Request for Applications Under the Office of Community Services' Fiscal Year 1994 Discretionary Grants Program; Notice DEPARTMENT OF HEALTH AND HUMAN SERVICES

Federal RegisterMay 9, 1994

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SUMMARY: The Administration for Children and Families, Office of

Community Services (OCS) announces that competing applications will be

accepted for new grants pursuant to the Secretary's discretionary

authority under section 681(a)(2) of the Community Services Block Grant

Act of 1981, as amended. This Program Announcement consists of seven

parts:

Part A covers information on legislative authorities and defines

terms used in the Program Announcement;

Part B lists the three program priority areas under which grants

will be made, describes the types of projects that will be considered

for funding under each priority area, and defines which organizations

are eligible to apply;

Part C provides details on application prerequisites, funds

available in each priority area, limitations on grant amounts, project

periods, who should benefit from the programs, and other application

requirements;

Part D describes the application procedures, including the

availability of forms, where and how to submit an application, the

criteria used in screening and evaluating applications, and compliance

with Federal requirements regarding the drug-free workplace and

debarment requirements in submitting the application;

Part E describes the contents of the application package and

receipt process;

Part F provides instructions for completing the SF-424 following

standard Federal guidelines as well as OCS specific requirements, and

describes how the project narrative should be ordered and presented;

and

Part G details post-award information and reporting requirements.

CLOSING DATES: The closing date for submission of applications is June

23, 1994.

FOR FURTHER INFORMATION CONTACT: Office of Community Services, Joseph

D. Reid, Acting Director, Division of Community Discretionary Programs,

Administration for Children and Families, 370 L'Enfant Promenade SW.,

Washington, DC 20447, Telephone (202) 401-9345.

Table of Contents

Part A--Preamble

1. Legislative Authority

2. Departmental Goals

3. Definition of Terms

Part B--Program Priority Areas

Part C--Application Prerequisites

1. Eligible Applicants

2. Availability of Funds

3. Project and Budget Periods

4. Mobilization of Resources

5. Program Beneficiaries

6. Number of Projects in Application

7. Multiple Submittals

8. Sub-contracting or Delegating Projects

9. Previous Performance and Current Grants

Part D--Application Procedures

1. Availability of Forms

2. Application Submission

3. Intergovernmental Review

4. Application Consideration

5. Criteria for Screening Applicants

6, 7 & 8. Criteria for Review and Evaluation of all Applications

Part E--Contents of Application and Receipt Process

1. Contents of Application

2. Acknowledgement of Receipt

Part F--Instructions for Completing Application Package

1. SF-424 Application for Federal Assistance

2. SF-424A Budget Information--Non-Construction Programs

3. SF-424B Assurances--Non-Construction

4. Restrictions on Lobbying Activities

5. Disclosure of Lobbying Activities

6. Project Narrative

Part G--Post Award Information and Reporting Requirements

Part A--Preamble

1. Legislative Authority

Section 681(a)(2) of the Community Services Block Grant Act, as

amended, authorizes the Secretary to make funds available to support

program activities of national or regional significance to alleviate

the causes of poverty in distressed communities.

2. Departmental Goals

This announcement is particularly relevant to the Departmental goal

of strengthening the American family and promoting self-sufficiency.

These programs have objectives of increasing the access of low-income

people to employment-related opportunities, improving job skills, and

improving the integration, coordination, and continuity of the various

HHS (and other Federal Departments') funded services potentially

available to families living in poverty.

3. Definition of Terms

For purposes of this Program Announcement the following definitions

apply:

--Affiliate: A private non-profit entity which has legal and/or

financial ties to a community development corporation, and which also

meets the statutory requirement that it be governed by a board

consisting of residents of the community and business and civic

leaders.

--Community development corporation: A private, locally initiated,

nonprofit entity, governed by a board consisting of residents of the

community and business and civic leaders, which has a record of

implementing economic development projects or whose Articles of

Incorporation and/or By-Laws indicate that it has a focus in the area

of economic development.

--Displaced worker: An individual who is in the labor market but has

been unemployed for six months or longer.

--Distressed community: A geographic urban neighborhood or rural

community of high unemployment and pervasive poverty.

--Eligible applicant: (See appropriate Priority Area under part B.)

--Indian tribe: A tribe, band, or other organized group of Indians

recognized in the State in which it resides or which is considered by

the Secretary of the Interior to be an Indian tribe or an Indian

organization for any purpose. For the purpose of Priority Area 1.0

(Urban and Rural Community Economic Development) an Indian tribe or

Indian organization is ineligible unless the applicant organization is

a private non-profit community economic development corporation.

--Job Creation: Jobs that were not in existence prior to grant. (NOTE:

Do not confuse this with Job Placement which is putting a person in a

vacant job.)

--Migrant farmworker: An individual who works in agricultural

employment of a seasonal or other temporary nature who is required to

be absent from his/her place of permanent residence in order to secure

such employment.

--Rural: An area that is not within the outer boundary of a

metropolitan entity having a population of 25,000 or more and

contiguous communities with a population density of 100 persons or more

per square mile according to the latest decennial census. Such an area

may be located entirely within one State or made up of contiguous

interstate communities.

--Seasonal farmworker: Any individual employed in agricultural work of

a seasonal or other temporary nature who is able to remain at his/her

place of permanent residence while employed.

--Budget period: The interval of time into which a grant period of

assistance is divided for budgetary and funding purposes.

--Project period: The total time for which a project is approved for

support, including any approved extensions.

--Employment Education and Training Program: A program that provides

education and/or training to welfare recipients, at-risk youth, public

housing tenants, displaced workers, homeless and low-income individuals

and that has demonstrated organizational experience in education and

training for these populations (JOBS, JTPA, etc).

--Technical Assistance: A problem-solving event generally utilizing the

services of an expert. Such services may be provided on-site, by

telephone, or other communications. These services address specific

problems and are intended to assist with the immediate resolution of a

given problem or set of problems.

Part B--Program Priority Areas

The program priority areas of the Office of Community Services'

Discretionary Grants Program are as follows:

Priority Area

1.0 Urban and Rural Community Economic Development.

1.1 Urban and Rural Community Economic Development (Operational).

1.2 Urban and Rural Community Economic Development (HBCU Set-

Aside).

1.3 Urban and Rural Community Economic Development (Pre-

Developmental Set-Aside).

1.4 Technical Assistance (Set-Aside)

Priority Area

2.0 The Planning and Development of Rural Housing (including

rental housing for low-income individuals) and Community Facilities.

2.1 Rural Housing (including rental housing for low-income

individuals).

2.2 Rural Community Facilities Development (Water and Waste Water

Treatment Systems Development).

Priority Area

3.0 Assistance for Migrants and Seasonal Farmworkers.

3.1 Assistance for Migrants and Seasonal Farmworkers (General).

3.2 Assistance for Migrants and Seasonal Farmworkers (HBCU Set-

Aside).

Priority Area 1.0 Urban and Rural Community Economic Development

Eligible applicants are private, locally initiated, non-profit

community development corporations (or private non-profit affiliates of

such corporations) governed by a board consisting of residents of the

community and business and civic leaders which sponsor enterprises

providing employment and business development opportunities for low-

income residents of the community.

The purpose of this priority area is to encourage the creation of

projects intended to provide employment and business development

opportunities for low-income people through business, physical or

commercial development, and generally to improve the quality of the

economic and social environment of low-income residents, including

displaced workers, at-risk teenagers, individuals residing in public

housing, and individuals who are homeless, especially those with

developmental disabilities. It is intended to provide resources to

eligible applicants but also has the broader objectives of arresting

tendencies toward dependency, chronic unemployment, and community

deterioration in urban and rural areas. Sub-Priority Area 1.4 is

intended to provide technical assistance to current Office of Community

Services' grantees who are experiencing problems in urban and rural

community economic development projects.

To this end, the program also seeks to attract additional private

capital into distressed communities, including state enterprise zones,

and to build and/or expand the ability of local institutions to better

serve the economic needs of local residents.

Sub-Priority Area 1.1 Urban and Rural Community Economic Development

(Operational)

Funds will be provided to a limited number of private non-profit

community development corporations (or private non-profit affiliates of

such corporations) for business development activities at the local

level. Funding will be provided for specific projects and will require

the submission of business plans or developmental proposals that meet

the test of economic feasibility.

Projects must further the Departmental goals of strengthening

American families and promoting their self-sufficiency. OCS is

particularly interested in receiving applications that stress public-

private partnerships that are directed toward the development of

economic self-sufficiency through a focus on economic expansion.

Applicants located in State enterprise zones, i.e., an area in

which a legislative entity has enacted a program of tax and regulatory

relief to encourage business development, are urged to submit

applications. Such applicants may request funds for a business

development project or a project that demonstrates innovative ways to

create jobs in the poverty community.

Applications must show that the proposed project:

(1) Creates full-time permanent jobs. Seventy-five percent (75%)

of those jobs created must be filled by low-income residents of the

community and must also provide for career development

opportunities. Project emphasis should be on employment of

individuals who are unemployed or on public assistance, with

particular emphasis on at-risk teenagers, AFDC recipients who are

participating in the JOBS program, individuals residing in public

housing, and individuals who are homeless. While projected

employment in future years may be included in the application, it is

essential that the focus of employment projects concentrate on those

jobs created during the duration of the OCS project period; and/or

(2) Creates a significant number of business development

opportunities for low-income residents of the community or

significantly aids such residents in maintaining economically viable

businesses; and

(3) Provides for establishing the self-sufficiency of program

participants.

In the evaluation process, favorable consideration will be given to

applicants under this priority area who show the lowest cost-per-job

created. Unless there are extenuating circumstances, OCS will not fund

projects where the cost-per-job in OCS funds exceeds $15,000.

In addition, favorable consideration in the evaluation process will

be given to applicants who demonstrate their intention to coordinate

services with the local JOBS office and/or other employment education

and training offices that serve the proposed area. The JOBS or other

employment education and training offices should serve welfare

recipients, at-risk youth, public housing tenants, displaced workers,

homeless and low-income individuals (as defined by DHHS poverty

guidelines). Applicants should submit a written agreement from the JOBS

or other local employment education and training office that indicates

what actions will be taken to integrate/coordinate services that relate

directly to the project for which funds are being requested. The

agreement should include the goals and objectives (including target

groups) that the applicant and the employment education and training

office expect to reach through their collaboration. It should describe

the cooperative relationship, including specific activities and/or

actions each of these entities proposes to carry out in support of the

project, and the mechanism(s) to be used in coordinating those

activities if the project is funded by OCS. Documentation that

illustrates the organizational experience of the employment education

and training program should also be included.

Any applicant which proposes to use the requested OCS funds to make

an equity investment such as the purchase of stock, or a loan to a

business concern, including a wholly-owned subsidiary, or to make a

sub-grant with a portion of the OCS funds, must include in its

application a written agreement with the third party that commits the

latter to the following:

1. A minimum of 75% of the jobs to be created under the grant

will be for low-income individuals.

2. The grantee will have authority to screen applicants for jobs

to be filled by low-income individuals and to verify their

eligibility.

3. The grantee will have a seat on the Board of Directors of the

third party's firm if the grantee's investment equals 25% or more of

the firm's assets. (Not applicable to loans made to third parties.)

4. Reports will be made on a quarterly basis to the grantee on

the use of grant funds.

5. A procedure will be developed to assure that there are no

duplicative counts of jobs created.

6. Detailed information will be provided on how the grant funds

will be used by the third party by submitting a Source and Use of

Funds Statement. In addition, the agreement will provide details on

how the community development corporation will provide support and

technical assistance to the third-party in areas of recruitment and

retention of low-income individuals.

Any funds that are proposed to be used for training purposes must

be limited to providing specific job-related training to those poverty

level individuals who have been selected for employment in the grant

supported project.

OCS encourages applications that create linkages with community

organizations administering the JOBS program which will train and place

residents dependent on public assistance into jobs created by the

project funded under this priority area.

Projects which would result in the relocation of a business from

one geographic area to another with the possible displacement of

employees are discouraged.

OCS will not consider applications that propose to establish or

expand revolving loan funds, nor proposals that are geared towards the

establishment of Small Business Investment Corporations or Minority

Enterprise Small Business Investment Corporations.

OCS does not anticipate approving the funding of applications which

propose to sub-grant all or most of the grant activities to an

unrelated entity.

Applicants must be aware that projects funded under this priority

area must be operational by the end of the project period, i.e.,

businesses must be in place, and low-income individuals actually

employed in those businesses.

See Part F, 6, for special instructions on developing a work

program for this priority area.

Sub-Priority Area 1.2 Urban and Rural Community Economic Development

(HBCU Set-Aside)

For Fiscal Year 1994, a set-aside fund of $2,250,000 will be

included under this priority area for eligible applicants that submit

projects that will be carried out in conjunction with Historically

Black Colleges and Universities through contract or sub-grant. Such

projects must conform to the purposes, requirements and prohibitions

applicable to those submitted under Sub-Priority Area 1.1.

Any funds that are proposed to be used for training must be

directly related to the project and all individuals trained must be

placed in a newly created job or business.

These projects should reflect a significant partnership role for

the college or university, and the applicant in doing so will be

considered to have fulfilled the goals of the Public-Private

Partnerships evaluation criterion and will be granted the maximum

number of points in that category. Applications for these set-aside

funds which are not funded due to the limited amount of funds available

will also be considered competitively within the larger pool of

eligible applicants under Sub-Priority Area 1.1.

See Part F, 6, for special instructions on developing a work

program for this priority area.

Sub-Priority Area 1.3 Urban and Rural Community Economic Development

(Pre-Developmental Set-Aside)

OCS intends in this priority area to provide funds to recently-

establishment private, locally initiated non-profit community

development corporations (or affiliates of such corporations) which

propose to undertake economic development activities in distressed

communities.

OCS recognizes that there are a number of newly-organized non-

profit community development corporations who have identified needs in

their communities but who have not had the staff or other resources to

develop projects to address those needs. This lack of resources also

might be affecting their ability to compete for funds, such as those

provided under OCS's Urban and Rural Community Development Program

(Operational Grants) since their limited resources would preclude them

from developing a comprehensive business plan and/or mobilizing

resources. OCS has an interest in providing support to these new

entities in order to enable them to become more firmly established in

their communities, thereby bringing technical expertise and new

resources to these previously unserved or underserved communities.

Therefore, OCS is setting aside $750,000 in Fiscal Year 1994 for grants

to private non-profit community development corporations which have

been in existence for no more than three years and have never received

OCS funding. From this sum, grants of up to $75,000 each will be made

to eligible applicants. These grants will be made for a period of one

year and will not require matching funds.

The grants will be pre-developmental grants under which CDCs or

their affiliates may incur costs to: (1) Evaluate the feasibility of

potential projects which address identified needs in the low-income

community and which conform to those projects and activities allowable

under Sub-Priority Areas 1.1 and 1.2; (2) develop a Business Plan

related to one of those projects; and (3) mobilize resources to be

contributed to projects, including the utilization of Historically

Black Colleges and Universities. Based on the availability of funds in

Fiscal Year 1996, OCS will consider establishing a set-aside to provide

operational funds to those organizations which received pre-

developmental grants. Grants might be for a maximum of $250,000 and

competition for those funds will be restricted to those organizations

receiving Fiscal Year 1994 pre-developmental grants. The Business Plan

developed as a result of the pre-developmental grants would be

submitted as part of the competitive application.

Each application for Fiscal Year 1994 funded under this Priority

Area must include the following as part of the project narrative in

Part IV of the SF-424.

1. Description of the impact area, i.e., a description of the low-

income area it proposes to address;

2. Analysis of need in the distressed community;

3. Project objectives and measurable impact, i.e., a discussion of

the types of projects that might be implemented to address the

identified needs and how the proposed projects relate to the

applicant's organizational goals and previous experience (if any); and

4. Implementation factors and quarterly work plans with specific

task timelines.

Sub-Priority Area 1.4 Technical Assistance

Funds will be awarded under this sub-priority area for the purpose

of providing technical assistance to grantees funded under the Office

of Community Services' Discretionary Grants Program. OCS recognizes

that there are grantees which encounter problems in attempting to

implement their projects. Some of the grantees lack staff capability or

resources to resolve these problems. Therefore, OCS intends to provide

funds to two private, non-profit, locally initiated community

development corporations which will allow these organizations to

provide assistance to other grantees. The grants would be for a maximum

of $250,000 with a grant period not to exceed 17 months. Requests for

assistance would be initiated by OCS with the concurrence of the

grantee to be assisted, or the request could be initiated by the

grantee with the concurrence of OCS. The requests should relate to

specific, identified problems. The assistance may be given on-site, by

telephone, or by other means of communication. Assistance will be

provided free of charge to the grantee by the technical assistance

provider.

Priority Area 2.0 The Planning and Development of Rural Housing

(Including Rental Housing for Low-Income Individuals) and Community

Facilities

Sub-Priority Area 2.1 Rural Housing (Including Rental Housing for Low-

Income Individuals)

Eligible applicants are States, public agencies or private non-

profit organizations, including Historically Black Colleges and

Universities.

The purpose of this priority area is to assist low-income residents

in rural communities by providing grants to eligible applicants to: (a)

Provide technical assistance to help low-income families and

individuals more effectively utilize existing local, State and Federal

housing assistance programs; and (b) develop innovative ways to meet

the housing needs of low-income people, e.g., the rehabilitation or

repair of existing substandard housing units for occupancy by low-

income residents, the conversion of non-residential buildings to low-

income residential use, and the purchase of homes by low-income people.

OCS encourages applications that will assist low-income homeowners

to improve their housing through self-help rehabilitation. These

applications should not include projects which can be funded through

other existing Federal programs.

OCS also encourages the submission of proposals with the aim of

assisting homeless families and those at risk of homelessness.

Innovative ways to address housing needs of homeless families is of

particular interest to OCS.

Projects should produce the following types of tangible

improvements and benefits related to housing conditions for rural poor

people: interior or exterior structural repairs including

weatherization and alternative energy systems; jobs created for local

unskilled residents while assuring quality work; technical assistance

and professional services related to housing and community planning by

community-based design and planning organizations. (Such projects

should be conducted with maximum use of voluntary services of

professional and community personnel, and development of innovative

housing strategies to help low-income rural residents acquire housing.)

Applications calling for new construction or gut rehabilitation

will only be considered if the application documents that there is

insufficient existing housing stock that can be economically

rehabilitated.

Funds will not be available for the repair or rehabilitation of

low-income rental housing unless the structure is either occupied by a

low-income owner or the properties to be repaired are (a) owned by a

private non-profit organization and (b) covered by a written agreement

which will ensure continued occupancy by low-income people for at least

three years after completion of repairs and rehabilitation.

OCS is particularly interested in receiving applications from such

entities as rural housing development corporations, cooperatives, and

other public and private organizations with proven accomplishments in

the area of rural housing.

See Part F, 6, for special instructions on developing a work

program for this priority area.

Sub-Priority Area 2.2 Rural Community Facilities Development (Water

and Waste Water Treatment Systems Development)

Funds will be provided under this priority area to help low-income

rural communities develop the capability and expertise to establish

and/or maintain affordable, adequate and safe water and waste water

treatment facilities.

Funds provided under this priority area may not be used for

construction of water and waste water treatment systems or for

operating subsidies for such systems, but other mobilized funds may be

used for these activities. Therefore, it is suggested that applicants

coordinate projects with the Farmers Home Administration (FmHA) and

other Federal and State agencies to ensure that funds for hardware for

local community projects are available.

Eligible applicants are public or private non-profit organizations,

including Historically Black Colleges and Universities. In accordance

with the authorizing legislation, funding priority will be given to

private non-profit organizations that, before the date of the enactment

of the Human Services Reauthorization Act of 1986, carried out such

programs under the authority found at section 681(1)(2)(D) of the

Community Services Block Grant Act.

See Part F.6, for special instructions on developing a work program

for this priority area.

Priority 3.0 Assistance for Migrants and Seasonal Farmworkers

Sub-Priority 3.1 Assistance for Migrants and Seasonal Farmworkers

(General)

Eligible applicants are States, public agencies and private non-

profit organizations, including Historically Black Colleges and

Universities.

The purpose of this priority area is to fund a limited number of

projects which focus exclusively on the problems and special needs of

migrants and seasonal farmworkers in order to improve their quality of

life and advance self-sufficiency.

OCS will entertain proposals that directly meet farmworker needs in

such areas as: Homelessness; crisis nutritional relief; the development

of self-help systems of food production; emergency health and social

services referral and assistance; home repair, rehabilitation, and

ownership; direct assistance to low-income farmworkers, including at-

risk teenagers, to improve their job skills for them to qualify for

long term and permanent full-time employment in agriculture; and/or

assistance to low-income farmworkers, including at-risk teenagers, who

wish to leave agricultural employment and find jobs in other lines of

work. Linkages with the local JOBS program are encouraged wherever

appropriate.

Applicants must provide quantifiable objectives for each of the

above activities which will be included in the project. OCS encourages

applicants to develop linkages with other public and private sector

service providers who also are working with migrant and seasonal

farmworkers or with issues affecting this target group.

For projects that relate to job skills and training, OCS will not

consider applications proposing to use funds exclusively for classroom

instruction. Placement in permanent jobs must be an integral activity

of any training project.

Applications submitted under this priority area must not contain

requests for OCS funding for projects that would duplicate Community

Services Block Grant funding or activities for which funding is

available from other Federal agencies such as the Department of Labor

and the Department of Agriculture's Women, Infants and Children (WIC)

program.

See Part F, 6, for special instructions on developing a work

program for this priority area.

Sub-Priority Area 3.2 Assistance for Migrants and Seasonal Farmworkers

(HBCU Set-Aside)

For Fiscal Year 1994, a fund of $300,000 will be set aside for

Historically Black Colleges and Universities to enable them to offer

continuing education to migrants and seasonal farmworkers and to

increase participant employment opportunities. Applicants must provide

quantifiable objectives for each of the activities which will be

included in the project. Applications which are not funded within this

set-aside due to the limited amount of funds available will also be

considered competitively within the larger pool of eligible applicants

under Sub-Priority Area 3.1.

See Part F, 6, for special instructions on developing a work

program for this priority area.

Part C--Application Prerequisites

1. Eligible Applicants

Priority areas included in this Program Announcement have differing

eligibility requirements. Therefore, eligible applicants are identified

in the individual priority area descriptions found in Part B, above.

2. Availability of Funds

a. FY 1994 Funds. The Office of Community Services expects to award

funds by September 30, 1994 for new grants. The maximum amount of funds

available for each Priority Area is summarized below:

------------------------------------------------------------------------

Fiscal year

Priority area 1994 funds

------------------------------------------------------------------------

1.0Urban and Rural Community Economic Development:........

1.1Urban and Rural Community Economic Development

(Operational)............................................ $18,733,000

1.2Urban and Rural Community Economic Development (HBCU

Set-Aside)............................................... 2,250,000

1.3Urban and Rural Community Economic Development (Pre-

Developmental Set-Aside)................................. 750,000

1.4Technical Assistance (Set Aside)....................... 500,000

2.0Planning and Development of Rural Housing and Community

Facilities Development................................... 5,460,000

3.0Assistance for Migrants and Seasonal Farmworkers.......

3.1Assistance for Migrants and Seasonal Farmworkers

(General)................................................ 2,647,000

3.2Assistance for Migrants and Seasonal Farmworkers (HBCU

Set-Aside)............................................... 300,000

------------------------------------------------------------------------

b. Grant Amounts. No more than the below stated amounts will be

granted for projects under the Priority Areas as indicated:

------------------------------------------------------------------------

Funding

Sub-priority area limit

------------------------------------------------------------------------

1.1......................................................... $700,000

1.2......................................................... 750,000

1.3......................................................... 75,000

1.4......................................................... 250,000

2.1......................................................... 250,000

2.2......................................................... 425,000

3.1......................................................... 250,000

3.2......................................................... 75,000

------------------------------------------------------------------------

3. Project and Budget Periods

For Sub-Priority Areas 1.1, and 1.2, applicants with projects

involving construction only, may request project and budget periods of

up to 36 months. Applicants for other economic development projects

under those priority areas and Sub-Priority Areas 1.4, 2.1, 3.1 and 3.2

may request project and budget periods of up to 17 months. For Sub-

Priority Area 2.2, grantees will be funded for a 12 month project

period. For Sub-Priority Area 1.3, applicants may request project and

budget periods of up to 12 months. By fully funding the projects in FY

94 funding stability in future years will be insured.

4. Mobilization of Resources

OCS encourages and strongly supports mobilization of resources

through public/private partnerships which can mobilize cash and/or

third-party in-kind contributions. (See Part D, Criteria VA.)

5. Program Beneficiaries

Projects proposed for funding under this Announcement must result

in direct benefits to low-income people as defined in the most recent

Annual Revision of Poverty Income Guidelines published by DHHS.

Attachment A to this Announcement is an excerpt from the 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 also may be

obtained at public libraries, Congressional offices, or by writing the

Superintendent of Documents, U.S. Government Printing Office,

Washington, DC 20402.

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.

6. Number of Projects in Application

An application may contain only one project (except for Priority

Areas 1.3, 1.4, and 3.1 where applicants are researching various

opportunities, providing assistance to current OCS grantees, or having

a multi-faceted approach to Migrants' issues) and this project must be

identified as responding to one of the program priority areas stated in

this Announcement. Applications which are not in compliance with this

requirement will be ineligible for funding.

7. Multiple Submittals

There is no limit to the number of applications that can be

submitted under a specific program priority area as long as each

application contains a proposal for a different project. However, an

applicant will receive only one grant in any Priority Area.

8. Sub-Contracting or Delegating Projects

OCS does not fund projects where the role of the applicant is

primarily to serve as a conduit for funds to organizations other than

the applicant. The applicant must have a substantive role in the

implementation of the project for which funding is requested.

9. Previous Performance and Current Grants

Previous performance of applicants will be a determining factor in

the grant award decisions. Any applicant which has three or more active

OCS grants may only be funded under exceptional circumstances.

Part D--Application Procedures

1. Availability of Forms

Attachments B, C, and D contain all of the standard forms necessary

for the application for awards under these OCS programs. These forms

may be photocopied for the application.

Copies of the Federal Register containing this announcement are

available at most local libraries and Congressional District Offices

for reproduction. If copies are not available at these sources, they

may be obtained by writing or telephoning the office listed under the

section entitled

FOR FURTHER INFORMATION at the beginning of this announcement.

For purposes of this announcement, all applicants will use SF-424,

SF-424A, and SF-424B, regardless of the priority area governing the

project. Applications proposing construction projects will also present

all required financial data using SF-424A. Instructions for completing

the SF-424, SF-424A, and SF-424B are found in Attachments B, C, and D.

Part F contains instructions for the project narrative and project

abstract. They will be submitted on plain bond paper along with the SF-

424 and related forms.

Attachment J provides a checklist to aid applicants in preparing a

complete application package for OCS.

The applicant must be aware that in signing and submitting the

application for this award, it is certifying that it will comply with

the Federal requirements concerning the drug-free workplace and

debarment regulations set forth in Attachments E and F.

2. Application Submission

Applications must be submitted to ACF by the closing date. Refer to

Closing Date at the beginning of this document for the specific date.

Applications may be mailed to: Administration for Children and

Families, Office of Financial Management, Division of Discretionary

Grants, 370 L'Enfant Promenade SW., 6th Floor (OCS-94-9), Washington,

DC 20447.

Hand-delivered applications are accepted during normal working

hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the

established closing date at the below listed address: Administration

for Children and Families, Office of Financial Management, Division of

Discretionary Grants, 901 D Street SW., 6th Floor (OCS-94-9),

Washington, DC 20447.

An application will be considered to be received on time if sent on

or before the closing date as evidenced by a legible U.S. Postal

Service postmark or a legibly dated receipt from a commercial carrier.

Private metered postmarks will not be considered acceptable as proof of

timely mailing. Applications submitted by any means other than through

the U.S. Postal Service or commercial carrier shall be considered as

acceptable only if physically received at the above address before

close of business on or before the deadline date.

Note: Applicants should note that the U.S. Postal Service does

not uniformly provide a dated postmark. Before relying on this

method, applicants should check with their local post office. In

some instances packages presented for mailing after a pre-determined

time are postmarked with the next day's date. In other cases,

postmarks are not routinely placed on packages. Applicants are

cautioned to verify that there is a date on the package, and that it

is the correct date of mailing, before accepting a receipt.

Applications which have a postmark later than the closing date, or

which are hand-delivered after the closing date, will be returned to

the sender without consideration in the competition.

One signed original application and four copies are required. The

first page of the SF-424 must contain in the lower right-hand corner, a

designation indicating under which priority area funds are being

requested (See Part F, section 1, subsection 11).

3. Intergovernmental Review

This program is covered under Executive Order 12372,

Intergovernmental Review of Federal Programs, and 45 CFR part 100,

Intergovernmental Review of Department of Health and Human Services

Programs and Activities. Under the Order, States may design their own

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alaska, Alabama, Connecticut,

Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,

Oklahoma, Oregon, Virginia, Pennsylvania, Washington, American Samoa

and Palau have elected to participate in the Executive Order process

and have established Single Points of Contact (SPOCs). Applicants from

these seventeen jurisdictions need take no action regarding Executive

Order 12372. Applicants for projects to be administered by Federally-

recognized Indian Tribes are also exempt from the requirements of

Executive Order 12372. Otherwise, applicants should contact their SPOCs

as soon as possible to alert them of the prospective applications and

receive any necessary instructions. Applicants must submit any required

material to the SPOCs as soon as possible so that the program office

can obtain and review SPOC comments as part of the award process. It is

imperative that the applicant submit all required materials, if any, to

the SPOC and indicate the date of this submittal (or the date of

contact if no submittal is required) on the Standard Form 424, item

16a.

Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application

deadline date to comment on proposed new or competing continuation

awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations. Additionally, SPOCs are

requested to clearly differentiate between mere advisory comments and

those official State process recommendations which they intend to

trigger the ``accommodate or explain'' rule.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Office of Financial Management, Division of

Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor,

Washington, DC 20447.

A list of the Single Points of Contact for each State and Territory

is included as Attachment G of this announcement.

4. Application Consideration

Applications which meet the screening requirements in sections 5a

and b below will be reviewed competitively. Such applications will be

referred to reviewers for a numerical score and explanatory comments

based solely on responsiveness to program priority area guidelines and

evaluation criteria published in this announcement.

Applications submitted under all priority areas will be reviewed by

persons outside of the OCS unit which will be directly responsible for

programmatic management of the grant. The results of these reviews will

assist the Director and OCS program staff in considering competing

applications. Reviewers' scores will weigh heavily in funding decisions

but will not be the only factors considered. Applications generally

will be considered in order of the average scores assigned by

reviewers. However, highly ranked applications are not guaranteed

funding since the Director may also consider other factors deemed

relevant including, but not limited to, the timely and proper

completion of projects funded with OCS funds granted in the last five

(5) years; comments of reviewers and government officials; staff

evaluation and input; geographic distribution; previous program

performance of applicants; compliance with grant terms under previous

DHHS grants; audit reports; investigative reports; and applicant's

progress in resolving any final audit disallowances on previous OCS or

other Federal agency grants. Applicants with three or more incomplete

grants at the time of review may be denied funding.

OCS reserves the right to discuss applications with other Federal

or non-Federal funding sources to ascertain the applicant's performance

record.

5. Criteria for Screening Applicants

a. Initial screening. All applications that meet the published

deadline for submission will be screened to determine completeness and

conformity to the requirements of this announcement. Only those

applications meeting the following requirements will be reviewed and

evaluated competitively. Others will be returned to the applicants with

a notation that they were unacceptable.

(1) The application must contain a Standard Form 424 Application

for Federal Assistance (SF 424), a budget (SF-424A), and signed

Assurances (SF 424B) completed according to instructions published in

Part F and Attachments B, C, and D of this Program Announcement.

(2) A project narrative and a project abstract must also accompany

the standard forms.

(3) The SF-424 and the SF-424B must be signed by an official of the

organization applying for the grant who has authority to obligate the

organization legally.

(4) The application must be submitted for consideration under one

priority area only.

b. Pre-rating review. Applications which pass the initial screening

will be forwarded to reviewers and/or OCS staff prior to the

programmatic review to verify that the applications comply with this

Program Announcement in the following areas:

(1) Eligibility: Applicant meets the eligibility requirements for

the priority area under which funds are being requested. Proof of non-

profit status must be included in the Appendices of the Project

Narrative where applicable. Applicants must also be aware that the

applicant's legal name as required in SF-424 (Item 5) must match that

listed as corresponding to the Employer Identification Number (Item 6).

(2) Number of Projects: An application may contain only one project

(except for Priority Areas 1.3, 1.4, and 3.1 where applicants are

researching various opportunities, providing assistance to current OCS

grantees, or have a multi-faceted approach to Migrants' issues) and

this project must be identified as responding to one of the program

priority areas stated in this Announcement.

(3) Grant amount: The amount of funds requested does not exceed the

limits indicated in Part C, 2, b for the appropriate priority area.

(4) Written Agreement When Applicant Proposes to Make Equity

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

application contains a written agreement signed by the applicant and

the third party which includes all of the elements required in Part B.

An application may be disqualified from the competition and

returned if it does not conform to one or more of the above

requirements.

c. Evaluation criteria. Applications which pass the pre-rating

review will be assessed and scored by reviewers. Each reviewer will

give a numerical score for each application reviewed. These numerical

scores will be supported by explanatory statements on a formal rating

form describing major strengths and weaknesses under each applicable

criterion published in the announcement.

The in-depth evaluation and review process will use the following

criteria coupled with the specific requirements contained under each

program priority area as described in Part B.

Note: the following review criteria reiterate collection of

information requirements contained in Part F of this announcement.

These requirements are approved under OMB Control Number 0970-0062.

6. Criteria for Review and Evaluation of all Applications Except Sub-

Priority Areas 1.3 and 1.4

(a) Criterion I: Analysis of Need (Maximum: 5 points). The

application documents that the project addresses a vital need in a

distressed community and provides statistics and other data and

information in support of its contention.

(b) Criterion II: Organizational Experience in Program Area and

Staff Responsibilities (Maximum: 15 points)--(i) Organizational

Experience in Program Area (sub-rating: 0-5 points). Documentation

provided indicates that projects previously undertaken have been

relevant and effective and have provided permanent benefits to the low-

income population.

Organizations which propose providing training and technical

assistance have detailed competence in the specific program priority

area and as a deliverer with expertise in the fields of training and

technical assistance. If applicable, information provided by these

applicants also addresses related achievements and competence of each

cooperating or sponsoring organization.

Applicable to Sub-Priority Areas 1.1, and 1.2

The applicant has demonstrated the ability to implement major

activities in such areas as business development, commercial

development, physical development, or financial services; the ability

to mobilize dollars from sources such as the private sector

(corporations, banks, etc.), foundations, the public sector, including

State and local governments, or individuals; that it has a sound

organizational structure and proven organizational capability; and an

ability to develop and maintain a stable program in terms of business,

physical or community development activities that will provide needed

permanent jobs, services, business development opportunities, and other

benefits to community residents.

(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10

points). The application describes in brief resume form the experience

and skills of the project director who is not only well qualified, but

his/her professional capabilities are relevant to the successful

implementation of the project. If the key staff person has not yet been

identified, the application contains a comprehensive position

description which indicates that the responsibilities to be assigned to

the project director are relevant to the successful implementation of

the project. The applicant has adequate facilities and resources (i.e.

space and equipment) to successfully carry out the work plan. The

assigned responsibilities of the staff are appropriate to the tasks

identified for the project and sufficient time of senior staff will be

budgeted to assure timely implementation and cost effective management

of the project.

Work Plan, or Business Plan where appropriate, is both sound and

feasible. The project is responsive to the needs identified in the

Analysis of Need. It sets forth realistic quarterly time targets by

which the various work tasks will be completed. Critical issues or

potential problems that might impact negatively on the project are

defined and the project objectives can be reasonably attained despite

such potential problems.

(d) Criterion IV A: Significant and Beneficial Impact (Maximum: 30

points) (Applicable to Sub-Priority Areas 1.1, and 1.2)--(i)

Significant and Beneficial Impact (sub-rating: 0-15 points). The

application contains a full and accurate description of the proposed

use of the requested financial assistance. The proposed project will

produce permanent and measurable results that will reduce the incidence

of poverty in the community. The OCS grant funds, in combination with

private and/or other public resources, are targeted into low-income

communities, distressed communities, and/or designated enterprise

zones.

(ii) Cost-per-Job (sub-rating: 0-10 points). During the project

period the proposed project will create new, permanent jobs or maintain

permanent jobs for low-income residents at a cost-per-job below $15,000

in OCS funds.

Note: The maximum number of points will be given to those

applicants proposing cost-per-job estimates of $5,000 or less of OCS

requested funds. Higher cost-per-job estimates will receive

correspondingly fewer points.

(iii) Career Development Opportunities (sub-rating: 0-5 points).

The application documents that the jobs to be created for low-income

people have career development opportunities which will promote self-

sufficiency.

(e) Criterion IV B: Significant and Beneficial Impact (Maximum: 30

points) Applicable to Sub-Priority Areas 2.1, 2.2, 3.1 and 3.2)

The application contains a full and accurate description of the

proposed use of the requested financial assistance. The proposed

project will produce permanent and measurable results that will reduce

the incidence of poverty in the areas targeted and significantly

enhance the self sufficiency of program participants. Results are

quantifiable in terms of program area expectations, e.g., number of

units of housing rehabilitated, agricultural and non-agricultural job

placements, etc. The OCS grant funds, in combination with private and/

or other public resources, are targeted into low-income and/or

distressed communities and/or designated enterprise zones.

(f) Criterion V: Public-Private Partnerships (Maximum: 20 points)--

(1) Mobilization of resources: (sub-rating: 15 points). The application

documents that the applicant will mobilize from public and/or private

sources cash and/or in-kind contributions valued at an amount equal to

the OCS funds requested. Applicants documenting that the value of such

contributions will be at least equal to the OCS funds requested will

receive the maximum number of points for this Criterion. Lesser

contributions will be given consideration based upon the value

documented. Applicants under Sub-Priority Area 1.2 who are proposing to

enter into a partnership with Historically Black Colleges and

Universities are deemed to have fully met this criterion and will

receive the maximum number of points if they document the participation

of the HBCU.

(2) Integration/coordination of services: (sub-rating: 5 points)

The applicant demonstrates a commitment to coordination with the local

JOBS office and/or other employment education and training program

(such as JTPA) to ensure that welfare recipients, at-risk youth,

displaced workers, public housing tenants, homeless and low-income

individuals will be trained and placed in the newly created jobs. The

applicant provides written agreement from the local JOBS or other

employment education and training office indicating what actions will

be taken to integrate/coordinate services that relate directly to the

project for which funds are being requested.

Specifically, the agreement should include: (1) The goals and

objectives that the applicant and the JOBS or other employment

education and training office expect to achieve through their

collaboration; (2) the specific activities/actions that will be taken

to integrate/coordinate services on an on-going basis; (3) the target

population that this collaboration will serve; (4) the mechanism(s) to

be used in integrating/coordinating activities; (5) how those

activities will be significant in relation to the goals and objectives

to be achieved through the collaboration; and (6) how those activities

will be significant in relation to their impact on the success of the

OCS-funded project.

The applicant should also provide documentation that illustrates

the organizational experience related to the employment education and

training program (refer to Criterion II for guidelines).

(g) Criterion VI: Budget Appropriateness and Reasonableness

(Maximum: 5 points). Funds requested are commensurate with the level of

effort necessary to accomplish the goals and objectives of the project.

The application includes a detailed budget break-down for each of the

budget categories in the SF-424A. The applicant presents a reasonable

administrative cost. The estimated cost to the government of the

project also is reasonable in relation to the anticipated results.

7. Criteria for Review and Evaluation of Applications Submitted Under

Sub-Priority Area 1.3

a. Criterion I: Organizational Capability and Capacity (Maximum: 20

Points)--(1) Organizational experience in program area (sub-rating: 5

Points). Where the applicant has a history of prior achievement in

economic development, the documentation must address the relevance and

effectiveness of projects undertaken, especially their cost

effectiveness and the relevance and effectiveness of any services and

the permanent benefits provided to the targeted population. Applicants

must also indicate why they feel that they can successfully implement

the project for which they are requesting funds.

(2) Management capacity (sub-rating: 5 points). Applicants must

fully detail their ability to implement sound and effective management

practices and if they have been recipients of other Federal or other

governmental grants, they must also detail that they have consistently

complied with financial and program progress reporting and audit

requirements. Applicants should submit any available documentation on

their management practices and progress reporting procedures along with

a statement by a Certified or Licensed Public Accountant as to the

sufficiency of the applicant's financial management system to protect

adequately any Federal funds awarded under the application submitted.

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

describe (e.g., resumes) the experience and skills of key staff showing

that they are not only well qualified but that their professional

capabilities are relevant to the successful implementation of the

project.

(4) Staffing responsibilities (sub-rating: 5 points). The

application must describe how the assigned responsibilities of the

staff are appropriate to the tasks identified for the project.

b. Criterion II: Significant and Beneficial Impact (Maximum: 35

Points). The work plan funded under this announcement must show that

there is a clearly identified need in a low-income area which is not

being effectively addressed currently.

Project funds under this announcement must be used to develop a

Business Plan for a project which would produce permanent and

measurable results that will reduce the incidence of poverty in the

areas targeted and mobilize non-discretionary program dollars from

private sector individuals, public resources, corporations, and

foundations if the project is implemented. The project around which the

Business plan is developed with the use of OCS grant funds must be

targeted into low-income communities, and/or designated enterprise

zones, with the goals of increasing the economic conditions and social

self-sufficiency of residents. Activities must be designed to achieve

the specific Program Priority Area 1.3 objectives as defined in this

program announcement.

c. Criterion III: Project Implementation and Evaluation (Maximum:

30 Points). (1) Project implementation component (sub-rating: 25

points). The application must contain a detailed and specific work plan

that is both sound and feasible. It must set forth realistic quarterly

time targets by which the various work tasks will be completed. Because

quarterly time schedules are used by OCS as a key instrument to monitor

progress, failure to include these time targets may seriously reduce an

applicant's point score in this criterion. It must define critical

issues or potential problems that might impact negatively on the

project and it must indicate how the project objectives will be

attained notwithstanding any such potential problems.

(2) Evaluation component (sub-rating: 5 points). All proposals

should include a self-evaluation component. The evaluation data

collection and analysis procedures should be specifically oriented to

assess the degree to which the stated goals and objectives are

achieved. Qualitative and quantitative measures reflective of the

scheduling and task delineation in (1) above should be used to the

maximum extent possible. This component should indicate the ways in

which the potential grantee would integrate qualitative and

quantitative measures of accomplishment and specific data into its

program progress reports that are required by OCS from all grantees.

d. Criterion IV: Budget Appropriateness and Reasonableness

(Maximum: 15 points). Each applicant should carefully review the

requirements of Program Sub-Priority Area 1.3 and the budget submitted

must coincide with those requirements.

The proposal's request for funds must include a detailed budget

breakout for each of the pertinent budget categories in part III,

section B of the SF-424. (Please identify any positions for which less

than full-time funding is requested.)

8. Criteria for Review and Evaluation of Applications Submitted Under

Sub-Priority Area 1.4

(a) Criterion I: Organizational Experience in Program Area and

Staff Responsibilities (Maximum: 20 points)--(i) Organizational

Experience in Program Area (sub-rating: 0-10 points. Applicant has

documented the capability to provide leadership in solving long-term

and immediate problems locally and/or nationally in such areas as

business development, commercial development, organizational and staff

development, board training, and micro-entrepreneurship development.

Applicant must document a capability (including access to a network of

skilled individuals and/or organizations) in two or more of the

following areas: Business Management, including strategic planning and

fiscal management; Finance, including development of financial packages

and provision of financial/accounting services; and Regulatory

Compliance, including assistance with zoning and permit compliance.

Further, the applicant has the demonstrated ability to mobilize dollars

from sources such as the private sector (corporations, banks,

foundations, etc.) and the public sector, including state and local

governments. 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.

Applicants must indicate why they feel that their successful

experiences would be of assistance to existing grantees which are

experiencing difficulties in implementing their projects.

(ii) Staff Skills, Resources and Responsibilities (sub-rating 0-10

points). The application describes in brief resume form the experience

and skills of the project director who is not only well qualified, but

who has professional capabilities relevant to the successful