

proposed REACH Project, describing the

goals or outcomes that the project seeks

to achieve; the needs of the target

population that the project seeks to

address, and the assumptions about how

those needs can be met; and the

activities or interventions that the

project will undertake to meet the needs

and achieve the goals and outcomes of

the project.

The REACH Plan must include a

description of the methodology the State

and local agencies will use to

determine—

(i) which households will receive one

or more forms of benefits under the

REACH Initiative;

(ii) the cases in which nonmonetary

benefits are likely to provide more costeffective long-term outcomes than

payment benefits alone; and

(iii) the amount of such benefits

required to meet the goals of the

program;

The Plan must also include a method

to be used for targeting REACH

nonmonetary benefits.

Finally, the REACH Plan must

include:

(A) a brief description of the crisis

and emergency assistance activities the

applicant will undertake that are

designed to:

(1) discourage family energy crises;

(2) encourage responsible vendor and

consumer behavior; and

(3) provide only financial incentives

that encourage household payment;

(B) a brief description of the activities

the applicant will undertake to—

(1) provide incentives for recipients of

assistance to pay home energy costs;

and

(2) provide incentives to vendors to

help reduce the energy burdens of

recipients of assistance.

(C) an assurance that, subject to the

methodologies described above, each

applicant or nonprofit sub-recipient, as

appropriate, will provide a variety of

services and benefits, including at least

two of the following—

(i) payments to, or on behalf of,

individuals eligible for residential

energy assistance services and benefits

under Section 2605(b) for home energy

costs;

(ii) energy efficiency education;

(iii) residential energy demand

management services, including any

other energy related residential repair

and energy efficiency improvements in

coordination with, or delivered by,

Department of Energy weatherization

assistance programs at the discretion of

the State;

(iv) family services, such as

counseling and needs assessment,

related to energy budget management,

payment plans, and related services;

and

(v) negotiation with home energy

suppliers on behalf of households

eligible for REACH services and

benefits. (See Part IV–B, Sub-Element

I(b)).

Given the size of most tribal and small

insular territory LIHEAP programs, the

Secretary has determined, in accordance

with 45 CFR 96.42(a), that REACH

applications from tribal and small

insular area LIHEAP grantees under

Priority Area 2.0 do not have to provide

all of the above services.

Project activities should be closely

coordinated with the applicant’s

LIHEAP Program.

and

(D) an assurance that no regulated

utility covered by the plan will be

required to act in a manner that is

inconsistent with applicable regulatory

requirements. (See Part IV–B, Element

VI)

5. Low-Income Citizen Participation.

To be considered for funding, a REACH

Plan must include provision for the

systematic and regularized solicitation

by the grantee of the views of eligible

low-income individuals in the

community. (See Part IV–B, SubElement I(a))

6. Third-Party Project Evaluation. As

noted above, the Priority Area 1.0

requirement for a third party evaluation

does not apply out to Priority Area 2.0

grantees. However, Priority Area 2.0

REACH Plans must describe the

indicators they will use to measure

whether their performance goals have

been achieved, and they must submit a

report summarizing these results at the

end of the grant period.

7. Consistency With LIHEAP

Legislation. To be funded, a REACH

Plan under Priority Area 2.0 must

include a demonstration that it is

consistent with the following Sections

of the Low Income Home Energy

Assistance Act, as amended: Section

2603; paragraphs (2), (3), (4), (5), (7),
35524 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

(10), (11), (12), (13), and (14) of Section

2605(b); Subsections (d), (e), (f), (g), (h),

(i), and (j) of Section 2605; and Section

2606.

The definitions in Section 2603 have

been incorporated into the definitions in

Part I, Section B of this Announcement

and will apply to the REACH Initiative.

The rest of the cited sections,

subsections and paragraphs are set forth

in Attachment K to this Announcement.

8. Dissemination of Project Results.

Applicants under Priority 2.0 may

budget up to $1,000 for dissemination of

project results.

Part IV. Reach Plan Elements and

Review Criteria

The ultimate goals of the projects to

be funded under the REACH Program

are to realize significant improvements

in the ability of eligible households to

meet energy costs and pay home energy

bills with regularity, through innovative

project interventions which will reduce

energy costs and increase the capability

of low-income participants to pay; in

the case of REACH Projects under

Priority Area 1.0, 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. OCS intends to make the

awards of all the above grants on the

basis of brief, concise REACH Plans.

The elements and format of these plans,

along with the review criteria that will

be used to judge them, will be outlined

in this Part.

The competitive review of REACH

Plans will be based on the degree to

which applicants:

(1) incorporate each of the Elements

and Sub-Elements below into their

plans, so as to describe convincingly a

project that will develop and implement

new and innovative approaches to

address critical energy needs or

problems of the poor;

(2) include the required assurances

and program activities set forth in Part

III, above; and,

(3) in the case of applications under

Priority Area 1.0; test and evaluate such

approaches and activities so as to make

possible replication of a successful

program.

A. Program Elements, Review and

Assessment Criteria for REACH Plans

under Priority Area 1.0

This Section has been divided into

Two Segments: Segment One made up

of Element I (with three Sub-Elements)

which should be completed for each

different and distinct local REACH

Project to be carried out by a CBO

Recipient, and must not be more than

ten pages in length; and Segment Two

made up of Elements II through VIII,

which should be completed only once

for the applicant’s entire REACH

Initiative, and must not be more than

twenty pages in length. As explained in

Part III–A. 4., Scope of REACH Plan, a

State may submit a REACH Plan which

proposes one local REACH Project to be

implemented by one CBO Recipient; it

may submit a Plan in which the same

project is proposed to be implemented

in several localities by separate CBO

Recipients; or it may submit a plan

proposing two or more different and

distinct Projects, each to be

implemented through a separate CBO

Recipient. Where a State proposes

different and distinct REACH Projects to

be carried out by more than one CBO

Recipient, the REACH Plan should

include, for each of these projects/CBO

Recipients a separate Segment One

Narrative; where a REACH Plan

proposes only one distinct project, to be

implemented either in one locality or in

several, by either one or more than one

CBO Recipient, then the Plan need

include only one Segment One

narrative.

In order to simplify the application

preparation and review process, OCS

seeks to keep applications cogent and

brief. 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 each

Narrative Segment One cannot be more

than ten pages in length, and that the

single Project Narrative Segment Two,

covering Program Elements II through

VIII for the overall REACH Initiative,

cannot be more than 20 pages in length.

REACH Plans with project narratives

(excluding appendices) that exceed

these limits will not be reviewed for

funding. Project narratives should be on

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

equivalent on a single side. 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 project

description upon the guidelines set

forth for each of the project elements.

In reviewing REACH Plans for

funding, where Plans include more than

one narrative Segment One describing a

local Project/CBO Recipient, OCS

reserves the right to consider each such

Project/CBO Recipient on its own

merits, and where review scores and

other considerations merit, may choose

not to fund a particular local Project/

CBO Recipient. In such a case, OCS will

negotiate an appropriate budget for the

applicant’s overall REACH Initiative.

Segment One

[Priority Area 1.0 applicants to complete

for each local Project/CBO Recipient;

each completed Segment (1) limited to

ten pages in length]

Element I. Project Theory, Design, and

Plan. (Total Weight of 0–30 points in

application 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 energy selfsufficiency.

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 causeeffect relationship between what the

project plans to do and the results it

expects to achieve.

Applicants are reminded that Part III–

A, Section 4, Scope of the REACH Plan

under Priority Area 1.0, includes a

discussion of those activities which

should be included in this element of

their REACH Plan.

Sub-Element I(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 services

or interventions proposed in the REACH

Plan 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 REACH

Plan the applicant should precisely
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35525

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.

This sub-element to the REACH Plan,

might include, for instance, data on the

building type, condition, and age of

low-income housing; the predominant

fuel used for home heating; the number

and percent of utility shut-offs among

low-income energy consumers; climatic

conditions; unemployment statistics for

the area; the price of fuels; and the

demand management services offered by

local utilities.

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 must include in this

element a brief description of the

provision that has been and will be

made for the systematic and regular

solicitation by CBO Recipients of the

views of eligible low-income

individuals in the community on the

design and implementation of the

REACH Project, and the mechanism(s)

that will be employed by the applicant

and the CBO Recipients to assure their

responsiveness to such views in the

establishment of the REACH Project.

(See Part III-A, Section 5.)

It is suggested that applicants use no

more than 4 pages for this narrative subelement.

Sub-Element I(b). Project Strategy and

Design Framework: Interventions,

Outcomes, and Goals. (Weight of 0–10

points in application 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

attainment of 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 survey of

home furnaces for safety and efficiency

might be expected to result in

identification of repairs and retrofits

that could increase efficiency and lower

costs. Or providing energy efficiency

education to families in the low income

community might be expected to result

in modifying behavior of family

members so that they would dress more

warmly to be more comfortable at a

lower thermostat setting, would not

leave doors or windows open, would

hang curtains over windows, and would

use hot water more conservatively, by,

for example, installing low-flow shower

heads, etc.

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 repairs and

education. 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 home energy

survey program could be expected to

lead to intermediate outcomes of

furnace retrofits and home

weatherization. The acquisition of

energy conservation skills, coupled with

the availability of energy saving devices

such as efficient light bulbs or low-flow

shower heads, could result in the actual

installation of these devices in the

home.

Finally, the REACH Plan should

describe how the achievement of these

intermediate outcomes will be expected

to lead to the attainment of the project

goals: energy efficient and healthy

housing, energy consumption at a level

which is affordable for the household, a

successful community fuel cooperative

that lowers fuel prices, new demand

management services, or whatever they

may be.

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 energy self-sufficiency.

It is suggested that applicants use no

more than 4 pages for this design

section of the REACH Plan.

Sub-Element I(c), Work Plan. (Weight

of 0–10 points in the application

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, time,

staff, 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 Justification included in the

application following the budget forms.

(See Element V.)

Applicant may be able to use a simple

Gantt or time line chart to convey the

work plan in minimal space.

It is suggested that the applicant use

no more than 2 pages for this SubElement.

Segment Two

[Priority Area 1.0 applicants to complete

once for overall REACH Plan; Segment

Two limited to twenty pages in length.]

Element II. Organizational Experience

and Capability. (Weight of 0 to 10 points

in application review.) Applicants

should cite the capability and relevant

experience of each of the communitybased organizations (CBO Recipients)

designated to implement the proposed

REACH Project in developing and

operating programs which deal with

poverty problems similar to those to be

addressed by the proposed project.

Applicants should explain how in their

designation they have given priority, as

required by the authorizing legislation,

to eligible entities described in Section

673 of the Community Services Block

Grant Act which have a record of

successfully providing service under

LIHEAP and which receive funds from

the Department of Energy’s

Weatherization Assistance Program.

(See Part III–A, Section I, Eligible

Applicants for Priority Area 1.0) The

applicant should also cite each such

organization’s experience in

collaborative programming and

operations which involve evaluations

and data collection. The designated

CBO Recipient(s)’ capabilities and status

in these regards should be established

by a letter of certification to that effect

by the Applicant, and by the State CSBG

Director or the State LIHEAP or

Weatherization Program administering

agency(ies) where they are not the same.

While the proposed project management

team will be identified and described

elsewhere in the application, applicants
35526 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

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.

It is suggested that applicants use no

more than 4 pages for this element.

Element III. Economic Development

Strategies, Mobilization of Resources,

and Project Innovations. (Weight of 0 to

10 points in the application review.)

Applicants should in this Element

explain how its REACH Initiative

approaches the energy needs of lowincome families within a holistic

context of the economic, social,

physical, and environmental barriers to

achieving self-sufficiency. This should

include an explanation of how the

proposed project(s) will be integrated

with and support a larger economic

development strategy within the target

community or communities.

Thus REACH Initiatives are expected

to be closely coordinated with other

public and private sector programs

involved with community revitalization,

housing rehabilitation and

weatherization, and family

development; and OCS will give

favorable consideration in the

application review process to applicants

who mobilize cash and/or third-party

in-kind contributions for direct use in

the REACH Project. Even though there

is no matching requirement for the

REACH Program, grantees will be held

accountable for any match, cash or inkind contribution proposed or pledged

as part of an approved application. (See

Part III–A, Section 4(C))

Within the context of this holistic and

coordinated plan, applicant should

highlight the ways in which the

proposed project represents a new and

innovative approach or approaches to

provide for greater energy selfsufficiency of the poor and/or to deal

with particularly critical energy 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 technologies or institutions in

which the project will function.

It is suggested that applicants use no

more than 4 pages for this element.

Element IV. Project Management and

Organization. (Weight of 0 to 10 points

in the application 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

State Project Coordinator, and key staff

including the Project Director(s) in CBO

Recipient(s) that will be implementing

the project at the local level, and any

other staff they feel are especially

important to the success of the project,

and include resumes as an Appendix to

the REACH Plan. Where the staff have

not been identified, a position

description should be included in the

Appendix. The REACH Plan should

describe the staff’s 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. REACH Plans

will be assessed, for this element, on the

relevant experience, capabilities,

commitment and planned level of effort

of the Project Coordinator and key staff

members as described in the Plan.

Applicants should also, in this

section, describe (and diagram if

necessary) the organization of the

project. The relationships among the

State and the participating communitybased organizations, the Project

Coordinator and the key officials in

those organizations, and any other

partnering organizations should be

depicted, and the project-related

responsibilities of these key actors

should be made clear.

This element should include a brief

description of the crisis and emergency

assistance activities the applicant will

undertake that are designed to: (1)

provide incentives for recipients of

assistance to pay home energy costs,

and (2) provide incentives to vendors to

help reduce the energy burdens of

recipients of assistance. (See Part III–A,

Section 4 (B))

It is suggested that applicants use no

more than 4 pages for this element (not

counting the resumes and/or position

descriptions, which should be in an

Appendix).

Element V. Project Budget

Appropriateness. (Weight of 0–10 points

in the application review.) Applicants

will be required to submit Federal forms

with their REACH Plans to provide

basic applicant and project information

(SF 424) and information about how

Federal and other project funds will be

used (SF 424A). In addition to and

immediately following the completed

Federal budget forms, applicants must

submit a Budget Justification, or

explanatory budget information. This

Budget Justification is not considered a

part of the Project Narrative, and does

not count as within the limitation on

number of pages; but rather is to be

included in the application following

the budget forms. Each Applicant must

submit one SF 424, one SF 424A, and

one Budget Justification in its own

name, which cover the entire REACH

Initiative, and one SF 424A and Budget

Justification for each local CBO

Recipient.

The Budget Narrative should briefly

explain the adequacy of the Federal

funds and other mobilized resources to

accomplish project purposes, should

explain the source and nature of

mobilized resources, and should

identify and briefly explain any

imbalances between the level of

activities undertaken and project funds

expended.

Applicants under Priority Area 1.0

may include in the REACH Initiative

budget an amount up ten percent (10%)

of the total REACH grant for planning,

administration, and coordinating costs

at the State level during the first project

year of the REACH Initiative, and for

contracting with a third-party evaluator

as defined under Element VI, below,

and discussed in Part III–A.6.

Applicants should include funds in

the project budget for travel by State and

CBO Recipient Project Directors and

Chief Evaluators to attend two national

evaluation workshops in Washington,

D.C., and are encouraged to seek

agreement from CBO Recipients to

attend also. (See Part IX–B, Attendance

at Workshops.)

Note: None of the costs of providing

service or benefits under the REACH Program

shall be considered to be an administrative

cost or function for purposes of any

limitation on administrative costs or

functions contained in the Low-Income

Home Energy Assistance Act of 1981, as

amended, 42 U.S.C. 8621 et seq.

Element VI. Project Evaluation.

(Weight of 0–15 points in the

application review.) Sound evaluations

are essential to the REACH Program.

Applicants are required 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). (See Part I, Section B for

definitions of process and outcome

evaluation, and Part III–A.6. for a

discussion of evaluation requirements.)
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35527

OCS plans to engage an Evaluation

Technical Assistance Contractor which

will assist REACH Priority Area 1.0

Grantees and CBO Recipients in the

finalization of Evaluation Plans, the

establishment of data collection

systems, the preparation of Evaluation

Reports, and other aspects of project

evaluation so as to assure that project

evaluations will provide accurate and

useful information to those interested in

replication.

Applicants are not being asked to

submit a complete and final Evaluation

Plan as part of their REACH Plan; 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 energy 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 first six-months 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

energy self-sufficiency. 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,

the CBO Recipient(s), 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.

It is suggested that applicants use no

more than 4 pages for this element, plus

the Resume or Position Description for

the evaluator, which should be in an

Appendix.

Element VII. Significant and

Beneficial Impact. (Weight of 0–10

points in the application review.) OCS

seeks, with the REACH Program, to

support innovative approaches that will

create significant benefits for lowincome energy consumers, their

families, and their 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

reducing household energy burdens on

the poor and increasing their ability to

pay for the household energy they need.

As a result, the project should lead to

verifiable reductions in homelessness

and health and safety risks associated

with high energy costs that are beyond

the resources of low income families in

the targeted community(ies). 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 pilot 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 LIHEAP and CSBG grantees across

the nation.

Applicants should include in this

element a brief assurance that no

regulated utility covered by the REACH

Plan will be required to act in a manner

that is inconsistent with applicable

regulatory requirements. (See Part III–A,

Section 4(D))

It is suggested that applicants use no

more than 2 pages for this element. The

score for this element will be based to

some extent on the coherence and

feasibility of the entire REACH Plan.

Element VIII. Community

Empowerment Consideration. (Weight

of 0–5 points in application review.)

Special consideration will be given to

applicants whose proposed REACH

Projects will be located in areas which

are characterized by severe 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 or

their proposed CBO Recipients 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. (See Part III–A,

Section 3 and Section 4(C))

It is suggested that applicants use no

more than 2 pages for this element.

B. Special Program Elements, Review

and Assessment Criteria for REACH

Plans Under Priority Area 2.0

In order to simplify the application

preparation and review process, OCS

seeks to keep grant applications cogent

and brief. 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 Project Narratives must not be more

than twenty (20) pages in length.

REACH Plans with project narratives

(excluding appendices) that exceed

these limits will not be reviewed for

funding. Project narratives should be on

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

equivalent on a single side. Applicants

should prepare and assemble their

project description using the following

outline of required REACH Plan

elements. They should, furthermore,

build their project concept, plans, and

project description upon the guidelines

set forth for each of the elements.

Element I. Project Theory, Design, and

Plan. (Total Weight of 0 to 50 points in

application 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 energy selfsufficiency.

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 causeeffect relationship between what the

project plans to do and the results it

expects to achieve.
35528 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

Applicants under Priority Area 2.0 are

not required to carry out REACH

activities through community-based

organizations (CBO Recipients), but may

implement REACH Plans directly

themselves. However, as explained in

Part II B, Budget Periods, above,

applicants electing to implement their

REACH Projects directly will be limited

to projects of one year duration (Project

and Budget Periods of one year only).

Applicants under Priority Area 2.0 may

also elect to operate their projects

through grants or contracts to nonprofit

organizations. In such cases the

nonprofit organization does not have to

be a community based organization

(CBO) as defined in Part I. If they choose

to operate their projects through

nonprofit organizations, the Project and

Budget Periods applicable to Priority

Area 1.0 will apply. Note also that

applicants under Priority 2.0 need only

include two of the REACH Program

activities listed in Part III B. Section

4.(C) under Scope of the Priority Area

2.0 REACH Plan.

Sub-Element I(a). Description of

Target Population, Analysis of Need,

and Project Assumptions. (Weight of 0

to 20 points in application review.) This

sub-element should be the same as

under Priority Area 1.0 and it suggested

that it take no more than 4 pages of the

Project Narrative.

Sub-Element I(b). Project Strategy and

Design Framework: Interventions,

Outcomes, and Goals. (Weight of 0 to 20

points in application review.) This subelement should be the same as under

Priority Area 1.0 and it is suggested that

it take no more than 4 pages of the

Project Narrative.

Sub-Element I(c), Work Plan. (Weight

of 0 to 10 points in the application

review.) This sub-element should be the

same as under Priority Area 1.0 and it

is suggested that it take no more than 2

pages of the Project Narrative.

Element II. Organizational Experience

and Capability. (Weight of 0 to 10 points

in application review.) Applicants

should cite their capability and relevant

experience in developing and operating

programs which deal with energy and

poverty problems similar to those to be

addressed by the proposed project.

While the proposed project management

team will be identified and described

below in Element III, applicants should

identify organization executive

leadership in this section and briefly

describe their involvement in the

proposed project and provide assurance

of their commitment to its successful

implementation.

It is suggested that applicants use no

more than 2 pages for this element.

Element III. Project Management and

Organization. (Weight of 0 to 10 points

in the application 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 key

staff, including the Project Director, who

will be implementing the project, and

any other staff they feel are especially

important to the success of the project.

Resumes should be included as an

Appendix to the REACH Plan. Where

the staff have not been identified, a

position description should be included

in the Appendix. REACH Plans 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

Plan.

It is suggested that applicants use no

more than 2 pages for this element (plus

the resumes and/or position

descriptions which should be in an

Appendix).

Element IV. Project Budget

Appropriateness. (Weight of 0–10 points

in the application review.) Applicants

will be required to submit Federal forms

with their REACH Plans to provide

basic applicant and project information

(SF–424) and information about how

Federal and other project funds will be

used (SF–424A). Where Priority Area

2.0 applicants elect to have REACH

services provided through a nonprofit

organization sub-recipient, an SF–424A

must be completed for the applicant,

and another SF–424A must be

completed for the nonprofit

organization sub-recipient. The subrecipient SF–424A should include

budget information for all three years of

the project period, divided into three

separate budget periods as explained in

Part VII and the instructions

accompanying the forms. In addition to

and immediately following the

completed Federal budget forms,

applicants must submit a Budget

Justification, or explanatory budget

information for the first 12-month

budget period. Again, where a Priority

Area 2.0 applicant elects to implement

the REACH project services through a

nonprofit sub-recipient, a Budget

Justification should be included for the

sub-recipient, covering the full three

year project budget. The Budget

Justification is not considered a part of

the Project Narrative, and does not

count as part of the twenty page limit;

but rather is included in the application

following the budget forms.

The Budget Justification should

briefly explain the adequacy of the

Federal funds and other mobilized

resources to accomplish project

purposes, should explain the source and

nature of any mobilized resources.

Applicants should include funds in

the project budget for travel by the

Project Director to attend an orientation

workshop in Washington, D.C.

Note: None of the costs of providing

service or benefits under the REACH Program

shall be considered to be an administrative

cost or function for purposes of any

limitation on administrative costs or

functions contained in the Low-Income

Home Energy Assistance Act of 1981, as

amended, 42 U.S.C. 8621 et seq.

Element V. Project Evaluation.

(Weight of 0–10 points in the

application review.) As noted in Part III

above, REACH grantees under Priority

Area 2.0 will not be required to carry

out a third-party evaluation of their

projects. However, their REACH Plans

must describe the indicators they will

use to measure whether the performance

goals of their project have been

achieved. It is suggested that applicant

use no more than 1 page for this

Element.

Element VI. Significant and Beneficial

Impact. (Weight of 0–10 points in the

application review.) This element

should be the same as under Priority

Area 1.0 and it is suggested that it take

no more than 3 pages of the Application

Narrative.

Part V—Quality Standards for Energy

Efficiency Education Services Plans

The REACH authorizing legislation

includes a section which describes a

separate Energy Efficiency Education

Services program which applicants may

include in their REACH Initiative.

Those applicants which include this

program in their REACH Initiative must

submit separate Energy Efficiency

Education Services Plans; and if they

meet the quality standards set forth

below, and have the potential for being

replicable model designs for other

programs, are eligible for supplemental

payments as outlined in Part II C. This

Part sets out the Quality Standards for

Energy Efficiency Education Services

Plans.

Section 2607B(b)(2) of the REACH

authorizing legislation provides for a

reservation of funds by the Secretary to

make additional payments to qualifying

REACH applicants that have energy

efficiency education services plans that

meet quality standards established in

consultation with the Secretary of

Energy, and have the potential for being

replicable model designs for other

programs. This Part sets forth those

standards. As explained in Part II above,

those REACH applicants under Priority

Area 1.0 that are selected to receive
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35529

REACH grants will receive an additional

amount of $100,000, and REACH

applicants under Priority Area 2.0 will

receive an additional $25,000, for the

same project and budget periods, if they

have submitted, as an appendix to their

REACH Plans, an Energy Efficiency

Education (EEE) Services Plan that has

the potential for being a replicable

model design for other programs and

meets the following quality standards:

A. Purpose

The Plan should state the purpose of

the proposed EEE services, which

should be generally consistent with and

include the following goals: to assist

low-income households, especially

those with high energy burdens, to use

energy efficiently, to reduce their home

energy costs, to minimize health and

safety risks within their homes, to

increase their indoor comfort level, and

to maintain their highest possible level

of energy self-sufficiency.

B. Target Population

The Plan should identify a target

population for the EEE services which

includes LIHEAP recipients and at least

some who have received services from

the Weatherization Assistance Program,

and others consistent with the stated

purpose and goals of the program. The

Plan should include assurances that the

defined target population is one from

whom data on energy usage and costs

before and after receipt of the EEE

services will be available, and should

indicate how such data will be

collected.

C. Needs Assessment and Project Design

Process

The Plan should describe the needs

assessment that the applicant has

undertaken or will undertake among the

target population, how the design of the

EEE Services Program will respond to

the needs identified (see Paragraph D,

below), and how the EEE Program

priorities have been or will be

determined by the needs discovered.

D. Service Delivery

(1) Setting: the Plan should indicate

the setting or settings—in-office

instruction (e.g. at time of initial intake),

workshops, or home visits—in which

the EEE services will be delivered, and

project the number of service units

planned for each.

(2) Services: the Plan should identify

the types of services to be delivered and

how—whether by lecture, audio-visual

media, written materials, hands on

experience, or other educational

technique—and if appropriate, which

services are planned to be used in

which of the identified settings.

E. Relation of Services to Changes, of

Changes to Outcomes, and of Outcomes

to Goals (a ‘‘Logic Model’’)

The Plan should briefly set forth each

EEE service planned (e.g. a

demonstration and discussion on air

infiltration), the immediate changes

expected to result from delivery of the

service (e.g. a better understanding of

the importance of stopping infiltration),

the intermediate outcomes expected to

result from the changes (e.g. action by

the client to stop infiltration in their

dwelling), and how these changes and

outcomes will be expected to achieve a

program goal (e.g. reduced energy

consumption). This exact terminology

need not be used in the Plan; but the

cause and effect relationship between

the EEE services planned and the

achievement of program goals should be

briefly explained. This part of the Plan

should include provision for the

development with EEE service

recipients of an Action Plan through

which the recipient will make a

commitment to take actions based on

the EEE information received; and it

should also include a provision for

reinforcement of the commitment

through follow-up activities by the

grantee or other ‘‘interventions’’.

F. Evaluation

The EEE Services Plan submitted by

applicants under Priority Area 1.0

should provide for the inclusion of an

Evaluation of the Energy Efficiency

Education Services Program as a part of

the Evaluation Plan Outline for the

overall REACH Initiative. It should

provide for Process and Outcome

Evaluations, and should describe what

data will be collected and how it will

relate to the achievement of EEE

program goals. The EEE portion of the

evaluation plan outline should make

specific provision for consumer

evaluation of the EEE service program

interventions; and should conclude

with a commitment from the grantee to

revise and improve its EEE program in

response to the overall evaluation where

appropriate.

For applicants under Priority Area

2.0, the EEE Services Plan should

provide assurances that the applicant

will: (1) provide for consumer

evaluation of the EEE Services program,

and (2) revise and improve its EEE

program in response to such evaluation,

where appropriate.

The EEE Services Plan, if included,

should be an Appendix to the

Applicant’s REACH Plan, and should

not exceed ten pages in length.

Part VI. Application Procedures

A. Availability of Forms

Attachments B 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 Notice 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, this Notice

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 REACH Plan and four

copies should be submitted. Applicants

have the option to omit from copies to

be made available to non-Federal

reviewers the specific salary rates or

amounts for individuals identified in

the application budget. Rather, only

summary information is required in

these copies.

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 State Plan

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 State

Plan. If an acknowledgement is not

received within three weeks after the

deadline date, please notify ACF by

telephone at (202) 401–9365.

3. Deadline: Mailed applications shall

be considered as meeting an announced

deadline if they are received on or

before the deadline time and date at the

U.S. Department of Health and Human

Services, Administration for Children

and Families, Office of Community

Services, Division of Community

Demonstration Programs, 370 L Enfant

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

20447; Attention: Application for

REACH Program. Applicants are

responsible for mailing applications

well in advance, when using all mail

services, to ensure that the applications

are received on or before the deadline

time and date.
35530 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

Applications hand carried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting an announced

deadline if they are received on or

before the deadline date, between the

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

DHHS, Administration for Children and

Families, Office of Community Services,

Division of Community Demonstration

Programs, Mail Room, 2nd Floor

Loading Dock, Aerospace Center, 901 D

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

between Monday and Friday (excluding

Federal holidays). (Applicants are

cautioned that express/overnight mail

services do not always deliver as

agreed.)

ACF cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ACF electronically will not be accepted

regardless of date or time of submission

and time of receipt.

4. Late applications: Applications

which do not meet the criteria above are

considered late applications. ACF will

notify each late applicant that its

application will not be considered in

the current competition.

5. 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

widespread disruption of the mails.

However, if ACF does not extend the

deadline for all applicants, it may not

waive or extend the deadline for any

applicants.

C. Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act

of 1995, Public Law 104–13, as

amended, the Department is required to

submit to OMB for review and approval

any reporting and record keeping

requirements in regulations, including

program announcements. This program

announcement does not contain

information collection requirements

beyond those approved for ACF grant

applications under OMB Control

Number 0970–0139.

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 Requirements outlined in

Part III, and the Application Elements

and Review Criteria set forth in Part IV

of this Announcement.

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, but not

limited to: 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

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:

1. Eligibility: The applicant must be

an ‘‘eligible applicant’’ as defined in

Part III–A, Section 1 or Part III–B,

Section 1. 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).

2. The application must contain a

Standard Form 424 ‘‘Application for

Federal Assistance’’ (SF–424), signed by

an official of the organization applying

for the grant who has authority to

obligate the organization legally; one

budget form (SF–424A) covering the

entire REACH Project, and one SF–424A

for each CBO Recipient (or nonprofit

sub-recipient in the case of Priority Area

2.0 applicants electing to delegate their

REACH Projects) and signed

‘‘Assurances’’ (SF–424B) completed

according to instructions published in

Part VII and Attachment D to this

Announcement.

3. A project narrative must also

accompany the standard forms, and, for

Priority Area 1.0, must be limited to no

more than ten (10) pages for Narrative

Segment One and twenty (20) pages for

Narrative Segment Two; and for Priority

Area 2.0, must be limited to no more

than twenty (20) pages. Narratives must

be 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 applicants

follow the format for the narrative

discussed in Part IV, REACH Plan

Elements and Review Criteria.

Part VII—Instructions for Completing

Application Forms

The standard forms attached to this

announcement shall be used to apply

for funds under this program

announcement.

It is suggested that you reproduce

single-sided copies of the SF–424 and

SF–424A, and type your application on

the copies. Please prepare your

application in accordance with

instructions provided on the forms

(Attachments B and C) as modified by

the OCS specific instructions set forth

below:

A. SF–424—Application for Federal

Assistance

One SF–424 to be completed by

applicant. Top of Page. 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

(third line from the top).

Item 1. For the purposes of this

announcement, all projects are

considered Applications; there are no

Pre-Applications.

Item 7. Enter ‘‘A’’ in the box for State.

If applicant is an Indian Tribe enter ‘‘K’’

in the box for Indian Tribe.

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 93.568. The title is

‘‘LIHEAP/REACH’’.

Item 11. Enter a brief descriptive title

of the project.

Item 13. Proposed Project—The

project start date must begin on or

before September 30, 1996; the ending

date should be calculated on the basis

of a 12-month or 36-month Project

Period, whichever is applicable.

Item 15a. This amount should be no

greater than $1,500,000 for applications

under Priority Area 1.0; no greater than
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35531

$150,000 for applications under Priority

Area 2.0.

Item 15b–e. These items should

reflect both cash and third-party, inkind contributions for the Project

Period.

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

One SF–424A completed for

applicant, covering entire REACH

Project, and one SF–424A to be

completed for each CBO Recipient (or

nonprofit sub-recipient in the case of

Priority Area 2.0 applicants electing to

delegate their REACH Projects).

In completing these sections, the

Federal Funds budget entries will relate

to the requested OCS funds only, and

Non-Federal will include mobilized

funds from all other sources—applicant,

state, local, and other. Federal funds

other than requested OCS funding

should be included in Non-Federal

entries.

Sections A, B, and C of SF–424A

should reflect budget estimates for each

year of the Project Period.

Section A—Budget Summary. You

need only fill in lines 1 and 5 (with the

same amounts)

Col. (a): Enter ‘‘LIHEAP/REACH.’’

Col. (b): Catalog of Federal Domestic

Assistance number is 93.568.

Col. (c) and (d): not relevant to this

program.

Column (e)–(g): enter the appropriate

amounts (column e should not be more

than $1,500,000 for applications under

Priority Area 1.0; or more than $150,000

for applications under Priority Area 2.0.

Section B—Budget Categories. (1) For

applicants, a single SF–424A covering

entire REACH Project: complete a oneyear budget in accordance with the

instructions provided, entering the

amount of grant or contract to CBO

Recipient(s) or nonprofit sub-recipient

under the Object Class Category

‘‘Contractual’’.

(2) For CBO Recipients (or nonprofit

sub-recipients in the case of Priority

Area 2.0 applicants), an SF–424A to be

completed for each, covering the full

three year project as follows:

(Note that the following information

supersedes the instructions provided

with the Form in Attachment C.)

Columns (1)–(5): For each of the

relevant Object Class Categories:

Column 1: Enter the OCS grant funds

for the first year.

Column 2: Enter the OCS grant funds

for the second year.

Column 3: Enter the OCS grant funds

for the third year.

Column 4: Leave blank.

Column 5: Enter the total federal OCS

grant funds for the three year budget by

Class Categories, showing a total budget

of not more than $1,500,000.

Note: With regard to Class Categories, only

out-of-town travel should be entered under

Category c. Travel. Local travel costs should

be entered under Category h. Other. Costs of

supplies should be included under Category

e. ‘‘Supplies’’ is tangible personal property

other than ‘‘equipment’’. ‘‘Equipment’’ means

an article of nonexpendable, tangible

personal property having a useful life of more

than one year and an acquisition cost which

equals or exceeds the lesser of (a) the

capitalization level established by the

organization for financial statement

purposes, or (b) $5,000. (ref.: OMB Circular

A–87) In other words, unless the level

established under (a) is less than $5,000,

equipment costing less than $5,000 should be

included in Category e. Supplies.

Section C—Non Federal Resources

should be completed in accordance with

the instructions provided, remembering

that ‘‘all non-OCS funds’’ fall in this

category.

Sections D, E, and F may be left blank.

As previously noted in Part IV, a

supporting Budget Justification must be

submitted providing details of

expenditures under each budget

category, and justification of dollar

amounts which relate the proposed

expenditures to the work program and

goals of the project.

C. SF–424B Assurances-NonConstruction

One SF–424B to be submitted by

applicant. Applicants requesting

financial assistance for a nonconstruction project must file the

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

Applicants must sign and return the

Standard Form 424B with their

applications.

Applicants must provide a

certification concerning Lobbying. Prior

to receiving an award in excess of

$100,000, applicants shall furnish an

executed copy of the lobbying

certification. Applicants must sign and

return the certification with their

applications. Applicants should note

that the Lobbying Disclosure Act of

1995 has simplified the lobbying

information required to be disclosed

under 31 USC 1352 (The Byrd

Amendment).

Applicants must make the appropriate

certification on their compliance with

the Drug-Free Workplace Act of 1988

and the Pro-Children Act of 1994

(Certification Regarding Smoke Free

Environment). By signing and

submitting the applications, applicants

are providing the certification and need

not mail back the certification with the

applications.

Applicants must make the appropriate

certification that they are not presently

debarred, suspended or otherwise

ineligible for award. By signing and

submitting the applications, applicants

are providing the certification and need

not mail back the certification with the

applications.

Copies of the certifications and

assurances are located at the end of this

announcement.

Part VIII—Contents of Reach Plan

Application pages should be

numbered sequentially throughout the

application package, beginning with an

Abstract of the Plan as page number

one, and each REACH Plan must

include all of the following, in the order

listed below:

1. An Abstract of the plan—very brief,

not to exceed 250 words, that would be

suitable for use in an announcement

that the application has been selected

for a grant award; which identifies the

type of project(s), the target population,

the CBO Recipient(s) (in the case of

Priority Area 1.0 applicants), and the

nonprofit organization sub-recipient (in

the case of Priority Area 2.0 applicants

electing to delegate their REACH

Project), and the major elements of the

work plan(s).

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. A single Budget Information—NonConstruction Programs (SF–424A) for

the applicant, covering the entire

REACH Project; and separate SF–424A

forms for each CBO Recipient or

nonprofit sub-recipient as appropriate;

5. A narrative budget justification for

each object class category included

under Section B, for each SF–424A;

6. Filled out, signed and dated

Assurances—Non-Construction

Programs (SF–424B), Attachment D;

7. Restrictions on Lobbying—

Certification for Contracts, Grants,

Loans, and Cooperative Agreements: fill

out, sign and date form found at

Attachment G;

8. Disclosure of Lobbying Activities,

SF–LLL: Fill out, sign and date form

found at Attachment H, if appropriate

(omit Items 11–15 on the SF LLL and

ignore references to continuation sheet

SF–LLL–A)

9. A project narrative, limited to the

number of pages specified below, which

includes all of the required elements

described in Part IV; [Specific

information/data required under each
35532 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

component is described in Part IV

Application Elements and Review

Criteria].

For Plans submitted under Priority

Area 1.0, the total number of pages for

Segment One of the Project Narrative(s)

dealing with Element I, Project Theory,

Design, and Plan, must not exceed 10

pages for each such narrative submitted

for a specific local project; and Segment

Two of the narrative dealing with

Elements II through VII must not exceed

20 pages, excluding Appendices. The

Project Narratives for Plans submitted

under Priority Area 2.0 must not exceed

20 pages in length. Plans for

supplemental EEE Services should not

exceed 10 pages in length. (See Part V)

Plans must be 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.

10. Appendices, including

Maintenance of Effort Certification (See

Attachment J); Letter(s) of Agreement

from designated CBO Recipients (or

nonprofit sub-recipients, as appropriate)

through which project will be

implemented; resumes and/or position

descriptions (see Program Element IV);

Certification Regarding Lobbying, if

appropriate; and any letters from

cooperating or partnering agencies in

target communities. Such letters are not

part of the narrative and should be

included in the Appendices. These

letters are, therefore, not counted

against the page limitations.

REACH Plans 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 plans, or plans

enclosed in binders is specifically

discouraged.

Attachment M provides a checklist to

applicants in preparing a complete

application package.

Part IX—Post-Award Information and

Reporting Requirements

A. Notification of Grant Award

Following approval of the REACH

Plans 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 which

support is provided, the terms and

conditions of the award, the total project

period for which support is

contemplated, and the total required

grantee financial participation, if any.

B. Attendance at Workshops

Project coordinators, Project Directors

at the local CBO Recipient(s), and chief

evaluators (in the case of REACH

Initiatives funded under Priority Area

1.0) and Project Directors (in the case of

REACH Initiatives funded under

Priority Area 2.0) are encouraged to

attend a national REACH Orientation

workshop in Washington, D.C.

scheduled during the first six months of

the Project Period. They are also

encouraged to attend, as presenters, a

workshop on utilization and

dissemination to be held at the end of

the project period. Project budgets

should include funds for travel to and

attendance at these workshops. (See Part

IV, Element V, Budget Appropriateness)

C. Reporting Requirements

Grantees will be required to submit

semi-annual program progress and

financial reports (SF 269) throughout

the project period, as well as a final

program and financial report within 90

days of the termination of the project.

For REACH Projects under Priority Area

1.0 an interim evaluation report, along

with the written policies and

procedures resulting from the process

evaluation, will be due 30 days after the

first eighteen 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.

D. Audit Requirements

Grantees are subject to the audit

requirements in Section 2605B(10) of

the Low Income Home Energy

Assistance Act of 1981, as amended, 42

U.S.C. 8621 et seq.

E. Prohibitions and Requirements With

Regard to Lobbying

Section 1352 of Public Law 101–121,

signed into law on October 23, 1989,

imposes prohibitions and requirements

for disclosure and certification related

to lobbying on recipients of Federal

contracts, grants, cooperative

agreements, and loans. It provides

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.

F. Applicable Federal Regulations

Attachment L indicates the

regulations which apply to all

applicants/grantees under the REACH

Program.

Dated: June 19, 1996.

Donald Sykes,

Director, Office of Community Services.

ATTACHMENT A—1996 POVERTY

GUIDELINES FOR THE 48 CONTIGUOUS STATES AND THE DISTRICT OF

COLUMBIA

Size of family unit Povery

guideline

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

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

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

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

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

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

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

8 .................................................... 26,080
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35533

ATTACHMENT A—1996 POVERTY

GUIDELINES FOR THE 48 CONTIGUOUS STATES AND THE DISTRICT OF

COLUMBIA—Continued

Size of family unit Povery

guideline

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

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

1996 POVERTY GUIDELINES FOR

ALASKA

Size of family unit Povery

guideline

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

2 .................................................... 12,940

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

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

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

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

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

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

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

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

1996 POVERTY GUIDELINES FOR

HAWAII

Size of family unit Povery

guideline

1 .................................................... $8,910

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

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

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

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

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

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

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

For family units with more than 8 members, add $3,010 for each additional member. (The same increment applies to smaller

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

BILLING CODE 4184–01–P
35534 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35535

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 applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.)

BILLING CODE 4184–01–P
35536 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35537

BILLING CODE 4184–01–C
35538 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

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

program where one or more programs require

a breakdown by function or activity, prepare

a separate sheet for each program requiring

the breakdown. Additional sheets should be

used when one form does not provide

adequate space for all breakdown of data

required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) Through (g.)

For new applications, leave Columns (c)

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

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

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

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

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

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

needed for the upcoming period. The

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

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

For supplemental grants and changes to

existing grants, do not use Columns (c) and

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

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increases or decrease of non-Federal funds.

In Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

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

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B. Budget Categories

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

enter the titles of the same programs,

functions, and activities shown on Lines 1–

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

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

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

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total of amounts on

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

grants and continuation grants the total

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

same as the total amount shown in Section

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

grants and changes to grants, the total

amount of the increase or decrease as shown

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

same as the sum of the amounts in Section

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

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8–11—Enter amounts of non-Federal

resources that will be used on the grant. If

in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contributions if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

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

(c), and (d).

Line 12—Enter the total for each of

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

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts of

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

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

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

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

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individual direct object-class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

Attachment D—Assurances—NonConstruction 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,
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35539

or documents related to the award; and will

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest, or personal gain.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

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

4763) relating to prescribed standards for

merit systems for programs funded under one

of the nineteen statutes or regulations

specified in Appendix A of OPM’s Standards

for a Merit System of Personnel

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

6. Will comply with all Federal statutes

relating to nondiscrimination. These include

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

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

prohibits discrimination on the basis of race,

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

Education Amendments of 1972, as amended

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

which prohibits discrimination on the basis

of sex; (c) Section 504 of the Rehabilitation

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

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

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

6107), which prohibits discrimination on the

basis of age;

(e) the Drug Abuse Office and Treatment

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

relating to nondiscrimination on the basis of

drug abuse; (f) the Comprehensive Alcohol

Abuse and Alcoholism Prevention,

Treatment and Rehabilitation Act of 1970

(P.L. 91–616), as amended, relating to

nondiscrimination on the basis of alcohol

abuse or alcoholism; (g) §§ 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C.

290 dd–3 and 290 ee-3), as amended, relating

to confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil

Rights Act of 1968 (42 U.S.C. § 3601 et seq.),

as amended, relating to nondiscrimination in

the sale, rental or financing of housing; (i)

any other nondiscrimination provisions in

the specific statute(s) under which

application for Federal assistance is being

made; and (j) the requirements of any other

nondiscrimination statute(s) which may

apply to the application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

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

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply 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.

11. Will comply with environmental

standards which may be prescribed pursuant

to the following: (a) institution of

environmental quality control measures

under the National Environmental Policy Act

of 1969 (P.L. 91–190) and Executive Order

(EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection

of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in

accordance with EO 1988; (e) assurances 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 system.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

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

(identification and protection of historic

properties), and the Archaeological and

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

469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award of

assistance.

15. Will comply with the Laboratory

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

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

the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

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

et seq.) which prohibits the use of lead based

paint in construction or rehabilitation of

residence structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act of

1984.

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations and policies

governing this program.

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Signature of authorized certifying official

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Applicant organization

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Date submitted

BILLING CODE 4184–01–P
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BILLING CODE 4184–01–C
35542 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

Attachment F—Certification Regarding

Debarment, Suspension, and Other

Responsibility Matters—Primary

Covered Transactions

By signing and submitting this proposal,

the applicant, defined as the primary

participant in accordance with 45 CFR Part

76, certifies to the best of its knowledge and

belief that it and its principals:

(a) are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from covered

transactions by any Federal Department or

agency;

(b) have not within a 3-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for obtaining, attempting to obtain, or

performing a public (Federal, State, or local)

transaction or contract under a public

transaction; violation of Federal or State

antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property.

(c) are not presently indicated or otherwise

criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) have not within a 3-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

The inability of a person to provide the

certification required above will not

necessarily result in denial of participation in

this covered transaction. If necessary, the

prospective participant shall submit an

explanation of why it cannot provide the

certification. The certification or explanation

will be considered in connection with the

Department of Health and Human Services’

(HHS) determination whether to enter into

this transaction. However, failure of the

prospective primary participant to furnish a

certification or an explanation shall

disqualify such person from participation in

this transaction.

The prospective primary participant agrees

that by submitting this proposal, it will

include the clause entitled ‘‘Certification

Regarding Debarment, Suspension,

Ineligibility, and Voluntary Exclusion—

Lower Tier Covered Transactions’’ provided

below without modification in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

(To Be Supplied to Lower Tier Participants)

By signing and submitting this lower tier

proposal, the prospective lower tier

participant, as defined in 45 CFR Part 76,

certifies to the best of its knowledge and

belief that it and its principals:

(a) are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from participation in

this transaction by any federal department or

agency.

(b) where the prospective lower tier

participant is unable to certify to any of the

above, such prospective participant shall

attach an explanation to this proposal.

The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause entitled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility, and Voluntary

Exclusion—Lower Tier Covered

Transactions’’ without modification in all

lower tier covered transactions and in all

solicitations for lower tier covered

transactions.

Attachment G—Certification Regarding

Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

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

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

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

who fails to file the required certification

shall be subject to a civil penalty of not less

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

each such failure.

State for Loan Guarantee and Loan

Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form–LLL ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

Submission of this statement is a

prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

BILLING CODE 4184–01–P
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BILLING CODE 4184–01–C
35544 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

Attachment I—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 $1,000 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 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 meet 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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Organization

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Authorized Signature

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Title

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Date

Attachment K—Low-Income Home Energy

Assistance Act of 1981, Omnibus Budget

Reconciliation Act of 1981

[Public Law 97–35, August 13, 1981, as

amended (95 Stat. 357)]

* * * * *

Title XXVI—Low-Income Home Energy

Assistance

Short Title

Sec. 2601

This title may be cited as the ‘‘Low-Income

Home Energy Assistance Act of 1981’’

Applications and Requirements

Sec. 2605

* * * * *

(b) As part of the annual application

required by subsection (a), the chief

executive officer of each State shall certify

that the State agrees to—

* * * * *

(2) make payments under this title only

with respect to—

(A) households in which 1 or more

individuals are receiving—

(i) aid to families with dependent children

under the State’s plan approved under part

A of title IV of the Social Security Act (other

than such aid in the form of foster care in

accordance with section 408 of such Act);

(ii) supplemental security income

payments under title XVI of the Social

Security Act;

(iii) food stamps under the Food Stamp Act

of 1977; or

(iv) payments under section 415, 521, 541,

or 542 of title 38, United States Code, or

under section 306 of the Veterans’ and

Survivors’ Pension Improvement Act of 1978;

or

(B) households with incomes which do not

exceed the greater of—

(i) an amount equal to 150 percent of the

poverty level for such State; or

(ii) an amount equal to 60 percent of the

State median income;

except that a State may not exclude a

household from eligibility in a fiscal year

solely on the basis of household income if

such income is less than 110 percent of the

poverty level for such State, but the State

may give priority to those households with

the highest home energy costs or needs in

relation to household income;

(3) conduct outreach activities designed to

assure that eligible households, especially

households with elderly individuals or

disabled individuals, or both, and

households with high home energy burdens,

are made aware of the assistance available

under this title, and any similar energyrelated assistance available under subtitle B

of title VI (relating to community services

block grant program) or under any other

provision of law which carries out programs

which were administered under the

Economic Opportunity Act of 1964 before the

date of the enactment of this Act;

(4) coordinate its activities under this title

with similar and related programs

administered by the Federal Government and

such State, particularly low-income energyrelated programs under subtitle B of title VI

(relating to community services block grant

program), under the supplemental security

income program, under part A of title IV of

the Social Security Act, under title XX of the

Social Security Act, under the low-income

weatherization assistance program under title

IV of the Energy Conservation and

Production Act, or under any other provision

of law which carries out programs which

were administered under the Economic

Opportunity Act of 1964 before the date of

the enactment of this Act;

(5) provide, in a timely manner, that the

highest level of assistance will be furnished

to those households which have the lowest

incomes and the highest energy costs or

needs in relation to income, taking into

account family size, except that the State may

not differentiate in implementing this section

between the households described in clauses

(2)(A) and (2)(B) of this subsection;

(6) if the State chooses to pay home energy

suppliers directly, establish procedures to—

(A) notify each participating household of

the amount of assistance paid on its behalf;

(B) assure that the home energy supplier

will charge the eligible household, in the

normal billing process, the difference

between the actual cost of the home energy

and the amount of the payment made by the

State under this title;

(C) assure that the home energy supplier

will provide assurances that any agreement

entered into with a home energy supplier

under this paragraph will contain provisions

to assure that no household receiving

assistance under this title will be treated

adversely because of such assistance under

applicable provisions of State law or public

regulatory requirements; and

(D) ensure that the provision of vendored

payments remains at the option of the State

in consultation with local grantees and may

be contingent on unregulated vendors taking

appropriate measures to alleviate the energy

burdens of eligible households, including

providing for agreements between suppliers

and individuals eligible for benefits under

this Act that seek to reduce home energy

crisis, and encourage regular payments by

individuals receiving financial assistance for

home energy costs;

(10) provide that such fiscal control and

fund accounting procedures will be

established as may be necessary to assure the

proper disbursal of and accounting for

Federal funds paid to the State under this

title, including procedures for monitoring the

assistance provided under this title, and

provide that the State will comply with the

provisions of chapter 75 of title 31, United

States Code (commonly known as the ‘‘Single

Audit Act’’);

(11) permit and cooperate with Federal

investigations undertaken in accordance with

section 2608;

(12) provide for timely and meaningful

public participation in the development of

the plan described in subsection (c);

(13) provide an opportunity for a fair

administrative hearing to individuals whose

claims for assistance under the plan

described in subsection (c) are denied or are

not acted upon with reasonable promptness;

(14) cooperate with the Secretary with

respect to data collecting and reporting under

section 2610;

* * * * *

(d) The State shall expend funds in

accordance with the State plan under this

title or in accordance with revisions

applicable to such plan.

(e) Each State shall, in carrying out the

requirements of subsection (b)(10), obtain
Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices 35545

financial and compliance audits of any funds

which the State receives under this title.

Such audits shall be made public within the

State on a timely basis. The audits shall be

conducted in accordance with chapter 75 of

title 31, United States Code.

(f)(1) Notwithstanding any other provision

of law unless enacted in express limitation of

this paragraph, the amount of any home

energy assistance payments or allowances

provided directly to, or indirectly for the

benefit of, an eligible household under this

title shall not be considered income or

resources of such household (or any member

thereof) for any purpose under any Federal

or State law, including any law relating to

taxation, food stamps, public assistance, or

welfare programs.

(2) For purposes of paragraph (1) of this

subsection and for purposes of determining

any excess shelter expense deduction under

section (5)(e) of the Food Stamp Act of 1977

(7 U.S.C. 2014(e))—

(A) the full amount of such payments or

allowances shall be deemed to be expended

by such household for heating or cooling

expenses, without regard to whether such

payments or allowances are provided directly

to, or indirectly for the benefit of, such

household; and

(B) no distinction may be made among

households on the basis of whether such

payments or allowances are provided directly

to, or indirectly for the benefit of, any of such

households.

(g) The State shall repay to the United

States amounts found not to have been

expended in accordance with this title or the

Secretary may offset such amounts against

any other amount to which the State is or

may become entitled under this title.

(h) The Comptroller General of the United

States shall, from time to time (but not less

frequently than every three years), evaluate

the expenditures by States of grant under this

title in order to assure that expenditures are

consistent with the provisions of this title

and to determine the effectiveness of the

State in accomplishing the purposes of this

title.

(i) A household which is described in

subsection (b)(2)(A) solely by reason of

clause (ii) thereof shall not be treated as a

household described in subsection (b)(2) if

the eligibility of the household is dependent

upon—

(1) an individual whose annual

supplemental security income benefit rate is

reduced pursuant to section 1611(e)(1) of the

Social Security Act by reason of being in an

institution receiving payments under title

XIX of the Social Security Act with respect

to such individual;

(2) an individual to whom the reduction

specified in section 1612(a)(2)(A)(1) of the

Social Security Act applies; or

(3) a child described in section 1614(f)(2)

of the Social Security Act who is living

together with a parent, or the spouse of a

parent, of the child.

(j) In verifying income eligibility for

purposes of subsection (b)(2)(B), the State

may apply procedures and policies

consistent with procedures and policies used

by the State agency administering programs

under part A of title IV of the Social Security

Act, under title XX of the Social Security Act,

under subtitle B of title VI of this Act

(relating to community services block grant

program), under any other provision of law

which carries out programs which were

administered under the Economic

Opportunity Act of 1964 before the date of

the enactment of this Act, or under other

income assistance or service programs (as

determined by the State).

Nondiscrimination Provisions

Sec. 2606

(a) No person shall on the ground of race,

color, national origin, or sex be excluded

from participation in, be denied the benefits

of, or be subjected to discrimination under,

any program or activity funded in whole or

in part with funds made available under this

title. Any prohibition against discrimination

on the basis of age under the Age

Discrimination Act of 1975 or with respect to

an otherwise qualified handicapped

individual as provided in section 504 of the

Rehabilitation Act of 1973 also shall apply to

any such program or activity.

(b) Whenever the Secretary determines that

a State that has received a payment under

this title has failed to comply with subsection

(a) or an applicable regulation, he shall notify

the chief executive officer of the State and

shall request him to secure compliance. If

within a reasonable period of time, not to

exceed 90 days, the chief executive officer

fails or refuses to secure compliance, the

Secretary is authorized to (1) refer the matter

to the Attorney General with a

recommendation that an appropriate civil

action be instituted; (2) exercise the powers

and functions provided by title VI of the Civil

Rights Act of 1964, the Age Discrimination

Act of 1975, or section 504 of the

Rehabilitation Act of 1973, as may be

applicable; or (3) take such other action as

may be provided by law.

(c) When a matter is referred to the

Attorney General pursuant to subsection (b),

or whenever he has reason to believe that the

State is engaged in a pattern or practice in

violation of the provisions of this section, the

Attorney General may bring a civil action in

any appropriate United States district court

for such relief as may be appropriate,

including injunctive relief.

(42 U.S.C. 8625)

PART 96—BLOCK GRANTS

Subpart A—Introduction

Sec.

96.1 Scope.

96.2 Definitions.

96.3 Information collection approval

numbers.

Subpart B—General Procedures

96.10 Prerequisites to obtain block grant

funds.

96.11 Basis of award to the States.

96.12 Grant payment.

96.13 Reallotments.

96.14 Time period for obligation and

expenditure of grant funds.

96.15 Waivers.

96.16 Applicability of Title XVII of the

Reconciliation Act (31 U.S.C. 7301–

7305).

96.17 Annual and biennial reporting

deadlines.

Subpart C—Financial Management

96.30 Fiscal and administrative

requirements.

96.31 Audits.

96.32 Financial settlement.

96.33 Referral of cases to the Inspector

General.

Subpart D—Direct Funding of Indian Tribes

and Tribal Organizations

96.40 Scope.

96.41 General determination.

96.42 General procedures and

requirements.

96.43 Procedures during FY 1982.

96.44 Community services.

96.45 Preventive health and health services.

96.46 Alcohol and drug abuse and mental

health services.

96.47 Primary care.

96.48 Low-income home energy assistance.

Subpart E—Enforcement

96.50 Complaints.

96.51 Hearings.

96.52 Appeals.

Subpart F—Hearing Procedure

96.60 Scope.

96.61 Initiation of hearing.

96.62 Presiding officer.

96.63 Communications to presiding officer.

96.64 Intervention.

96.65 Discovery.

96.66 Hearing procedure.

96.67 Right to counsel.

Subpart G—Social Services Block Grants

96.70 Scope.

96.71 Definitions.

96.72 Transferability of funds.

96.73 Sterilization.

Subpart H—Low Income Home Energy

Assistance Program

96.80 Scope.

96.81 Reallotment report.

96.82 Required report.

96.83 Increase in maximum amount that

may be used for weatherization and

other energy related home repair.

96.84 Miscellaneous.

96.85 Exemption from requirement for

additional outreach and intake services.

96.86 Exemption from requirement for

additional outreach and intake services.

96.87 Leveraging incentive program.

96.88 Administrative costs.

96.89 Exemptions from standards for

providing energy crisis intervention

assistance.

Attachment M

In view of the numerous legislative

requirements of the REACH Program as to

elements and assurances in the REACH Plan,

the following ‘‘REACH Plan Elements and

Assurances Checklist’’ has been prepared as

Attachment L, for the assistance of applicants

under Priority Areas 1.0 and 2.0.
35546 Federal Register / Vol. 61, No. 130 / Friday, July 5, 1996 / Notices

REACH Plan Elements and Assurances

Checklist

A. Service delivery through communitybased nonprofit entity. (For applicants under

Priority Area 1.0 only.)

[Include in Plan Elements I, II, and IV]

B. Priority given to CSBG eligible entities

that are successful LIHEAP service providers

and receive Weatherization Assistance

Program funds from the Department of

Energy. (For applicants under Priority Area

1.0 only.)

[Include in Plan Element II and attach

letter(s) of certification as described therein]

C. Each CBO Recipient to provide a variety

of services, to include:

(i) payments to, or on behalf of, individuals

eligible for residential energy assistance

services and benefits under section 2605(b)

for home energy costs;

(ii) energy efficiency education;

(iii) residential energy demand

management services, including any other

energy related residential repair and energy

efficiency improvements in coordination

with, or delivered by, Department of Energy

weatherization assistance programs at the

discretion of the State;

(iv) family services, such as counseling and

needs assessment, related to energy budget

management, payment plans, and related

services; and

(v) negotiation with home energy suppliers

on behalf of households eligible for REACH

services and benefits;

[Include in Plan Element I, and for applicants

under Priority Area 1.0, Element III also, as

appropriate]

D. a description of the methodology the

State and local agencies will use to

determine—

(i) which households will receive one or

more forms of benefits under the State

REACH initiative;

(ii) the cases in which nonmonetary

benefits are likely to provide more costeffective long-term outcomes than payment

benefits alone; and

(iii) the amount of such benefit required to

meet the goals of the program;

[Include in Elements I(b), I(c), and for

applicants under Priority Area 1.0, Elements

III and VI also, as appropriate]

E. (F.) a method for targeting nonmonetary

benefits;

[Include in Elements I(a), I(b), IV (under

Priority Area 1.0), and III, (under Priority

Area 2.0)]

G. a description of the crisis and

emergency assistance activities the State will

undertake are designed to—

(i) discourage family energy crises;

(ii) encourage responsible vendor and

consumer behavior; and

(iii) provide only financial incentives that

encourage household payment;

[Include in Element I and, under Priority

Area 1.0, Element III also, as appropriate]

H. a description of the activities the State

will undertake to—

(i) provide incentives for recipients of

assistance to pay home energy costs; and

(ii) provide incentives for vendors to help

reduce the energy burdens of recipients of

assistance;

[Include as appropriate in Element I and,

under Priority Area 1.0, Elements III and IV

also, as appropriate]

I. an assurance that the State will require

each entity that receives a grant or enters into

a contract under this section to solicit and be

responsive to the views of individuals who

are financially eligible for benefits and

services under this section in establishing its

local program;

[Include in Elements I(a) and I(c)]

J. a description of performance goals for the

State REACH initiative including—

(i) a reduction in the energy costs on

participating households over one or more

fiscal years;

(ii) an increase in the regularity of home

energy bill payments by eligible households;

and

(iii) an increase in energy vendor

contributions towards reducing energy

burdens of eligible households;

[Include in Element I(b) and, under Program

Area 1.0, Element VI also]

K. a description of the indicators that will

be used by the State to measure whether the

performance goals have been achieved;

[Include in Element VI]

L. a demonstration that the plan is

consistent with Section paragraphs (2), (3),

(4), (5), (7), (10), (11), (12), (13), and (14) of

section 2605(b) of the Low Income Home

Energy Assistance Act of 1981, as amended;

subsections (d), (e), (f), (g), (h), (i), and (j) of

section 2605; and section 2606 of this title;

[See Attachment K for texts of these Sections

and subsections; include as appropriate in

Elements I, III, IV, and VII]

M. an assurance that benefits and services

will be provided in addition to other benefit

payments and services provided under this

title and in coordination with such benefit

payments and services;

[Include in Element I]

N. an assurance that no regulated utility

covered by the plan will be required to act

in a manner that is inconsistent with

applicable regulatory requirements.

[Include in Element VII]

[FR Doc. 96–16558 Filed 7–2–96; 12:02 pm]

BILLING CODE 4184–01–P–M