[Federal Register Volume 67, Number 153 (Thursday, August 8, 2002)]
[Notices]
[Pages 51670-51696]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-19770]
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Part III
Department of Health and Human Services
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Administration for Children and Families
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Request for Applications for the Office of Community Services' Fiscal
Year 2002 Community Economic Development Program-Special Initiatives;
Notice
Federal Register / Vol. 67, No. 153 / Thursday, August 8, 2002 /
Notices
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OCS-2002-16]
Request for Applications for the Office of Community Services'
Fiscal Year 2002 Community Economic Development Program-Special
Initiatives
AGENCY: Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (HHS).
ACTION: Announcement of availability of funds and request for
competitive applications under the Office of Community Services'
Community Services Block Grant--Discretionary Awards--Special
Initiatives for the Community Economic Development Program (CEDP).
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SUMMARY: The Administration for Children and Families (ACF), Office of
Community Services (OCS), announces that competing applications will be
accepted for the award of cooperative agreements pursuant to the
Secretary's Community Economic Development authority under section 680
(a)(1) and (2) of the Community Services Block Grant Act of 1981, as
amended, (Pub. L. 105-285). This Program Announcement contains forms
and instructions for submitting an application. The awarding of
cooperative agreements under this Program Announcement are subject to
the availability of funds for support of these activities.
The Office of Community Services (OCS) proposes to provide funds in
Fiscal Year 2002 to provide administration and management expertise
(Priority Area 1) through a Community Development Corporation (CDC)
with nationwide experience to share its experience in dealing with day-
to-day project related issues and challenges in promoting community
economic development. The organization must have documented experience
on a nationwide basis.
OCS also proposes to provide funds to a private, non-profit
organization with nationwide experience for the purpose of providing
training and technical assistance (Priority Area 2) to strengthen the
network of CDCs.
DATES: The closing time and date for submission of applications for
Fiscal Year 2002 is at 4:30 PM (Eastern Time Zone) September 9, 2002.
Applications received after this date will be classified as late and
will not be accepted for consideration. See Part IV of this
announcement for more information on submitting applications.
FOR FURTHER INFORMATION CONTACT: Mr. Ros Relaford, Technical Assistance
Manager, OCS Operations Center at 1-800-281-9519 for referral to the
appropriate contact person in OCS for programmatic questions or send an
e-mail to: [email protected] or contact Calvin Brockington at (202) 401-
5273.
For a copy of this announcement, contact: OCS Operations Center,
1815 North Fort Myer Drive, Suite 300, Arlington, Virginia 22209,
1(800) 281-9519.
In addition, the announcement is accessible on the OCS web site for
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm.
The Catalog of Federal Domestic Assistance number for this program
is 93.570. The title is Community Services Block Grant--Discretionary
Awards--Special Initiatives.
SUPPLEMENTARY INFORMATION: This Program Announcement consists of seven
parts plus attachments:
Part I: Background Information
A. Legislative Authority
B. Departmental Goals
C. Form of Award
D. Definition of Terms
E. Eligible Applicants
Part II: Program Objectives and Requirements
A. Duties and Responsibilities of Applicant and Grantor Agency
B. Program Priority Areas
C. Project Requirements
D. Project and Budget Periods
E. Mobilization of Resources
F. Program Beneficiaries
G. Number of Projects in Application
H. Multiple Submittal
I. Sub-awarding or Delegating Projects
J. Funding Considerations
K. Prohibited Activities
L. Community Empowerment and Collaboration
Part III: The Project Description, Program Proposal Elements and
Review Criteria
A. Purpose
B. Project Summary/Abstract
C. Objectives and Need for Assistance
D. Results or Benefits Expected
E. Approach
F. Organizational Profiles
G. Budget and Budget Justification
H. Evaluation Criteria
Part IV: Application Procedures
A. Application Development/Availability of Forms
B. Application Submission
C. Intergovernmental Review
D. Initial OCS Screening
E. Consideration of Applications
Part V: Instructions for Completing Forms SF-424
A. SF-424--Application for Federal Assistance (Attachment B)
B. SF-424A--Budget Information--Non-Construction Programs
(Attachment C)
C. SF-424B--Assurances--Non-Construction Programs (Attachment D)
Part VI: Contents of Application and Receipt Process
A. Contents of Application
B. Application Format
C. Acknowledgment of Receipt
Part VII: Post Award Information and Reporting Requirements
A. Notification of Grant Award or Cooperative Agreement
B. Reporting Requirements
C. Audit Requirements
D. Prohibitions and Requirements with Regard to Lobbying
E. Applicable Federal Regulations
Paperwork Reduction Act of 1995 (Public Law 104-13)
Public reporting burden for this collection of information is
estimated to average 10 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed and
reviewing the collected information.
The project description is approved under OMB control number 0970-
0139 which expires 12/31/2003.
An agency may not conduct or sponsor, and a person is not required
to respond to an information request from an agency unless a currently
valid OMB control number is displayed.
Part I. Background Information
A. Legislative Authority
The Community Services Block Grant (CSBG) Act of 1981, as amended,
(Section 680(a) (1), (2), and (4) of the Community Opportunities,
Accountability, and Training and Educational Services Act of 1998),
authorizes the Secretary to make grants or provide cooperative
agreements to provide technical and financial assistance for economic
development activities designed to address the economic needs of low-
income individuals and families by creating employment and business
ownership opportunities.
B. Departmental Goals
This announcement is particularly relevant to the departmental goal
of strengthening the American family and promoting self-sufficiency.
The Community Economic Development Program has objectives of increasing
the access of low-income people to employment and business development
opportunities, and improving the integration, coordination, and
continuity of the various HHS (and other Federal Departments) funded
services potentially available to families living in poverty. Faith-
based organizations are eligible to apply for grants and cooperative
agreements
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under this program if they are private, non-profit organizations.
C. Form of Award
The Office of Community Services plans to support all Priority
Areas of the Community Services Block Grant--Discretionary Awards--
Special Initiatives through Cooperative Agreements. A Cooperative
Agreement is an award instrument of financial assistance when
substantial involvement is anticipated between the awarding federal
office and the recipient during the performance of the contemplated
project.
The Office of Community Services (OCS) and the successful applicant
will function as partners sharing responsibility for the design,
coordination, and implementation of the project. OCS Staff will be the
Administration of Children and Families' (ACF) representatives
primarily responsible for efforts under this cooperative agreement. In
addition, ACF regional office staff may work closely with OCS and the
applicant in planning and implementing the proposed work plan of the
project. The purpose of the cooperative agreement is to ensure
cooperation and coordination between OCS and the organization receiving
funds.
The Office of Community Services will outline a plan of interaction
with the funded organization for implementation under the cooperative
agreement. The respective responsibilities of the Office of Community
Services and the successful applicant will be identified and
incorporated into the Cooperative Agreement during pre-award
negotiations. The OCS responsibilities will not change the project
requirements found in this Announcement.
The plan under the cooperative agreement will describe the general
and specific responsibilities of the funded organization and the
grantor. A schedule of tasks will be developed and agreed upon in
addition to any special conditions relating to implementation of the
project.
D. Definition of Terms
For purposes of this Program Announcement, the following
definitions apply:
Beneficiaries: Low-income people (as defined in the most recent
annual revision of the Poverty Income Guidelines published by DHHS) and
low-income communities receive direct benefits.
Budget period: The interval of time into which a grant period of
assistance is divided for budgetary and funding purposes.
Building deconstruction: The systematic disassembly of residential
and commercial buildings.
Cash contributions: The recipient's cash outlay, including the
outlay of money contributed to the recipient by the third parties.
Community Development Corporation (CDC): A private, non-profit
corporation, governed by a board of directors consisting of residents
of the community and business and civic leaders, that has as a
principal purpose planning, developing, or managing low-income housing
or community development projects.
Community Economic Development (CED): A process by which a
community uses resources to attract capital and increase physical,
commercial, and business development and job opportunities for its
residents.
Cooperative Agreement: An award instrument of financial assistance
when substantial involvement is anticipated between the awarding office
and the recipient during performance of the contemplated project.
Distressed community: A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
Eligible applicant: A private, non-profit organization. (Also, see
``Eligible Applicants'' under Part B--Application Pre-Requisites and
also Program Priority Areas under Part C.)
Empowerment Zones and Enterprise Communities (EZ/EC): Those
communities designated as such by the Secretary of Agriculture or
Secretary of Housing and Urban Development.
Faith-Based Non-Profit Organization: A non-profit organization that
has a religious character.
Intervention: Any planned activity within a project that is
intended to produce changes in the target population and/or the
environment and that can be formally evaluated. For example, assistance
in the preparation of a business plan and loan package are planned
interventions.
Job creation: New jobs, i.e. jobs not in existence prior to the
start of the project, that result from new business startups, business
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
Job placement: Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
Letter of commitment: A signed letter or agreement from a third
party to the applicant that pledges financial or other support for the
grant activities only subject to receiving an award of OCS grant funds.
Poverty Income Guidelines: The official poverty line defined by the
Office of Management and Budget, as revised and published annually by
the U.S. Department of Health and Human Services that establish the
level of poverty defined as low-income for individuals and their
families.
Program income: Gross income earned by the grant recipient that is
directly generated by an activity supported with grant funds or earned
as a result of the award.
Project period: The total time for which a project is approved for
OCS support, including any approved extensions.
Self-employment: The state of an individual or individuals who
engage in self-directed economic activities.
Self-sufficiency: The economic state for an individual or family
where public assistance is not required to maintain a comfortable
living standard.
Sub-award: An award of financial assistance in the form of money,
or property in lieu of money, made under an award by a recipient to an
eligible sub-recipient or by a sub-recipient to a lower tier sub-
recipient. The term includes financial assistance when provided by any
legal agreement, even if the agreement is called a contract, but does
not include procurement of goods and services nor does it include any
form of assistance which is excluded from the definition of ``award''
in 45 CFR 74.2.
(Note: Sub-awards do not include equity investments or loan
transactions since they are promulgated under third party agreements.)
Technical assistance: A problem-solving event generally utilizing
the services of a specialist. Such services may be provided on-site, by
telephone, or by other communications. These services address specific
problems and are intended to assist with the immediate resolution of a
given problem or set of problems.
Temporary Assistance to Needy Families (TANF): Title I of the
Personal Responsibility and Work Opportunity Reconciliation Act of 1996
(Pub. L. 104-193) created the TANF program which replaced the
entitlement program that guaranteed public assistance to individuals in
economic distress. The TANF program requires work in exchange for time-
limited assistance. The law specifically repeals the Aid to Families
with Dependent Children (AFDC) program, Emergency
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Assistance(EA) and Job Opportunities and Basic Skills Training (JOBS)
programs, and replaces them with a block grant entitlement to States
under Title IV-A of the Social Security Act.
Third party: Any individual, organization, or business entity that
is not the direct recipient of grant funds.
Third party in-kind contributions: The value of non-cash
contributions provided by non-federal third parties which may be in the
form of real property, equipment, supplies and other expendable
property, and the value of goods and services directly benefitting and
specifically identifiable to the project or program.
E. Eligible Applicants
An eligible applicant must be a private, non-profit organization.
The organization must have significant and relevant experience working
with community development corporations, foundations, financial
institutions and other community-based organizations. The applicant
must provide proof of its non-profit status. The non-profit agency can
accomplish this by providing a copy of either the applicant's listing
in the Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations, a copy of the currently valid IRS tax exemption
certificate, or a copy of the articles of incorporation bearing the
seal of the State in which the corporation or association is domiciled.
Faith-based organizations meeting the requirements of section 680(a)(2)
or (4) are eligible to apply.
All eligible applicants must have private, non-profit status at the
time of submission of their application. In addition to non-profit
status, each priority area of this program announcement has additional
eligibility requirements. These requirements are identified in the
narrative descriptions of each priority area found in Part C. Applicant
must submit proof of non-profit status in its application at the time
of submission. Applications that do not include proof of this status
with their application will be disqualified.
Part II--Program Objectives and Requirements
The Office of Community Services (OCS) invites eligible applicants
to submit competing grant applications for the award of two Cooperative
Agreements for the Community Services Block Grant--Discretionary
Awards--Special Initiatives. The Community Services Block Grant--
Discretionary Awards--Special Initiatives provide funds to cover the
following areas: Administrative Management and Training and Technical
Assistance for Community Economic Development Program grantees.
A. Duties and Responsibilities of Applicant and Grantor Agency
The duties and responsibilities of the applicant and ACF/OCS in
fulfilling the Cooperative Agreement during each phase will include the
following:
The Applicant--Role and Responsibilities
The successful applicant shall be responsible for the following:
1. In collaboration with OCS, design, coordinate, and implement the
project according to requirements accompanying each priority area.
2. Attend a 2-3 day meeting in Washington, D.C. to discuss and
finalize the major goals and objectives of the overall project, the
fiscal year work plans, and exchange and share information on
strategies for achieving the goals and objectives of the project.
3. Establish subordinate objectives to guide the focus of their
research based upon the needs assessed in the major objectives.
4. Participate in the annual orientation meeting for newly funded
grantees of the Community Economic Development Program (CEDP).
ACF/OCS--Role and Responsibilities
The grantor agency, ACF/OCS, shall be responsible for the
following:
1. Throughout the term of the Agreement, provide the time and
expertise of OCS to help the applicant implement the goals and
objectives of the project. Specifically, OCS will organize periodic
consultations and teleconferences to review planned activities, to
share information, and to promote nationwide coordination.
2. Provide to the applicant a complete listing of current CEDP
grantees.
3. Organize a 2-3 day meeting in Washington, D.C. to discuss and
finalize the major goals and objectives of the overall project, the
fiscal year work plans, and to exchange program information, and to
share information on strategies for achieving the goals and objectives
of the project.
4. Throughout the term of this Agreement, review and comment on
required progress reports and other relevant materials prior to their
finalization.
5. Throughout the term of this Agreement, make available to the
applicant program information and/or products from OCS activities that
are available and relevant to the project.
6. Throughout the term of this Agreement, promote the involvement
of the applicant in meetings, conferences, and other initiatives to
strengthen their knowledge and resource base for providing effective
assistance to OCS and CEDP grantees.
7. Host the annual orientation and training meeting for newly
funded CEDP grantees.
B. Program Priority Areas
The Community Services Block Grant--Discretionary Awards--Special
Initiatives has two priority areas.
Priority Area 1--Administration and Management (AM)
Is intended to provide administrative and management expertise to
current Office of Community Services' CDC grantees that are
experiencing problems in the implementation of urban and rural
community economic development projects.
Priority Area 2--Training and Technical Assistance (UT)
Makes funds available to provide training and technical assistance
to groups of community development corporations in developing or
implementing projects funded under this section; its aim is to
generally enhance the viability and competence of community development
corporations.
This priority area also seeks to attract additional private capital
into distressed communities, including empowerment zones and enterprise
communities, and to build and/or expand the ability of local
institutions to better serve the economic needs of local residents.
The estimated level of funding available under each area is:
1. (AM)--$ 500,000.00
2. (UT)--$ 270,000.00
C. Project Requirements
The project requirements for each priority areas are as follows:
Priority Area 1--Administration and Management
OCS believes that one of the most effective means of ensuring the
successful operation of a project under the CED Program area is through
the sharing among CDCs of their experiences in dealing with the day-to-
day issues and challenges presented in promoting community economic
development. Accordingly, OCS strongly encourages more experienced
private, non-profit CDCs to share their administrative and management
expertise with less experienced CDCs or with those who have encountered
difficulties in implementing their work programs. In order to
facilitate this, OCS will provide funds to one community development
corporation to assist with
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its efforts to enhance the management and operational capacities of the
less experienced CDCs or those having difficulties.
An applicant in this priority area must document its experience and
capability to operate on a national basis in several of the following
areas:
Business/development;
Micro-entrepreneurship development;
Commercial development;
Organizational and staff development;
Board training;
Business management, including strategic planning and
fiscal management;
Finance, including business packaging and financial/
accounting services;
Regulatory compliance including zoning and permit
compliance;
Incubator development;
Tax credits and bond financing; and Marketing.
Eligible applicants are private, non-profit, organizations that are
community development corporations. Applicants must be able to operate
on a national basis and have significant and relevant experience in
working with community development corporations.
The applicant must document staff competence or the accessibility
of third party resources with proven competence. If the work program in
the proposal requires the significant use of third party (consultant/
contractor) resources, those resources should be identified and resumes
of the individuals or key organizational staff provided.
Resumes of the applicant's staff, who are to be directly involved
in programmatic and administrative expertise sharing, should also be
included. The applicant must document successful experience in the
mobilization of resources (both cash and in-kind) from private and
public sources. The applicant also must clearly state how the
information learned from this project may be disseminated to other
interested grantees.
OCS will share with the grantee information on other grantees
seeking to benefit from such assistance. Such formal requests could
also be initiated by a grantee with the concurrence of OCS. These
contacts may occur on-site, by telephone, or by other methods of
communication. Costs incurred in connection with participation in such
activities will be borne by the recipient(s) of the OCS grant under
this sub-priority area.
A grantee under this priority area will be expected to disseminate
results of the project via a handbook, a progress paper, evaluation
reports, general manual, or seminars/workshops.
Approximately one cooperative agreement is anticipated to be made
at $500,000 under this Priority Area. The award will provide a project
and budget period not to exceed 17 months.
Priority Area 2--Training and Technical Assistance
Funds will be awarded for the purpose of providing training and
technical assistance to strengthen the network of CDCs.
Eligible applicants are private, non-profit organizations.
Applicant must have the ability to collect and analyze data
nationally that may benefit CDCs and be able to disseminate information
to all OCS-funded grantees; publish a national directory of funding
sources for CDCs (public, corporate, foundation, religious); publish
research papers on specific aspects of job creation by CDCs; and design
and provide information on successful projects and economic niches that
CDCs can target. The applicant also will be responsible for the
development of instructional programs, national conferences, seminars,
and other activities to assist community development corporations. An
applicant in this priority area must document its experience and
capability in implementing projects national in scope and have
significant and relevant experiences in working with community
development corporations.
Approximately one cooperative agreement is anticipated to be made
for $270,000 under this Priority Area with a grant period not to exceed
17 months.
D. Project and Budget Periods
Cooperative Agreements funded under this program announcement for
all Priority Areas shall have both project and budget periods of 17
months.
E. Mobilization of Resources
OCS encourages and strongly support leveraging of resources through
public/private partnerships that can mobilize cash and/or third-party
in-kind contributions.
F. Program Beneficiaries
Projects proposed for funding under this announcement must result
in direct benefits to low-income people as defined in the most recent
annual revision of the Poverty Income Guidelines published by DHHS.
Attachment A to this announcement is an excerpt from the Poverty
Income Guidelines currently in effect. Annual revisions of these
guidelines are normally published in the Federal Register in February
or early March of each year. Grantees will be required to apply the
most recent guidelines throughout the project period. These revised
guidelines may be obtained at public libraries, Congressional offices,
or by writing the Superintendent of Documents, U.S. Government Printing
Office (GPO), Washington, DC 20402. Also, grantees may contact the OCS
Operations Center to obtain a copy of the guidelines. No other
government agency or privately defined poverty guidelines are
applicable for the determination of low-income eligibility for these
OCS programs.
Note, however, that low-income individuals granted lawful temporary
resident status under Sections 245A or 210A of the Immigration and
Nationality Act, as amended by the Immigration Reform and Control Act
of 1986 (Public law 99-603), may not be eligible for direct or indirect
assistance based on financial need under this program for a period of
five years from the date such status was granted.
G. Number of Projects in Application
All Priority Area applications shall contain only one proposed
project. Applicants that are not in compliance with this requirement
will be disqualified.
H. Multiple Submittals
There is no limit to the number of applications that an applicant
can submit under this announcement as long as each application contains
a different project.
I. Sub-awarding or Delegating Projects
OCS does not fund projects where the role of the applicant is
primarily to serve as a conduit for funds through the use of sub awards
to other organizations. In cases where the applicant proposes to make
one or more sub awards, it must retain a substantive role in the
implementation and operation of the project for which funding is
requested.
J. Funding Considerations
In cases where an applicant ranks high and is competitive, the
following may apply:
(a) Previous performance of applicants will be considered an
important determining factor in the grant decisions.
(b) Any applicant that has two or more active OCS grants may only
be funded under exceptional circumstances.
(c) Pre-award site visits may be performed for the purpose of
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undertaking assessments of many of these applications prior to OCS
making final determinations on grant awards.
K. Prohibited Activities
OCS will not consider applications that propose the establishment
of Small Business Investment Corporations or Minority Enterprise Small
Business Investment Corporations.
Projects that would result in the relocation of a business from one
geographic area to another with the possible displacement of employees
are discouraged.
L. Community Empowerment and Collaboration
Eligible organizations including faith-based organizations are
urged to submit applications.
Part III. The Project Description, Program Proposal Elements and Review
Criteria
A. Purpose
The project description provides the major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. In preparing your project
description, all information requested through each specific evaluation
criteria should be provided. Awarding offices use this and other
information in making their funding recommendations. It is important,
therefore, that this information be included in the application.
B. Project Summary/Abstract
Provide a summary of the project description (one page or less)
with reference to the funding request.
C. Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
instructional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated. Supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
D. Results or Benefits Expected
Identify the results anticipated and the benefits to be derived.
For example, describe the population to be served by the Community
Services Block Grant--Discretionary Awards--Special Initiatives.
Explain the ways in which the project will be used to reach your client
base and how it will benefit low-income participants, including whether
it may aid some participants in moving towards self-sufficiency.
E. Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people served and the number of activities
accomplished. When accomplishments cannot be quantified by activity or
function, list them in chronological order to show the schedule of
accomplishments and their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. Note that clearance from the U.S. Office of Management
and Budget (OMB) might be needed prior to a ``collection of
information'' that is ``conducted or sponsored'' by ACF. List
organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
F. Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission. The
non-profit agency can accomplish this by providing a copy of either the
applicant's listing in the Internal Revenue Service's (IRS) most recent
list of tax-exempt organizations, or the currently valid IRS tax
exemption certificate, or, the articles of incorporation bearing the
seal of the State in which the corporation or association is domiciled
which certifies that the organization has met the state's criteria as a
nonprofit organization.
G. Budget and Budget Justification
Provide a line item detail and detailed calculations for each
budget object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification that describes how
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. For purposes
of preparing the budget and budget justification, ``Federal resources''
refers only to the ACF grant for which you are applying. Non-Federal
resources are all other Federal and non-Federal resources. It is
suggested that budget amounts and computations be presented in a
columnar format: first column, object class categories; second column,
Federal budget; next column(s), non-Federal budget(s), and last column,
total budget. The budget justification should be a narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project
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(in months), time commitment to the project (as a percentage or full-
time equivalent), annual salary, grant salary, wage rates, etc. Do not
include the costs of consultants or personnel costs of delegate
agencies or of specific project(s) or businesses to be financed by the
applicant.
Fringe Benefits
Description: Costs of employee fringe benefits, unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and percentages
that comprise fringe benefit costs such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
Travel costs for key staff to attend ACF-sponsored workshops should be
detailed in the budget.
Justification: For each trip, show the total number of traveler(s),
travel destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances.
Equipment
Description: ``Equipment'' means an article of non-expendable,
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 the financial
statement purposes, or (b) $5,000.
(Note: Acquisition cost means the net invoice unit price of an item
of equipment, including the cost of any modifications, attachments,
accessories, or auxiliary apparatus necessary to make it usable for the
purpose for which it is acquired. Ancillary charges, such as taxes,
duty, protective in-transit insurance, freight, and installation shall
be included in, or excluded from, acquisition cost in accordance with
the organization's regular written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of units,
the total cost, and a plan for use on the project, as well as use or
disposal of the equipment after the project ends. An applicant
organization that uses its own definition of equipment should provide a
copy of its policy or section of its policy which includes the
equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which supports
the amount requested.
Contractual
Description: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and sub-recipients, other than States that are
required to use Part 92 procedures, must justify any anticipated
procurement action that is expected to be awarded without competition
and exceed the simplified acquisition threshold fixed at 41 U.S.C.
403(11) (currently set at $100,000.)
Recipients might be required to make available to ACF pre-award
review and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other
Description: Enter the total of all other costs. Such costs, where
applicable and appropriate, may include but are not limited to
insurance, food, medical and dental costs (non-contractual),
professional services costs, space and equipment rentals, printing and
publication, computer use, training costs such as tuition and stipends,
staff development costs, and administrative costs.
Justification: Provide computations, a narrative description and a
justification for each cost under this category.
Non-Federal Resources
Description: Amounts of non-Federal resources that will be used to
support the project as identified in Block 15 of the SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process. A detailed budget must be prepared for
each funding source.
H. Evaluation Criteria
Proposal Elements and Review Criteria for Applications
Each application which passes the initial screening described in
Part IV, Section D of this Program Announcement will be assessed and
scored by three independent reviewers.
Each reviewer will give a numerical score for each application.
These numerical scores will be supported by explanatory statements on a
formal rating form describing major strengths and weaknesses under each
applicable criterion published in the Announcement. Scoring will be
based on a total of 100 points, and for each application will be the
average of the scores of the three reviewers.
The competitive review of proposals will be based on the degree to
which applicants:
(1) Adhere to the requirements in Part II and (2) incorporate each
of the Elements and Sub-Elements below into their proposals, so as to
describe convincingly a project that will meet the requirements set
forth above.
In order to simplify the application preparation and review
process, OCS seeks to keep grant proposals cogent and brief.
Applications with project narratives (excluding Project Summaries,
Budget Justifications and Appendices) exceeding 35 letter-sized pages
of 12 c.p.i. type or equivalent on a single side will not be reviewed.
Applicants should prepare and assemble their project descriptions using
the following outline of required project elements. They should,
furthermore, build their project concept, plans, and application
description upon the guidelines set forth for each of the project
elements.
Project descriptions are evaluated on the basis of substance, not
length. Pages should be numbered consecutively and a table of contents
should be included for easy reference. Applicants are reminded that the
overall Project Narrative must not exceed 35 pages.
When writing their Project Narratives, applicants should respond to
the review criteria using the same sequential order. Each Priority area
shall be reviewed by separate review criteria.
[[Page 51676]]
Criteria for Review and Evaluation of Applications Submitted Under This
Program Announcement
(Note: The review criteria both reiterate and explain in greater
detail the information requirements contained in Part II of this
Announcement.)
Criteria for Review and Evaluation of Applications Submitted Under
Priority Area 1
a. Criterion I: Organizational Experience in Program Area and Staff
Responsibilities (Maximum: 30 points)
(1) Organizational experience in program area (sub-rating: 0-20
points) Applicant has documented experience in working with CDCs on a
national basis.
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. (0-8 points)
Applicant documents a capability (including access to a network of
skilled individuals and/or organizations) in two or more of the
following areas:
Business management, including strategic planning and fiscal
management; finance, including development of financial packages and
provision of financial/accounting services; and regulatory compliance,
including assistance with zoning and permit compliance. (0-4 points)
The applicant has the demonstrated ability to mobilize dollars from
sources such as the private sector (corporations, banks, foundations,
etc.) and the public sector, including state and local governments. (0-
2 points)
Applicant also demonstrates that it has a sound organizational
structure and proven organizational capability as well as an ability to
develop and maintain a stable program in terms of business, physical or
community development activities that have provided permanent jobs,
services, business development opportunities, and other benefits to
poverty community residents. (0-4 points)
Applicant indicates why it feels that its successful experiences
would be of assistance to existing CDC grantees that are experiencing
difficulties in implementing their projects. (0-2 points)
(2) Staff skills, resources and responsibilities (sub-rating 0-10
points)
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but who
has professional capabilities relevant to the successful implementation
of the project. If the key staff person has not yet been identified,
the application contains a comprehensive position description that
indicates that the responsibilities to be assigned to the project
director are relevant to the successful implementation of the project.
(0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-3 points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-2 points)
b. Criterion II: Work Program (Maximum: 20 points)
The applicant demonstrates in some specificity a thorough
understanding of the problems a grantee may encounter in implementing a
successful project. (0-10 points)
The application includes a strategy for assessing the specific
nature of the problems, outlining a course of action and identifying
the resources required to resolve the problems. (0-10 points)
c. Criterion III: Significant and Beneficial Impact (Maximum: 30
points)
Project funds under this sub-priority area are to be used for the
purposes of transferring expertise directly, or by a contract with a
third party, to other OCS funded CDC grantees. Applicant describes how
the success or failure of collaboration with these grantees will be
documented. (0-15 points)
Applicant demonstrates an ability to disseminate results on the
kinds of programmatic and administrative expertise transfer efforts in
which it participated and successful strategies that it may have
developed to share expertise with grantees during the grant period. (0-
10 points)
Applicant states whether the results of the project will be
included in a handbook, a progress paper, an evaluation report, a
general manual, or seminars/workshops, and why the particular
methodology chosen would be most effective. (0-5 points)
d. Criterion IV: Public-Private Partnerships (Maximum: 15 points)
Applicant demonstrates how it will design a comprehensive strategy
that makes use of other available resources to resolve typical and
recurrent CDC grantee problems.
e. Criterion V: Budget Appropriateness and Reasonableness (Maximum:
5 points)
Applicant documents that the funds requested are commensurate with
the level of effort necessary to accomplish the goals and objectives of
the project. The application includes a detailed budget breakdown for
each of the appropriate budget categories in the SF-424A. (0-3 points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-2 points)
Criteria for Review and Evaluation of Applications Submitted Under
Priority Area 2
a. Criterion I: Need for Assistance (Maximum: 10 points)
The application documents that the project addresses a vital,
nationwide need related to the purposes of CDCs and provides data and
information in support of its contention.
b. Criterion II: Organizational Experience in Program Area and
Staff Responsibilities (Maximum: 30 points)
(1) Organizational experience
Applicant has documented experience in working with CDCs.
Applicant has documented the capability to provide leadership in
solving long-term and immediate problems locally and/or nationally in
such areas as business development, commercial development,
organizational and staff development, board training, and micro-
entrepreneurship development. Applicant documents a capability
(including access to a network of skilled individuals and/or
organizations) in two or more of the following areas: Business
management, including strategic planning and fiscal management;
finance, including development of financial packages and provision of
financial/accounting services; and regulatory compliance, including
assistance with zoning and permit compliance. (0-15 points)
(2) Staff skills
The applicant's proposed project director and primary staff are
well qualified and their professional experiences are relevant to the
successful implementation of the proposed project. (0-15 points)
c. Criterion III: Work Plan (Maximum: 25 points)
The applicant has submitted a detailed and specific work plan that
is both sound and feasible. Specifically, the work plan:
(1) Demonstrates that all activities are comprehensive and
nationwide in scope, adequately described, and
[[Page 51677]]
appropriately related to the goals of the program. (0-5 points)
(2) Demonstrates in some specificity a thorough understanding of
the kinds of training and technical assistance that can be provided to
the network of community development corporations. (0-5 points)
(3) Delineates the tasks and sub-tasks involved in the areas
necessary to carry out the responsibilities, i.e. training, technical
assistance, research, outreach, seminars, etc. (0-5 points)
(4) States the intermediate and end products to be developed by
task and sub-task. (0-5 points)
(5) Provides realistic time frames and a chronology of key
activities for the goals and objectives. (0-5 points)
d. Criterion IV: Significant and Beneficial Impact (Maximum: 25
points)
Project funds will be used for the purpose of providing training
and technical assistance on a national basis to the network of
community development corporations.
The applicant describes how:
(1) The project will assure long-term program and management
improvements for community development corporations. (0-10 points)
(2) The project will impact on a significant number of community
development corporations. (0-10 points)
(3) The project will leverage or mobilize significant other non-
federal resources for the direct benefit of the project. (0-5 points)
e. Criterion V: Budget Reasonableness (Maximum: 10 points)
(1) The resources requested are reasonable and adequate to
accomplish the project. (0-5 points)
(2) Total costs are reasonable and consistent with anticipated
results. (0-5 points)
Part IV. Application Procedures
A. Application Development/Availability of Forms
To be considered for a grant under this program announcement, an
application must conform to the Program Requirements set out in Part II
and be prepared in accordance with the guidelines set out in Part III.
It must be submitted on the forms supplied in the attachments to this
Announcement and in the manner prescribed below. Attachments A through
K contain all standard forms necessary to apply for awards under this
OCS program. These attachments and Parts V and VI of this Announcement
contain all the general instructions required for submitting
applications.
Additional copies 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
Announcement is accessible on the Internet through the OCS Website for
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/kits1.htm under ``Funding Opportunities.''
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace, the
Certification Regarding environmental tobacco smoke, and debarment
regulations set forth in Attachments E, J, and F.
PART III contains instructions for the substance and development of
the project narrative. PART V contains instructions for completing
application forms. PART VI, Section A, describes the contents and
format of the application as a whole.
B. Application Submission
1. Number of Copies Required. One signed original application and
two copies must be submitted at the time of initial submission. (OMB
0970-0139). Two additional optional copies would be appreciated to
facilitate the processing of applications.
The first page of the SF-424 must contain in the lower right-hand
corner, a designation indicating under which priority area funds are
being requested (for example AM for 1 and UT for 2. (See Part II for a
description of each of the priority areas.)
2. Closing Date. The closing date for receiving applications is
cited under the heading DATES at the beginning of this announcement.
Applications received after the closing date will be classified as
late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the OCS Operations Center: 1815 North Fort Myer Drive,
Suite 300, Arlington Virginia 22209; Attention: Application for
Community Development Program--Special Initiatives.
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the application
is received on or before the deadline time and date. Applications hand
carried by applicants, applicant couriers, other representatives of the
applicant, 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 a.m. to 4:30 p.m. EST at the U.S.
Department of Health and Human Services, Administration for Children
and Families, Office of Community Services Operations Center: 1815
North Fort Myer Drive, Suite 300, Arlington, VA 22209 between Monday
and Friday (excluding Federal holidays). This address must appear on
the envelope/package containing the application with the note
``Attention: Application for ``Community Services Block Grant--
Discretionary Awards--Special Initiatives''. 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.
3. Late Applications. Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
4. Extension of Deadlines. ACF may extend application deadlines
when circumstances such as acts of God (floods, hurricanes, etc) occur,
or when there are widespread disruptions of the mail service, or in
other rare cases. A determination to extend or waive deadline
requirements rest with the Chief Grants Management Officer.
C. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Program and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, Wyoming, and Palau have elected to participate in
the Executive Order process and have established Single Points of
Contact (SPOCs). Applicants from these 27 jurisdictions do not need to
take action regarding E.O. 12372. Applicants for projects to be
administered by Federally-recognized Indian Tribes are also exempt from
the requirements of E.O. 12372. Otherwise, applicants should contact
their SPOCs
[[Page 51678]]
as soon as possible to alert them of the prospective applications and
receive any necessary instructions. Applicants must submit any required
material to the SPOCs as soon as possible so that the program office
can obtain and review SPOC comments as part of the award process. It is
imperative that the applicant submit all required materials, if any, to
the SPOC and indicate the date of this submittal (or indicate ``not
applicable'' if no submittal is required) on the standard form 424,
item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Office of Grants Management, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., 4th floor West,
Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G to this Announcement. You may also find
this list at the following web address: http://www/whitehouse.gov/omb/grants/spoc.html.
D. Initial OCS Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that the application was received by
the closing date and submitted in accordance with the instructions in
this Announcement.
All applications that meet the published deadline requirements as
provided in this Program Announcement will be screened for completeness
and conformity with the following requirements. Only complete
applications that meet the requirements listed below will be reviewed
and evaluated competitively. Other applications will be returned to the
applicants with a notation that they were unacceptable and will not be
reviewed.
The following requirements must be met by all applicants except as
noted:
(1) The application must contain a signed Standard Form 424
Application for Federal Assistance'' (SF-424), Attachment B, a budget
(SF-424A), Attachment C, and signed ``Assurances'' (SF-424B),
Attachment D, completed according to instructions published in Part V
and Attachments A, B, and C of this Program Announcement. The SF-424
and the SF-424B must be signed by an official of the organization
applying for the grant who has authority to obligate the organization
legally. Applicant 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) A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be no more than
35 letter-size pages, numbered consecutively , and typewritten on one
side of the paper only with one-inch margins and type face no smaller
than 12 characters per inch (c.p.i.) or equivalent. Applications with
project narratives (excluding Project Summaries and appendices) of more
than 35 letter-size pages of 12 c.p.i. type or equivalent on a single
side will not be reviewed for funding.
The budget narrative, charts, exhibits, resumes, position
descriptions, letters of support or commitment are not counted against
this page limit and should be in the Appendix. It is strongly
recommended that applicants adopt for their Program project narratives
the sequence and content Described in Part III.
(3) Application must contain documentation of the applicant's tax
exempt status as required under Part I, Section E.
E. Consideration of Applications
Applications which pass the initial OCS screening will be reviewed
and rated by an independent review panel on the basis of requirements
set forth in Parts II and III. These review criteria were designed to
assess the quality of a proposed project and determine the likelihood
of its success. The review criteria are closely related and are
considered as a whole in judging the overall quality of an application.
Points are awarded only to applications which are responsive to the
program elements and review criteria within the context of this Program
Announcement.
Reviewers' scores will assist the Director and OCS program staff in
considering competing applications. Reviewers' scores will weigh
heavily in funding decisions, but will not be the only factors
considered.
Applications generally will be considered in order of the average
scores assigned by reviewers. However, highly ranked applications are
not guaranteed funding because other factors are taken into
consideration. These include, but are not limited to: the timely and
proper completion by applicant of projects funded with OCS funds
granted in the last five (5) years; comments of reviewers and
government officials; staff evaluation and input; amount and duration
of the grant requested and the proposed project's consistency and
harmony with OCS goals and policy; geographic distribution of
applications; previous program performance of applicants; compliance
with grant terms under previous HHS grants, including the actual
dedication to program of mobilized resources as set forth in project
applications; audit reports; investigative reports; and applicant's
progress in resolving any final audit disallowance on previous OCS or
other Federal agency grants.
Applicants may omit from the application the specific salary rates
or amounts for individuals identified in the application budget.
Rather, only summary information is required. OCS reserves the right to
discuss applications with other Federal or non-Federal funding sources
to verify the applicant's performance record and the documents
submitted.
Part V. Instructions for Completing Forms SF-424
All application forms are now available on the ACF Website for
downloading: http://www.acf.dhhs.gov/programs/ofs/forms.htm.
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, C and D) as modified by the instructions set
forth in PART III, and the OCS specific instructions set forth below:
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
(Note: The Budget detail and Narrative Budget Justification should
[[Page 51679]]
follow the SF 424 and 424A, and are not counted as part of the Project
Narrative.)
A. SF-424--Application for Federal Assistance (Attachment B)
Where the applicant is a previous DHHS 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. If applicant Is an Indian Tribe enter ``K'' in the box. If
applicant is a non-profit organization enter ``N'' in the box.
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 93.570. The title is
``Community Services Block Grant Discretionary Awards--Special
Initiatives.''
Item 11. In addition to a brief descriptive title of the project,
indicate the priority area for which funds are being requested. Use the
following letter designations: Use AM for Priority Area 1 and UT for
Priority Area 2.
Item 13. Proposed Project Dates--Show 17-month project period (See
Part II). In addition, the project start date must begin on or before
September 30, 2002; the ending date should be calculated on the basis
of a 17-month project period.
Item 14. Congressional District of Applicant/Project--Enter the
number(s) of the Congressional District where the applicant's principal
office is located and the number(s) of the Congressional District(s)
where the project will be located.
Item 15. Estimated Funding--Item 15a. Show the total amount
requested for the entire project period; Item 15b-e. For each line
item, show both cash and third party in-kind contributions for the
total project period; Item 15f. Show the estimated amount of program
income for the total project period; Item 15g. Enter the sum of all the
line items.
B. SF-424A--Budget Information--Non-Construction Programs (Attachment
C)
In completing these sections, the Federal Funds budget entries will
relate to the requested Community Services Block Grant--Discretionary
Awards--Special Initiatives funds only, and Non-Federal will include
funds mobilized from all other sources--applicant, state, local, and
other. Federal funds other than those requested from the Community
Services Block Grant--Discretionary Awards--Special Initiatives should
be included in Non-Federal entries.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal mobilized funds.
Section A--Budget Summary
Lines 1-4,
Column (a) Line 1--Enter CSBG Community Economic Development,
Column (b) Line 1--Enter 93.570,
Columns (c) and (d)--Not Applicable,
Columns (e), (f) and (g)--Line 1--Enter appropriate amounts needed
to support the project for the entire project period.
Line 5,
Enter the figures from Line 1 for all columns completed, (e), (f),
and (g).
Section B--Budget Categories
This section should contain entries for OCS funds only. For all
projects, the budget period of 17 months will be entered in Column (1).
Allocability of costs is governed by applicable cost principles set
forth in the Code of Federal Regulations (CFR), Title 45, Parts 74 and
92.
Budget estimates for administrative costs must be supported by
adequate detail for the grants officer to perform a cost analysis and
review. Adequately detailed calculations for each budget object class
are those which reflect estimation methods, quantities, unit costs
salaries, and other similar quantitative detail sufficient for the
calculation to be duplicated. For any additional object class
categories included under the object class other, identify the
additional object class(es) and provide supporting calculations.
Supporting narratives and justifications are required for each
budget category, with emphasis on unique/special initiatives; large
dollar amounts; local, regional, or other travel; new positions; major
equipment purchases; and training programs.
A detailed itemized budget with a separate budget justification for
each major item should be included as indicated below:
Line 6a
Personnel--Enter the total costs of salaries and wages.
Justification--Identify the project director and staff. Specify by
title or name the percentage of time allocated to the project, the
individual annual salaries and the cost to the project (both Federal
and non-Federal) of the organization's staff who will be working on the
project.
Line 6b
Fringe Benefits--Enter the total costs of fringe benefits unless
treated as part of an approved indirect cost rate which is entered on
Line 6j.
Justification--Enter the total costs of fringe benefits, unless
treated as part of an approved indirect cost rate. Provide a breakdown
of amounts and percentages that comprise fringe benefit costs.
Line 6c
Travel--Enter total cost of all travel by employees of the project.
Do not enter costs for consultant's travel.
Justification--Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, mileage rate, transportation costs
and subsistence allowances. Traveler must be a person listed under the
personnel line or employee being paid under non-Federal share.
(Note: Local transportation and consultant travel costs are entered
on Line 6h.)
Line 6d
Equipment--Enter the total costs of all equipment to be acquired by
the project. Equipment means an article of non-expendable, 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.
(Note: If an applicant's current rate agreement was based on
another definition for equipment, such as ``tangible personal property
$500 or more,'' the applicant shall use the definition used by the
cognizant agency in determining the rate(s). However, consistent with
the applicant's equipment policy, lower limits may be set.)
Justification--Equipment to be purchased with Federal funds must be
required to conduct the project, and the applicant organization or its
sub-grantees must not already have the equipment or a reasonable
facsimile available to the project.
Line 6e
Supplies--Enter the total costs of all tangible personal property
other than that included on line 6d.
Justification--Provide a general description of what is being
purchased such as type of supplies (office, classroom, medical, etc.).
Include equipment costing less than $5,000 per item.
Line 6f
[[Page 51680]]
Contractual--Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and sub-recipients, other than States that are
required to use Part 92 procedures, must justify any anticipated
procurement action that is expected to be awarded without competition
and exceed the simplified acquisition threshold fixed at 41 U.S.C.
403(11) currently set at $100,000.
Recipients might be required to make available to ACF pre-award
review and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Line 6g
Construction--Not applicable.
Line 6h
Other--Enter the total of all other costs. Such costs, where
applicable, may include, but are not limited to, insurance, food,
medical and dental costs (non-contractual); fees and travel paid
directly to individual consultants; local transportation (all travel
which does not require per diem is considered local travel); space and
equipment rentals; printing and publication; computer use training
costs including tuition and stipends; training service costs including
wage payments to individuals and supportive service payments; and staff
development costs.
Line 6j
Indirect Charges--Enter the total amount of indirect costs. This
line should be used only when the applicant currently has an indirect
cost rate approved by DHHS or other Federal agencies.
If the applicant organization is in the process of initially
developing or renegotiating a rate, it should, immediately upon
notification that an award will be made, develop a tentative indirect
cost rate proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the pertinent DHHS Guide
for Establishing Indirect Cost Rates and submit it to the appropriate
DHHS Regional Office. It should be noted that when an indirect cost
rate is requested, those costs included in the indirect cost pool
cannot also be budgeted or charged as direct costs to the grant.
Indirect costs consistent with approved indirect cost rate agreements
are allowable. Also, if the applicant is requesting a rate which is
less than what is allowed under the program, the authorized
representative of the applicant organization must submit a signed
acknowledgment that the applicant is accepting a lower rate than
allowed.
Line 6k
Totals--Enter the total amount of Lines 6i and 6j.
Line 7
Program Income--Enter the estimated amount of income, if any,
expected to be generated from this project. Separately show expected
program income generated from OCS support and income generated from
other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification--Describe the nature, source and anticipated use of
program income in the Program Narrative Statement.
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant has received a commitment.
Provide a brief explanation, on a separate sheet, showing the type of
contribution, broken out by Object Class Category, (see SF-424A,
Section B.6) and whether it is cash or third party in-kind. The firm
commitment of these required funds must be documented and submitted
with the application in order to be given credit in the criterion.
This documentation must be in the form of letters of commitment or
letters of intent from the organization(s)/individuals from which funds
will be received.
Line 8
Column (a)--Enter the project title.
Column (b)--Enter the amount of cash or donations to be made by the
applicant.
Column (c)--Enter the State contribution.
Column (d)--Enter the amount of cash and third party in-kind
contributions to be made from all other sources.
Column (e)--Enter the total of columns (b), (c), and (d).
Lines 9, 10 and 11
Leave Blank
Line 12
Carry the total of each column of Line 8, (b) through (e). The
amount in Column (e) should be equal to the amount on Section A, Line
5, Column (f).
Justification--Describe third party in-kind contributions, if
included.
Section D--Forecasted Cash Needs
Line 13
Federal--Enter the amount of Federal (OCS) cash needed for this
grant, by quarter, during the 12-month budget period.
Line 14
Non-Federal--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15
Totals--Enter the total of Lines 13 and 14.
Section F--Other Budget Information
Line 21
Direct Charges--Include narrative justification required under
Section B for each object class category for the total project period.
Line 22
Indirect Charges--Enter the type of DHHS or other Federal agency
approved indirect cost rate (provisional, predetermined, final or
fixed) that will be in effect during the funding period, the estimated
amount of the base to which the rate is applied and the total indirect
expense. Also, enter the date the rate was approved, where applicable.
Attach a copy of the approved rate agreement.
Line 23
Provide any other explanations and continuation sheets required or
deemed necessary to justify or explain the budget information.
C. SF-424B--Assurances Non-Construction Programs (Attachment D)
All applicants must sign and return the ``Assurances'' with the
application.
Part VI. Contents of Application and Receipt Process
A. Contents of Application
Each Community Services Block Grant--Discretionary Awards--Special
Initiatives application must include all of the following, in the order
listed below:
1. Table of Contents
2. An abstract of the Proposed Project--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 and which identifies
the type of project, the
[[Page 51681]]
target population, and the major elements of the work plan.
3. A completed Standard Form 424 that has been signed by an
Official of the organization applying for the grant who has authority
to obligate the organization legally. (Attachment B)
4. Budget Information--Non-Construction Programs (SF-424A)
(Attachment C);
5. A narrative budget justification for each object class category
required under Section B, SF-424A.
6. Certification and Assurances Required:
Applicants requesting financial assistance for a non-construction
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard
Form 424B with their applications (See Attachment D).
Applicants must provide a certification regarding lobbying when
applying for an award in excess of $100,000. Applicants must sign and
return the certification with their application (See Attachment H).
Applicants must disclose lobbying activities on the Standard Form
LLL when applying for an award in excess of $100,000. Applicants who
have used non-federal funds for lobbying activities in connection with
receiving assistance under this announcement shall complete a
disclosure form to report lobbying. Applicants must sign and return the
disclosure form, if applicable, with their applications (See Attachment
H).
Applicants must make the appropriate certification of their
compliance with the Drug-Free Workplace Act of 1988. By signing and
submitting the applications, applicants are providing the certification
and need not mail back the certification with the applications (See
Attachment E).
Applicant must make the appropriate certification that they are not
presently debarred, suspended or otherwise ineligible for an award. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification with the
applications. (See Attachment F)
Applicants must make the appropriate certification of their
compliance with all Federal statues relating to nondiscrimination. By
signing and submitting the applications, applicants are providing the
certification and need not mail back a certification form.
Applicants must make the appropriate certification of their
compliance with the requirements of the Pro-Children Act of 1994 as
outlined in Certification Regarding Environmental Tobacco Smoke. (See
Attachment J)
7. A Project Narrative of no more than 35 pages consisting of the
Elements described in Part III of this announcement set forth in the
order therein presented and preceded by a consecutively numbered table
of contents.
The total number of pages for the narrative portion of the
application package must not exceed 35 pages (See Part IV.D.2 for pages
that do not count against the 35-page limit).
8. Appendices--proof of nonprofit tax-exempt status as outlined in
Part II, Section C; Single Point of Contact comments, if applicable,
and resumes and position descriptions.
Pages should be numbered sequentially throughout, including
appendices, beginning with the Abstract as page 1.
B. Application Format
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8\1/2\ x 11 inch paper only.
Applicants must not include colored, oversized or folded materials.
Applicants should not include organizational brochures or other
promotional materials, slides, films, clips, etc. Such material will be
discarded if included. Applications must be bound or enclosed in loose-
leaf binder notebooks. Preferably, applications should be two-holed
punched at the top center and fastened separately with a compressor
slide paper fastener, or a binder clip.
C. Acknowledgment of Receipt
All applicants will receive an acknowledgment with an assigned
identification number. Applicants are requested to supply a self-
addressed mailing label with their Application, or a FAX number or e-
mail address which can be used for acknowledgment. The assigned
identification number, along with any other identifying codes, must be
referenced in all subsequent communications concerning the Application.
If an acknowledgment is not received within three weeks after the
deadline date, please notify the OCS Operations Center at 1-800-281-
9519.
Part VII. Post Award Information and Reporting Requirements
A. Notification of Grant Award
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which specifies the amount of Federal funds approved
for use in the project, the project and budget period for which support
is provided, the terms and conditions of the award.
B. Reporting Requirements
Grantees will be required to submit semi-annual program progress
and financial reports (SF 269) as well as a final progress and
financial report.
C. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR part 74
(non-profit organizations) or part 92 (governmental entities) which
require audits under OMB Circular A-133.
D. Prohibitions and Requirements With Regard To Lobbying
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their sub-tier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or sub-grantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of non-appropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or sub-grantees will pay with the non-appropriated funds
and (3) to file quarterly up-dates about the use of lobbyists if an
event occurs that materially affects the accuracy of the information
submitted by way of declaration and certification.
The law establishes civil penalties for noncompliance and is
effective with respect to contracts, grants, cooperative agreements and
loans entered into or made on or after December 23, 1989. See
Attachment H, for certification and disclosure forms to be submitted
with the applications for this program.
E. Applicable Federal Regulations
Attachment K indicates the regulations which apply to all
[[Page 51682]]
applicants/grantees under the Community Services Block Grant--
Discretionary Awards--Special Initiatives.
Dated: July 29, 2002.
Clarence H. Carter,
Director, Office of Community Services.
BILLING CODE 4184-01-P
List of Attachments
A. 2002 Poverty Income Guidelines For updates see: http://aspe.os.dhhs.gov/poverty/02poverty.htm
B. Standard Form 424, Application for Federal Assistance
C. Standard Form 424A, Budget Information--Non-Construction Programs
D. Standard Form 424B, Assurances--Non-Construction Programs
E. Certification Regarding Drug-Free Workplace Requirements
F. Certification Regarding Debarment, Suspension And Other
Responsibility Matters
G. Intergovernmental Review State Single Point Of Contact (SPOC)
List
H. Certification Regarding Lobbying and Disclosure Of Lobbying
Activities, Standard Form LLL
I. Applicant's Checklist
J. Certification Regarding Environmental Tobacco Smoke
K. DHHS Regulations Applying To All Applicants/Grantees Under The
Community Services Block Grant--Discretionary Awards--Special
Initiatives
Attachment A
2002 Poverty Guidelines for the 48 Contiguous States and the District of
Columbia
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $8,860
2.......................................................... 11,940
3.......................................................... 15,020
4.......................................................... 18,100
5.......................................................... 21,180
6.......................................................... 24,260
7.......................................................... 27,340
8.......................................................... 30,420
------------------------------------------------------------------------
For family units with more than 8 members, add $3,080 for each
additional member.
(The same increment applies to smaller family sizes also, as can
be seen in the figures above).
2001 Poverty Guidelines for Alaska
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
1.......................................................... $11,080
2.......................................................... 14,930
3.......................................................... 18,780
4.......................................................... 22,630
5.......................................................... 26,480
6.......................................................... 30,330
7.......................................................... 34,180
8.......................................................... 38,030
------------------------------------------------------------------------
For family units with more than 8 members, add $3,850 for each
additional member.
(The same increment applies to smaller family sizes also, as can
be seen in the figures above).
2001 Poverty Guidelines for Hawaii
------------------------------------------------------------------------
Poverty
Size of family unit guidelines
------------------------------------------------------------------------
1.......................................................... $10,200
2.......................................................... 13,740
3.......................................................... 17,280
4.......................................................... 20,820
5.......................................................... 24,360
6.......................................................... 27,900
7.......................................................... 31,440
8.......................................................... 34,180
------------------------------------------------------------------------
For family units with more than 8 members, add $3,540 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-M
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BILLING CODE 4184-01-C
[[Page 51684]]
Attachment B--Instructions for the SF-424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explantatory.
2. Date application submitted to Federal agency (or State if
applicable) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organization 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 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-M
[[Page 51685]]
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[[Page 51686]]
[GRAPHIC] [TIFF OMITTED] TN08AU02.002
BILLING CODE 4184-01-C
[[Page 51687]]
Attachment C--Instructions for the SF-424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0044),
Washington, DC 20503. Please do not return your completed form to
the Office of Management and Budget. Send it to the address provided
by the sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4 Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the Catalog program title and the Catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the Catalog program title on each line
in Column (a) and the respective Catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Line 1-4, Columns (c) through (g).
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amounts(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a--i-Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in Column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the Federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Attachment D--Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the
[[Page 51688]]
data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any
other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management
and Budget, Paperwork Reduction Project (0348-0040), Washington, DC
20503.
Please Do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant, I
certify that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 CFR 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (Pub. L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (Pub. 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
(Pub. L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. Secs. 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. Secs. 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 (Pub. L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with provisions of the Hatch Act
(5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment activities are
funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally-assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (Pub. 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 (Pub. L. 91-190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant
to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended
(Pub. L. 93-523); and, (h) protection of endangered species under
the Endangered Species Act of 1973, as amended (Pub. L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. Sec. 470), EO 11593 (identification and
protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. Secs. 469a-1 et seq.).
14. Will comply will Pub. 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
(Pub. L. 89-544, as amended, 7 U.S.C. Secs. 2131 et seq.) pertaining
to the care, handling, and treatment of warm blooded animals held
for research, teaching, or other activities supported by this award
of assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead-
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act Amendments
of 1996 and OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations.''
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
this program.
Signature of Authorized Certifying Official
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Title
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Applicant Organization
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Date Submitted
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Attachment E--Certification Regarding Drug-Free Workplace Requirements
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart F,
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central point is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW.,
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements
(Instructions for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards
[[Page 51689]]
the grant. If it is later determined that the grantee knowingly
rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, the agency, in addition
to any other remedies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace rule apply to this
certification. Grantee's attention is called, in particular, to the
following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultant or independent contractors not on
the grantee's payroll; or employees or subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance of rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance or work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip
code).
Check if there are workplaces on file that are not identified
here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted or a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
Attachment F--Certification Regarding Debarment, Suspension and Other
Responsibility Matters
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules
[[Page 51690]]
implementing Executive Order 12549. You may contact the department
or agency to which this proposal is being submitted for assistance
in obtaining a copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally processed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal Department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause.
The knowledge and information of a participant is not required
to exceed that which is normally possessed by a prudent person in
the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility an
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Attachment G--Intergovernmental Review (SPOC List)
It is estimated that in 2001 the Federal Government will outlay
$305.6 billion in grants to State and local governments. Executive
Order 12372, ``Intergovernmental Review of Federal Programs,'' was
issued with the desire to foster the intergovernmental partnership
and
[[Page 51691]]
strengthen federalism by relying on State and local processes for
the coordination and review of proposed Federal financial assistance
and direct Federal development. The Order allows each State to
designate an entity to perform this function. Below is the official
list of those entities. For those States that have a home page for
their designated entity, a direct link has been provided below.
States that are not listed on this page have chosen not to
participate in the intergovernmental review process, and therefore
do not have a SPOC. If you are located within one of these States,
you may still send application materials directly to a Federal
awarding agency.
Contact information for Federal agencies that award grants can
be found in Appendix IV of the Catalog of Federal Domestic
Assistance.
Arkansas
Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, Fax: (501) 682-5206,
[email protected]
California
Grants Coordination, State Clearinghouse, Office of Planning and
Research, P.O. Box 3044, Room 222, Sacramento, California 95812-
3044, Telephone; (916) 445-0613, Fax: (916) 323-3018,
[email protected]
Delaware
Charles H. Hopkins, Executive Department, Office of the Budget, 540
S. Dupont Highway, 3rd Floor, Dover, Delaware 19901, Telephone:
(302) 739-3323, Fax: (302) 739-5661, [email protected]
District of Columbia
Luisa Montero-Diaz, Office of Partnerships and Grants, Development,
Executive Office of the Mayor, District of Columbia Government, 441
4th Street, NW., Suite 530 South, Washington, DC 20001, Telephone:
(202) 727-8900, Fax: (202) 727-1652, [email protected]
Florida
Jasmin Raffington, Florida State Clearinghouse, Department of
Community Affairs, 2555 Shumard Oak Blvd, Tallahassee, Florida
32399-2100, Telephone: (850) 922-5438, Fax: (850) 414-0479,
[email protected]
Georgia
Georgia State Clearinghouse, 270 Washington Street, SW., Atlanta,
Georgia 30334, Telephone: (404) 656-3855, Fax: (404) 656-7901,
[email protected]
Illinois
Virginia Bova, Department of Commerce and Community Affairs, James
R. Thompson Center, 100 West Randolph, Suite 3-400, Chicago,
Illinois 60601, Telephone: (312) 814-6028, Fax (312) 814-8485,
[email protected]
Iowa
Steven R. McCann, Division of Community and Rural Development, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone: (515) 242-4719, Fax: (515) 242-4809,
[email protected]
Kentucky
Ron Cook, Department for Local Government, 1024 Capital Center
Drive, Suite 340, Frankfort, Kentucky 40601, Telephone: (502) 573-
2382, Fax: (502) 573-2512, [email protected]
Maine
Joyce Benson, State Planning Office, 184 State Street, 38 State
House Station, Augusta, Maine 04333, Telephone: (207) 287-3261,
(207) 287-1461 (direct) Fax: (207) 287-6489,
[email protected]
Maryland
Linda Janey, Manager, Clearinghouse and Plan Review Unit, Maryland
Office of Planning, 301 West Preston Street--Room 1104, Baltimore,
Maryland 21201-2305, Telephone: (410) 767-4490, Fax: (410) 767-4480,
[email protected]
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 535
Griswold, Suite 300, Detroit, Michigan 48226, Telephone: (313) 961-
4266, Fax: (313) 961-4869, [email protected]
Mississippi
Cathy Mallette, Clearinghouse Officer, Department of Finance and
Administration, 1301 Woolfolk Building, Suite E, 501 North West
Street, Jackson, Mississippi 39201, Telephone: (601) 359-6762, Fax:
(601) 359-6758
Missouri
Angela Boessen, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Truman Building, Room 840, Jefferson
City, Missouri 65102, Telephone: (573) 751-4834, Fax: (573) 522-4395
[email protected]
Nevada
Heather Elliott, Department of Administration, State Clearinghouse,
209 E. Musser Street, Room 200, Carson City, Nevada 89701,
Telephone: (775) 684-0209, Fax: (775) 684-0260,
[email protected]
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
Fax: (603) 271-1728, [email protected]
New Mexico
Ken Hughes, Local Government Division, Room 201 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-4370,
Fax: (505) 827-4948, [email protected]
North Carolina
Jeanette Furney, Department of Administration, 1302 Mail Service
Center, Raleigh, North Carolina 27699-1302, Telephone: (919) 807-
2323, Fax: (919) 733-9571, [email protected]
North Dakota
Jim Boyd, Division of Community Services, 600 East Boulevard Ave,
Dept 105, Bismarck, North Dakota 58505-0170, Telephone: (701) 328-
2094, Fax: (701) 328-2308, [email protected]
Rhode Island
Kevin Nelson, Department of Administration, Statewide Planning
Program, One Capitol Hill, Providence, Rhode Island 02908-5870,
Telephone: (401) 222-2093, Fax: (401) 222-2083
[email protected]
South Carolina
Omeagia Burgess, Budget and Control Board, Office of State Budget,
1122 Ladies Street, 12th Floor, Columbia, South Carolina 29201,
Telephone: (803) 734-0494, Fax: (803) 734-0645,
[email protected]
Texas
Denise S. Francis, Director, State Grants Team, Governor's Office of
Budget and Planning, P.O. Box 12428, Austin, Texas 78711, Telephone:
(512) 305-9415, Fax: (512) 936-2681, [email protected]
Utah
Carolyn Wright, Utah State Clearinghouse, Governor's Office of
Planning and Budget, State Capitol, Room 114, Salt Lake City, Utah
84114, Telephone: (801) 538-1535, Fax: (801) 538-1547,
[email protected]
West Virginia
Fred Cutlip, Director, Community Development Division, West Virginia
Development Office, Building 6, Room 553, Charleston, West
Virginia 25305, Telephone: (304) 558-4010, Fax: (304) 558-3248,
[email protected]
Wisconsin
Jeff Smith, Section Chief, Federal/State Relations, Wisconsin
Department of Administration, 101 East Wilson Street-6th Floor, P.O.
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, Fax:
(608) 267-6931, [email protected]
American Samoa
Pat M. Galea'i, Federal Grants/Programs Coordinator, Office of
Federal Programs, Office of the Governor/Department of Commerce,
American Samoa Government, Pago Pago, American Samoa 96799,
Telephone: (684) 633-5155, Fax: (684) 633-4195,
[email protected]
Guam
Director, Bureau of Budget and Management Research, Office of the
Governor, P.O. Box 2950, Agana, Guam 95910, Telephone: 011-671-472-
2285, Fax: 011-472-2825, [email protected]
[[Page 51692]]
Puerto Rico
Jose Caballero/Mayra Silva, Puerto Rico Planning Board, Federal
Proposals Review Office, Minillas Government Center, P.O. Box 41119,
San Juan, Puerto Rico 00940-1119, Telephone: (787) 723-6190, Fax:
(787) 722-6783
North Mariana Islands
Ms. Jacoba T. Seman, Federal Programs Coordinator, Office of
Management and Budget, Office of the Governor, Saipan, MP 96950,
Telephone: (670) 664-2289, Fax: (670) 664-2272,
[email protected]
Virgin Islands
Ira Mills, Director, Office of Management and Budget, 41
Norre Gade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802, Telephone: (340) 774-0750, Fax: (340) 776-
0069, [email protected]
Changes to this list can be made only after OMB is notified by a
State's officially designated representative. E-mail messages can be
sent to [email protected]. If you prefer, you may send
correspondence to the following postal address: Attn: Grants
Management, Office of Management and Budget, New Executive Office
Building, Suite 6025, 725 17th Street, NW., Washington, DC 20503.
Please note: Inquiries about obtaining a Federal grant should
not be sent to the OMB e-mail or postal address shown above. The
best source for this information is the CFDA.
BILLING CODE 4184-01-C
Attachment H--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer of employee of Congress, or
an employee of a Member of Congress in connection with 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 contract under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly. This
certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
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Signature
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Title
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Organization
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BILLING CODE 4184-01-C
Attachment H--Instructions for Completion of SF-LLL Disclosure of
Lobbying Activities
This disclosure form shall be completed by the reporting entity,
whether subawardee or prime Federal recipient, at the initiation or
receipt of a covered Federal action, or a material change to a
previous filing, pursuant to title 31 U.S.C. section 1352. The
filing of a form is required for each payment or agreement to make
payment to any lobbying entity for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with a covered Federal action.
Complete all items that apply for both the initial filing and
material change report. Refer to the implementing guidance published
by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which
lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If
this is a followup report caused by a material change to the
information previously reported, enter the year and quarter in which
the change occurred. Enter the date of the last previously submitted
report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the
reporting entity. Include Congressional District, if known. Check
the appropriate classification of the reporting entity that
designates if it is, or expects to be, a prime or subaward
recipient. Identify the tier of a subawardee, e.g., the first
subawardee of the prime is the 1st tier. Subawards include but are
not limited to subcontracts, subgrants and contract awards under
grants.
5. If the organization filing the report in item 4 checks
``Subawardee,'' then enter the full name, address, city, State and
zip code of the prime Federal recipient. Include Congressional
District, if known.
6. Enter the name of the Federal agency making the award or loan
commitment.
[[Page 51694]]
Include at least one organizational level below agency name, if
known. For example, Department of Transportation, United States
Coast Guard.
7. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative
agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number
available for the Federal action identified in item 1 (e.g., Request
for Proposal (RFP) number; Invitation for Bid (IFB) number; grant
announcement number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Include prefixes, e.g., ``RFP-DE-90-001.''
9. For a covered Federal action where there has been an award or
loan commitment by the Federal agency, enter the Federal amount of
the award/loan commitment for the prime entity identified in item 4
or 5.
10. (a) Enter the full name, address, city, State and zip code
of the lobbying registrant under the Lobbying Disclosure Act of 1995
engaged by the reporting entity identified in item 4 to influence
the covered Federal action.
(b) Enter the full names of the individual(s) performing
services, and include full address if different from 10(a). Enter
Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print
his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons
are required to respond to a collection of information unless it
displays a valid OMB Control Number. The valid OMB control number
for this information collection is OMB No. 0348-0046. Public
reporting burden for this collection of information is estimated to
average 10 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503.
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BILLING CODE 4184-01-C
Attachment J--Certification Regarding Environmental Tobacco Smoke
Public Law 103227, Part C Environmental Tobacco Smoke, also
known as the Pro Children Act of 1994, requires that smoking not be
permitted in any portion of any indoor routinely owned or leased or
contracted for by an entity and used routinely or regularly for
provision of health, day care, education,
[[Page 51696]]
or library services to children under the age of 18, if the services
are funded by Federal programs either directly or through State or
local governments, by Federal grant, contract, loan, or loan
guarantee. The law does not apply to children's services provided in
private residences, facilities funded solely by Medicare or Medicaid
funds, and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity. By signing and submitting this
application the applicant/grantee certifies that it will comply with
the requirements of the Act.
The applicant/grantee further agrees that it will require the
language of this certification be included in any subawards which
contain provisions for the children's services and that all
subgrantees shall certify accordingly.
Attachment K--DHHS Regulations Applying to All Applicants/Grantees
Under the Community Economic Development Program--Special Initiatives
Title 45 of the Code of Federal Regulations
Part 16--Department of Grant Appeals Process
Part 74--Administration of Grants (grants and subgrants to entities)
Part 75--Informal Grant Appeal Procedures
Part 76--Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F--Drug Free Workplace Requirements
Part 80--Non-Discrimination Under Programs Receiving Federal
Assistance through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act Of 1964
Part 81--Practice and Procedures for Hearings Under Part 80 of this
Title
Part 83--Regulation for the Administration and Enforcement of
Sections 799A and 845 of the Public Health Service Act
Part 84--Non-discrimination on the Basis of Handicap in Programs and
Activities Receiving Federal Financial Assistance
Part 85--Enforcement of Non-Discrimination on the Basis of Handicap
in Programs or Activities Conducted by the Department of Health and
Human Services
Part 86--Nondiscrimination on the Basis of Sex in Education Programs
and Activities Receiving or Benefiting from Federal Financial
Assistance
Part 91--Non-discrimination on the Basis of Age in Health and Human
Services Programs or Activities Receiving Federal Financial
Assistance
Part 92--Uniform Administrative Requirements for Grants and
Cooperative Agreements to States and Local Governments (Federal
Register, March 11, 1988)
Part 93--New Restrictions on Lobbying
Part 100--Intergovernmental Review of Department of Health and Human
Services Programs and Activities
[FR Doc. 02-19770 Filed 8-7-02; 8:45 am]
BILLING CODE 4184-01-M