Request for Applications Under the Office of Community Services' Fiscal Year 1996 Discretionary Grants Program

SUMMARY: The Administration for Children and Families, Office of

Community Services (OCS) announces that competing applications will be

accepted for new grants pursuant to the Secretary's discretionary

authority under sections 681(a) and (b) of the Community Services Block

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

seven parts: Part A covers information on legislative authorities and

defines terms used in the Program Announcement;

Part B lists the two program priority areas under which grants will

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

funding under each priority area, and defines which organizations are

eligible to apply;

Part 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 and time for receipt of applications is

4:30 p.m., eastern time zone, on June 11, 1996. Applications received

after 4:30 p.m. on that day will be classified as late. Postmarks and

other similar documents do not establish receipt of an application.

Detailed application submission instructions including the addresses

where applications must be received are found in Part D of this

announcement.

FOR FURTHER INFORMATION CONTACT: Office of Community Services, Joseph

Carroll, Division of Community Discretionary Programs, Administration

for Children and Families, 370 L'Enfant Promenade S.W., Washington,

D.C. 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.--10. 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) and 681(b)(2) of the Community Services Block Grant

Act, as amended, authorizes the Secretary to make funds available to

support program activities of national or regional significance to

alleviate the causes of poverty in distressed communities with special

emphasis on community and economic development activities.

2. Departmental Goals

This announcement is particularly relevant to the Departmental goal

of strengthening the American family and promoting self-sufficiency.

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

people to employment- 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:

--Community development corporation: a private, nonprofit entity,

governed by a board consisting of residents of the community and

business and civic leaders, which has as a principal purpose planning,

developing, or managing low-income housing or community development

projects.

--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.)

--Empowerment Zones and Enterprise Communities: Those communities

designated as such by the Secretaries of Agriculture or Housing and

Urban Development.

--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: To bring about, by activities and services funded under

this program, new jobs, that is, jobs that were not in existence before

the start of the project. These activities can be the development of

new business ventures or the expansion of existing businesses.

(Note: Do not confuse this with Job Placement which is placing a

person in a vacant job.)

--Job Retention: Jobs that are saved as a result of the OCS grant. (For

[[Page 16319]]

example, saving a business that may be headed towards bankruptcy or

stopping a business that may be relocating which would cause the loss

of low-income jobs).

--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.

4. Availability of Funds

All grant awards are subject to the availability of appropriated

funds.

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.

Sub-Priority Areas Under 1.0

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 Urban and Rural Community Economic Development (Developmental

Set-Aside).

1.5 Administrative and Management Expertise (Set-Aside).

1.6 Training and Technical Assistance (Set-Aside).

Priority Area 2.0 Rural Community Development Activities.

Sub-Priority Area 2.1 Rural Community Facilities Development

(Water and Waste Water Treatment Systems Development).

Priority Area 1.0 Urban and Rural Community Economic Development.

Eligible applicants are private, non-profit community development

corporations governed by a board consisting of residents of the

community and business and civic leaders which have as a principal

purpose planning, developing, or managing low-income housing or

community development projects.

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

projects intended to provide employment and business development

opportunities for low-income people through business, physical or

commercial development, 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 1.5 is

intended to provide administrative and management expertise to current

Office of Community Services' grantees who are experiencing problems in

the implementation of urban and rural community economic development

projects. Sub-Priority Area 1.6 is intended to provide training and

technical assistance to groups of community development corporations in

developing or implementing projects funded under this section and to

generally enhance the viability and competence of community development

corporations.

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

capital into distressed communities, including empowerment zones and

enterprise communities, and to build and/or expand the ability of local

institutions to better serve the economic needs of local residents.

Sub-Priority Area 1.1 Urban and Rural Community Economic Development

(Operational)

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

community development corporations for business development activities

at the local level. Funding will be provided for specific projects and

will require the submission of business plans or developmental

proposals that meet the test of economic feasibility.

For Fiscal Year 1996, it is anticipated that approximately twenty

(20) grants up to a maximum of $350,000 will be awarded and

approximately ten (10) grants over $350,000 but up to $700,000 will be

made. Competition for these funds will be restricted to either the

$350,000 and under or over $350,000 but up to $700,000 categories. Each

category of funds will compete only among themselves.

Projects must further the Departmental goals of strengthening

American families and promoting their self-sufficiency. OCS is

particularly interested in receiving applications that stress public-

private partnerships that are directed toward the development of

economic self-sufficiency through a focus on economic expansion.

Applicants located in empowerment zones and enterprise communities

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 community.

Applications must show that the proposed project:

(1) Creates full-time permanent jobs except where an applicant

demonstrates that a permanent part-time job produces actual wages that

exceed the HHS poverty guidelines. Seventy-five percent (75%) of those

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

and must also provide for career development opportunities. Project

emphasis should be on employment of individuals who are unemployed or

on public assistance, with particular emphasis on 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.

[[Page 16320]]

In addition, favorable consideration in the evaluation process will

be given to applicants who demonstrate their intention to coordinate

services with the local public assistance offices 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 office should also be included.

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

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

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

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

the proposed transaction. For example, regarding a stock purchase, the

cost per share, number of shares and percentage of ownership is needed.

Also the application must include a written agreement with the third

party that commits the latter to the following:

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

be for low-income individuals.

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

be filled by 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.

OCS encourages applications that will develop linkages or

agreements with local agencies responsible for administering public

assistance programs. OCS would expect these programs to train public

assistance recipients and create new jobs for public assistance

recipients through a variety of business development projects funded

under this priority area, i.e., business expansions, new business

development and start up entities, etc.

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

be limited to providing specific job-related training to those

individuals who have been selected for employment in the grant

supported project for newly created positions. Projects involving

training and placement for existing vacant positions will be

disqualified.

Projects which would result in the relocation of a business from

one geographic area to another with the possible displacement of

employees are discouraged.

OCS will not consider applications that propose to establish or

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

establishment of Small Business Investment Corporations or Minority

Enterprise Small Business Investment Corporations.

OCS does not anticipate approving the funding of applications which

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

unrelated entity.

Applicants must be aware that projects funded under this priority

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

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

employed in those businesses.

See Part F, 7, d, 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 1996, it is anticipated that a set-aside fund of

$2,100,000 will be included under this priority area for eligible

applicants that submit projects that will be carried out in conjunction

with Historically Black Colleges and Universities 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.

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. Any funds that are not

used under this sub-priority area due to the limited number of highly

scored applications will be rolled over into Sub-Priority Area 1.1.

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

directly related to the project and individuals trained should be

placed in the newly created job or business.

See Part F, 7, d, 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, non-profit community development corporations

which propose to undertake economic development activities in

distressed communities.

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

profit community development corporations 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 funds in Fiscal Year 1996 for grants to

private non-profit community development corporations that have never

received OCS funding; have been in existence for

[[Page 16321]]

no more than three years or have been in existence longer than three

years but have no record of participation in economic development type

projects. For the latter, a CDC must state that it has not been active.

We anticipate that grants of up to $75,000 each will be made to

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

and will not require matching funds.

These grants will be pre-developmental grants under which CDCs may

incur costs to: (1) Evaluate the feasibility of potential projects

which address identified needs in the low-income community and which

conform to those projects and activities allowable under Sub-Priority

Areas 1.1, 1.2, and 1.4; (2) develop a Business Plan related to one of

those projects; and (3) mobilize resources to be contributed to

projects, including the utilization of Historically Black Colleges and

Universities.

Based on the availability of funds in Fiscal Year 1997, 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 would be

restricted to those organizations receiving Fiscal Year 1996 pre-

developmental grants. The Business Plan developed as a result of the

pre-developmental grant would be submitted as part of the competitive

application.

Each application for Fiscal Year 1996 funded under this Priority

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

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

income area it proposes to address;

2. Analysis of need in the distressed community;

3. 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.

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.

Sub-Priority Area 1.4 Urban and Rural Community Economic Development

(Developmental Set Aside)

OCS intends in this priority area to provide funds to organizations

who received grants from OCS in Fiscal Years 1994 and 1995 under the

Pre-Developmental grant program. These organizations will compete only

among themselves. Such projects must conform to the purposes,

requirements and prohibitions applicable to those submitted under

Priority Area 1.1. Applications which are not funded within this set-

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

considered competitively within the larger pool of eligible applicants

under Sub-Priority Area 1.1.

Sub-Priority Area 1.5 Administrative and Management Expertise

OCS believes that one of the most effective means of assuring the

successful operation of a project under the Discretionary Grants

Program area is through the sharing amongst CDCs of their experiences

in dealing with the day to day issues and challenges presented in

promoting community economic development. Accordingly, OCS strongly

encourages more experienced CDCs to share their administrative and

management expertise with less experienced CDCs or with those who have

encountered difficulties in operationalizing their work programs. In

order to facilitate this, OCS will provide funds to one or more

community development corporations (as defined in Part A.3) to assist

with their efforts to enhance the management and operational capacities

of the less experienced CDCs or those having difficulties.

We anticipate that the grant(s) would be for a maximum of $500,000

with a project period not to exceed 17 months. OCS will share with the

grantee(s) information on other grantees seeking to benefit from such

assistance. Such formal requests could also be initiated by a grantee

with the concurrence of OCS. These contacts may occur on-site, by

telephone, or by other methods of communication. Costs incurred in

connection with participating in such activities will be borne by the

recipient(s) of the OCS grant under this sub-priority area.

Sub-Priority Area 1.6 Training and Technical Assistance

Funds will be awarded to one organization under this priority area

for the purpose of providing training and technical assistance to

strengthen the network of CDCs.

We anticipate that the grant will be for $210,000 with a grant

period not to exceed 17 months. Applicant must have the ability to

collect and analyze data nationally that may benefit CDCs and be able

to disseminate information to all of OCS funded grantees; publish a

national directory of funding sources for CDCs (public, corporate,

foundation, religious); publish research papers on specific aspects of

job creation by CDCs; design and provide information on successful

projects and economic niches that CDCs can target. The applicant will

also be responsible for the development of instructional programs,

national conferences, seminars, and other activities to assist

community development corporations.

Eligible applicants are private non-profit organizations.

Applicants must operate on a national basis and have significant and

relevant experiences in working with community development

corporations.

Priority Area 2.0 Rural Community Development Activities

Sub-Priority Area 2.1 Rural Community Facilities Development (Water

and Waste Water Treatment Systems Development)

Funds will be provided under this 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 multi-state, regional private non-profit

organizations that can provide training and technical assistance to

small, rural communities in meeting their community facility needs.

See Part F, 7, d, 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

[[Page 16322]]

individual priority area descriptions found in Part B, above.

2. Availability of Funds

a. FY 1996 Funds

The approximate amount of funds anticipated to be available for

each Priority Area is summarized below:

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

Fiscal year 1996

Priority area funds

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

1.0 Urban and Rural Community Economic Development:

1.1 Urban and Rural Community Economic

Development (Operational)........................ $14,000,000

1.2 Urban and Rural Community Economic

Development (HBCU Set-Aside)..................... 2,100,000

1.3 Urban and Rural Community Economic

Development (Pre-Developmental Set-Aside)........ 750,000

1.4 Urban and Rural Community Economic

Development (Developmental Set-Aside)............ 2,500,000

1.5 Grantee Assistance (Set-side)................ 500,000

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

2.1 Rural Community Facilities Development (Water

and Waste Water Treatment Systems Development)... 3,009,000

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

b. Grant Amounts

The approximate amounts to be granted for projects under the

Priority Areas are indicated below:

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

Sub-priority area Funding limit

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

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

Approximately 20 at $350,000.

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

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

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

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

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

2.1.............................. Approximately 7 from $221,000-

$425,000.

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

3. Project and Budget Periods

For Sub-Priority Areas 1.1, 1.2, and 1.4, applicants with projects

involving construction only, may request project and budget periods up

to 36 months. Applicants for non-construction under these priority

areas may request project periods up to 36 months and budget periods up

to 17 months. Sub-Priority Areas 1.5, and 1.6 may request project and

budget periods of up to 17 months. For Sub-Priority Area 2.1, grantees

will be funded for a 12 month project period. For Sub-Priority Area

1.3, applicants may request project and budget periods of up to 12

months.

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.

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 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 by accessing the OCS Electronic Bulletin

Board (see ``For Further Information Contact'' at the beginning of this

Announcement), at public libraries, Congressional offices, or by

writing the Superintendent of Documents, U.S. Government Printing

Office, Washington, D.C. 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 Sub-

Priority Areas 1.3, 1.5, and 1.6) where applicants are researching

various opportunities, are sharing administrative and management

expertise with current OCS grantees, or are providing training and/or

technical assistance for current OCS grantees, including the

organization of seminars and other activities in assisting Community

Development Corporations. Applications which are not in compliance with

this requirement will be ineligible for funding.

7. Multiple Submittals

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

submitted under a specific program priority area as long as each

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

applicant can receive only one grant in each Priority Area.

8. Sub-Contracting or Delegating Projects

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

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

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

implementation of the project for which funding is requested.

9. Previous Performance and Current Grants

Previous performance of applicants will be considered an important

determining factor in the grant award decisions. Any applicant which

has three or more active OCS grants may only be funded under

exceptional circumstances.

Part 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 CONTACT at the beginning of

this announcement.

For purposes of this announcement, all applicants will use the

following forms:

[[Page 16323]]

SF 424

SF 424A

SF 424B

Applications proposing construction projects will also present all

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

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

Part 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 K provides a checklist to aid applicants in preparing a

complete application package for OCS.

The applicant must be aware that in signing and submitting the

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

the Federal requirements concerning the drug-free workplace and

debarment regulations set forth in Attachments E and F.

2. Application Submission

The closing time and date for receipt of applications are 4:30 p.m.

(Eastern Standard Time) on June 11, 1996. Applications received after

4:30 p.m. will be classified as late.

Deadline: Mailed applications shall be considered as meeting an

announced deadline if they are received on or before the deadline time

and date at the U. S. Department of Health and Human Services,

Administration for Children and Families, Division of Discretionary

Grants, 370 L'Enfant Promenade, S. W., Mail Stop 6C-462, Washington, D.

C. 20447, Attention: Application for Discretionary Grants Program.

Applicants are responsible for mailing applications well in advance,

when using all mail services, to ensure that the applications are

received on or before the deadline time and date.

Applications handcarried by applicants, applicant couriers, or by

overnight/express mail couriers shall be considered as meeting an

announced deadline if they are received on or before the deadline date,

between the hours of 8:00 a.m. and 4:30 p.m., at the U. S. Department

of Health and Human Services, Administration for Children and Families,

Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,

Aerospace Center, 901 D Street, S. W., Washington, D. C. 20024, between

Monday and Friday (excluding Federal holidays). (Applicants are

cautioned that express/overnight mail services do not always deliver as

agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

ACF electronically will not be accepted regardless of date or time of

submission and time of receipt.

Late applications: Applications which do not meet the criteria

above are considered late applications. ACF shall notify each late

applicant that its application will not be considered in the current

competition.

Extension of deadlines: ACF may extend the deadline for all

applicants because of acts of God such as floods, hurricanes, etc., or

when there is widespread disruption of the mails. However, if ACF does

not extend the deadline for all applicants, it may not waive or extend

the deadline for any applicants.

One signed original application and four copies are required. The

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

designation indicating under which sub-priority area funds are being

requested (for example, 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, or 2.1). See Part

F, section 1, subsection 11 for details.

3. Intergovernmental Review

This program is covered under Executive Order 12372,

``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,

``Intergovernmental Review of Department of Health and Human Services

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

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alaska, Colorado, Connecticut,

Hawaii, Idaho, Kansas, Louisiana, Massachusetts, Minnesota, Montana,

Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee,

Virginia, 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 twenty jurisdictions

need take no action regarding E.O. 12372. Applicants for projects to be

administered by Federally-recognized Indian Tribes are also exempt from

the requirements of E.O. 12372. Otherwise, applicants should contact

their SPOCs as soon as possible to alert them of the prospective

applications and receive any necessary instructions. Applicants must

submit any required material to the SPOCs as soon as possible so that

the program office can obtain and review SPOC comments as part of the

award process. It is imperative that the applicant submit all required

materials, if any, to the SPOC and indicate the date of this submittal

(or the date of contact if no submittal is required) on the Standard

Form 424, item 16a.

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

deadline date to comment on proposed new or competing continuation

awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations. Additionally, SPOCs are

requested to clearly differentiate between mere advisory comments and

those official State process recommendations which they intend to

trigger the ``accommodate or explain'' rule.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, 370

L'Enfant Promenade, S.W., 6th Floor, Washington, D.C. 20447.

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

is included as Attachment G of this announcement.

4. Application Consideration

Applications which meet the screening requirements in sections 5a

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

referred to reviewers for a numerical score and explanatory comments

based solely on responsiveness to program priority area guidelines and

evaluation criteria published in this announcement.

Applications submitted under all priority areas (with the exception

of Sub-Priority Area 1.6) will be reviewed by persons outside of the

OCS unit which will be directly responsible for programmatic management

of the grant. The results of these reviews will assist the Director and

OCS program staff in considering competing applications. Reviewers'

scores will weigh heavily in funding decisions but will not be the only

factors considered. Applications generally will be considered in order

of the average scores assigned by reviewers. However, highly ranked

applications are not guaranteed funding since the Director may also

consider other factors deemed relevant including, but not limited to,

the timely and proper completion of projects funded with OCS funds

granted in the last five (5) years; comments of reviewers and

government officials; staff evaluation and input; geographic

distribution; previous program performance of applicants; compliance

with grant terms under previous DHHS grants; audit reports;

investigative reports; and applicant's progress in resolving any final

audit disallowances on previous OCS or other Federal agency grants.

Applicants with

[[Page 16324]]

three or more active OCS grants at the time of review may be denied

funding. In addition, for applications received under 1.0, OCS will

consider the relative proportion of funding among rural and urban areas

in accordance with Section 681(b)(1)(D) of the Act.

OCS reserves the right to discuss applications with other Federal

or 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) An Executive Summary 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 Sub-Priority Areas 1.3, 1.5, and 1.6) where applicants are

researching various opportunities, sharing administrative and

management expertise with current OCS grantees, or are providing

assistance to current OCS grantees, or providing training and/or

technical assistance for current OCS grantees, including the

organization of seminars and other activities to assist Community

Development Corporations and this project must be identified as

responding to one of the program priority areas stated in this

Announcement.

Applicants which are not in compliance with this requirement will

be ineligible for funding.

(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, 1.2 and 1.4);

The application contains a written agreement signed by the applicant

and the third party which includes all of the elements required in Part

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.

d. Paperwork Reduction

Under the Paperwork Reduction Act of 1980, Public Law 96-511, the

Department is required to submit to OMB for review and approval any

reporting and record keeping requirements in regulations, including

program announcements. This program announcement does not contain

information collection requirements beyond those approved for ACF grant

applications under OMB Control Number 0970-0062.

6. Criteria for Review and Evaluation of All Applications

Sub-Priority Areas 1.1, 1.2, and 1.4

(a) Criterion I: Analysis of Need (Maximum: 5 Points)

The application documents that the project addresses a vital need

in a distressed community. (0-3 points)

Statistics and other data and information are provided in support

of its contention. (0-2 points)

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

Responsibilities (Maximum: 25 Points)

(i) Organizational Experience in Program Area (Sub-rating: 0-15 Points)

Documentation provided indicates that projects previously

undertaken have been relevant and effective and have provided permanent

benefits to the low-income population. (0-5 Points)

The applicant has demonstrated the ability to implement major

activities in such areas as business development, commercial

development, physical development, or financial services; the ability

to mobilize dollars from sources such as the private sector

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

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

organizational structure and proven organizational capability; and an

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

physical or community development activities that will provide needed

permanent jobs, services, business development opportunities, and other

benefits to community residents. (0-10 points)

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

Points)

The application describes in brief resume form the experience and

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

her professional capabilities are relevant to the successful

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

identified, the application contains a comprehensive position

description which indicates that the responsibilities to be assigned to

the project director are relevant to the successful implementation of

the project. (0-5 points)

The applicant has adequate facilities and resources (i.e. space and

equipment) to successfully carry out the work plan. (0-2 points)

The assigned responsibilities of the staff are appropriate to the

tasks identified for the project and sufficient time of senior staff

will be budgeted to

[[Page 16325]]

assure timely implementation and cost effective management of the

project. (0-3 points)

(c) Criterion III: Project Implementation (Maximum: 20 Points)

The 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. (0-5 points)

It sets forth realistic quarterly time targets by which the various

work tasks will be completed. (0-5 points)

Critical issues or potential problems that might impact negatively

on the project are defined and the project objectives can be reasonably

attained despite such potential problems. (0-5 points)

The following financials must be included for the first three years

of the business' operations: (Profit and Loss Forecasts; Cash Flow

Projections; Proforma balance sheet); and Sources and Uses of Fund

Statement. (0-5 points)

(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25

Points)

(i) Significant and Beneficial Impact (Sub-rating: Maximum: 0-10

Points)

The application contains a full and accurate description of the

proposed use of the requested financial assistance. (0-5 points)

The proposed project will produce permanent and measurable results

that will reduce the incidence of poverty in the community. (0-3

points)

The OCS grant funds, in combination with private and/or other

public resources, are targeted into low-income communities, distressed

communities, and/or designated enterprise zones and enterprise

communities. (0-2 points)

(ii) Community Empowerment Consideration (Maximum: 0-5 Points)

Special consideration will be given to applicants who are located

in areas which are characterized by poverty and other indicators of

socio-economic distress such as a poverty rate of at least 20%,

designation as an Empowerment Zone or Enterprise Community, high levels

of unemployment, and high levels of incidences of violence, gang

activity, crime, or drug use. (0-3 points)

Applicants should document that they were involved in the

preparation and planned implementation of a comprehensive community-

based strategic plan to achieve both economic and human development in

an integrated manner. (0-2 points)

(iii) Cost-per-Job (Sub-rating: 0-5 Points)

During the project period the proposed project will create new,

permanent jobs or maintain permanent jobs for low-income residents at a

cost-per-job below $15,000 in OCS funds unless there are extenuating

circumstances, i.e., Alaska where the cost of living is much higher.

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

applicants proposing cost-per-job estimates of $10,000 or less of

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

correspondingly fewer points unless adequately justified by

extenuating circumstances.)

(iv) Career Development Opportunities (Sub-rating: 0-5 Points)

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

income people have career development opportunities which will promote

self-sufficiency.

(e) Criterion V: Public-Private Partnerships (Maximum: 20 Points)

(i) Mobilization of Resources: (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.

Note: 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.

(ii) Integration/Coordination of Services: (Sub-rating: 5 Points)

The applicant demonstrates a commitment to or agreements with local

agencies responsible for administering employment, education and

training programs (such as JTPA) to ensure that welfare recipients, at-

risk youth, displaced workers, public housing tenants, homeless and

low-income individuals will be trained and placed in the newly created

jobs. The applicant provides a 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. (0-2 points)

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. (0-2 points)

The applicant should also provide documentation that illustrates

the organizational experience related to the employment education and

training program (refer to Criterion II for guidelines). (0-1 point)

(f) Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5

Points)

Funds requested are commensurate with the level of effort necessary

to accomplish the goals and objectives of the project. (0-2 points)

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

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

reasonable administrative cost. (0-2 points)

The estimated cost to the government of the project also is

reasonable in relation to the anticipated results. (0-1 point)

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

[[Page 16326]]

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. (0-10 points)

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. (0-10 points)

The project around which the Business Plan is developed with the

use of OCS grant funds must be targeted to low-income communities, and/

or designated empowerment zones or enterprise communities with the

goals of increasing the economic conditions and social self-sufficiency

of residents. (0-10 points)

Activities must be designed to achieve the specific Program

Priority Area 1.3 objectives as defined in this program announcement.

(0-5 points)

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. (0-10 points)

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 will seriously reduce an applicant's point

score in this criterion. (0-10 points)

It must define critical issues or potential problems that might

impact negatively on the project and it must indicate how the project

objectives will be attained notwithstanding any such potential

problems. (0-5 points)

(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. (0-3 points)

Qualitative and quantitative measures reflective of the scheduling

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

possible. This component should indicate the ways in which the

potential grantee would integrate qualitative and quantitative measures

of accomplishment and specific data into its program progress reports

that are required by OCS from all grantees. (0-2 points)

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. (0-10 points)

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.) (0-5 points)

8. Criteria for Review and Evaluation of Applications Submitted Under

Sub-Priority Area 1.5

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

Responsibilities (Maximum: 20 Points)

(i) Organizational Experience in Program Area (sub-rating: 0-10 Points)

Applicant has documented the capability to provide leadership in

solving long-term and immediate problems locally and/or nationally in

such areas as business development, commercial development,

organizational and staff development, board training, and micro-

entrepreneurship development. (0-2 points)

Applicant must document a capability (including access to a network

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

following areas: Business Management, including strategic planning and

fiscal management; Finance, including development of financial packages

and provision of financial/accounting services; and Regulatory

Compliance, including assistance with zoning and permit compliance. (0-

2 points)

Further, the applicant has the demonstrated ability to mobilize

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

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

governments. (0-2 points)

Applicant also demonstrates that it has a sound organizational

structure and proven organizational capability as well as an ability to

develop and maintain a stable program in terms of business, physical or

community development activities that have provided permanent jobs,

services, business development opportunities, and other benefits to

poverty community residents. (0-2 points)

Applicants must indicate why they feel that their successful

experiences would be of assistance to existing grantees which are

experiencing difficulties in implementing their projects. (0-2 points)

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

Points)

The application describes in brief resume form the experience and

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

has professional capabilities relevant to the successful implementation

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

the application contains a comprehensive position description which

indicates that the responsibilities to be assigned to the project

director are relevant to the successful implementation of the project.

(0-5 points)

The applicant has adequate facilities and resources (i.e. space and

equipment) to successfully carry out the work plan. (0-3 points)

The assigned responsibilities of the staff are appropriate to the

tasks identified for the project and sufficient time of senior staff

will be budgeted to assure timely implementation and cost effective

management of the project. (0-2 points)

(b) Criterion II: Work Program (Maximum: 30 Points)

Based upon the applicant's knowledge and experience related to

OCS's Discretionary Grants Program (particularly community economic

[[Page 16327]]

development), the application should demonstrate in some specificity a

thorough understanding of the problems a grantee may encounter in

implementing a successful project. (0-15 points)

The application should include a strategy for assessing the

specific nature of the problems, outlining a course of action and

identifying the resources required to resolve the problems. (0-15

points)

(c) Criterion III: Significant and Beneficial Impact (Maximum: 30

Points)

Project funds under this sub-priority area must be used for the

purposes of transferring expertise directly, or by a contract with a

third party, to other OCS funded grantees. Applicants must document how

the success or failure of collaboration with these grantees will be

documented. (0-15 points)

Applicants must demonstrate an ability to disseminate results on

the kinds of programmatic and administrative expertise transfer efforts

in which they participated and successful strategies that they may have

developed to share expertise with grantees during the grant period. (0-

10 points)

Applicants must also state whether the results of the project will

be included in a handbook, a progress paper, an evaluation report or a

general manual and why the particular methodology chosen would be most

effective. (0-5 points)

d. Criterion IV: Public-Private Partnerships (15 Points)

The applicant demonstrates that it has worked with local, regional,

state or national offices to ensure that welfare recipients, at-risk

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

income individuals have been trained and placed in newly created jobs.

(0-10 points)

Applicant should demonstrate how it will design a comprehensive

strategy which makes use of other available resources to resolve

typical and recurrent grantee problems. (0-5 points)

e. Criterion V: Budget Appropriateness and Reasonableness (Maximum: 5

Points)

Applicant documents that the funds requested are commensurate with

the level of effort necessary to accomplish the goals and objectives of

the project. The application includes a detailed budget break-down for

each of the appropriate budget categories in the SF-424A. (0-3 points)

The estimated cost to the government of the project also is

reasonable in relation to the anticipated results. (0-2 points)

9. Criteria for Review and Evaluation of Applications Submitted Under

Sub-Priority Area 1.6

(a) Criterion I: Need for Assistance (Maximum: 10 Points)

The application documents that the project addresses a vital

nationwide need related to the purposes of Priority Area 1.0 and

provides data and information in support of its contention.

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

Responsibilities (Maximum: 20 Points)

(i) Organizational Experience

Applicant has documented the capability to provide leadership in

solving long-term and immediate problems locally and/or nationally in

such areas as business development, commercial development,

organizational and staff development, board training, and 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. (0-10 points)

(ii) Staff Skills

The applicants's proposed project director and primary staff are

well qualified and their professional experiences are relevant to the

successful implementation of the proposed project. (0-10 points)

(c) Criterion III: Work Plan (Maximum 35 Points)

Based upon the applicant's knowledge and experience related to

OCS's Discretionary Grants Program (particularly community economic

development), the applicant must develop and submit a detailed and

specific work plan that is both sound and feasible. The work plan

should--

(i) Demonstrate that all activities are comprehensive and

nationwide in scope, and adequately described and appropriately related

to the goals of the program. (0-10 points)

(ii) Demonstrate in some specificity a thorough understanding of

the kinds of training and technical assistance that can be provided to

the network of Community Development Corporations. (0-10 points)

(iii) Delineate the tasks and sub-tasks involved in the areas

necessary to carry out the responsibilities to include training,

technical assistance, research, outreach, seminars, etc. (0-5 points)

(iv) State the intermediate and end products to be developed by

task and sub-task. (0-5 points)

(v) Provide realistic time frames and chronology of key activities

for the goals and objectives. (0-5 points)

(d) Criterion IV: Significant and Beneficial Impact (Maximum: 25

Points)

Project funds under this sub-priority area must be used for the

purpose of providing training and technical assistance on a national

basis to the network of Community Development Corporations. Applicant

must document how the success or failure of the assistance provided

will be documented.

(i) Application should adequately describe how the project will

assure long-term program and management improvements for Community

Development Corporations; (0-10 points)

(ii) The project will impact on a significant number of Community

Development Corporations; (0-10 points)

(iii) Applicant should document how the project will leverage or

mobilize significant other non-federal resources for the direct benefit

of the project; (0-5 points)

(e) Criteria V: Budget Reasonableness (Maximum 10 Points)

(i) The resources requested are reasonable and adequate to

accomplish the project. (0-5 points)

(ii) Total costs are reasonable and consistent with anticipated

results. (0-5 points)

10. Criteria for Review and Evaluation of All Applications Under

Priority Areas 2.1

(a) Criterion I: Analysis of Need (Maximum: 5 Points)

The application documents that the project addresses a vital need

in a distressed community and provides statistics and other data and

information in support of its contention.

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

Responsibilities (Maximum: 15 Points)

(i) Organizational Experience in Program Area (Sub-rating: 0-5 Points)

Documentation provided indicates that projects previously

undertaken

[[Page 16328]]

have been relevant and effective and have provided permanent benefits

to the low-income population.

Organizations which propose providing training and technical

assistance have detailed competence in the specific program priority

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

technical assistance. If applicable, information provided by these

applicants also addresses related achievements and competence of each

cooperating or sponsoring organization.

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

Points)

The application describes in brief resume form the experience and

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

her professional capabilities are relevant to the successful

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

identified, the application contains a comprehensive position

description which indicates that the responsibilities to be assigned to

the project director are relevant to the successful implementation of

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

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

assigned responsibilities of the staff are appropriate to the tasks

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

budgeted to assure timely implementation and cost effective management

of the project.

(c) Criterion III: Project Implementation (Maximum: 25 Points)

The Business Plan is both sound and feasible. The project is

responsive to the needs identified in the Analysis of Need. It sets

forth realistic quarterly time targets by which the various tasks will

be completed. Critical issues or potential problems that might impact

negatively on the project are defined and the project objectives can be

reasonably attained despite such potential problems.

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

Points)

The application contains a full and accurate description of the

proposed use of the requested financial assistance. The proposed

project will produce permanent and measurable results that will reduce

the incidence of poverty in the areas targeted and significantly

enhance the self sufficiency of program participants. Results are

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

units of housing rehabilitated, agricultural and 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 empowerment zones and

enterprise communities.

(e) Criterion V: Public-Private Partnerships (Maximum: 20 Points)

The application documents that the applicant will mobilize from

public and/or private sources cash and/or 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.

(f) Criterion VI: Budget Appropriateness and Reasonableness (Maximum: 5

Points)

Funds requested are commensurate with the level of effort necessary

to accomplish the goals and objectives of the project. The application

includes a detailed budget break-down for each of the budget categories

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

cost. The estimated cost to the government of the project also is

reasonable in relation to the anticipated results.

Part E--Contents of Application and Receipt Process

1. Contents of Application

Each application, whether involving construction or not, should

include one original and four additional copies of the following:

I. A signed ``Application for Federal Assistance'' (SF-424);

II. ``Budget Information-Non-Construction Programs'' (SF-424A);

III. A signed ``Assurances-Non-Construction Programs'' (SF-424B);

IV. A Project Abstract (a paragraph which succinctly describes the

project (in500 characters or less));

V. A Project Narrative consisting of the following elements preceded by

a consecutively numbered Table of Contents that will describe the

project in the following order:

A. Eligibility Confirmation

B. Analysis of Need (except for Sub-Priorities 1.5, and 1.6)

C. Organizational Experience in Program Area and Staff

Responsibilities

1. Organizational experience in program area

a. Grantee

b. HBCU (if applicable)

2. Staff Skills, Resources and Responsibilities

D. Project Implementation (Business/Work Plan)

1. The Business and Its Industry (except for Priority Areas 1.5

and 1.6)

2. Products and Services

3. Financial Plans

E. Significant and Beneficial Impacts

1. Significant and Beneficial Impacts

2. Cost Per Job

3. Career Development Opportunities

F. Public/Private Partnership Agreements

G. Budget Appropriateness and Reasonableness

VI. Appendices, including By-Laws and/or Articles of Incorporation

which confirm eligibility of organization as a CDC (relevant sections);

proof of non-profit status where applicable; resumes; written

agreements re: grants, coordination with JOBS, etc.; Single Point of

Contact comments, where applicable; certification regarding anti-

lobbying activities; smokefree workplace assurance; and a disclosure of

lobbying activities.

The application package should not exceed 65 pages for applications

submitted under sub-priority areas 1.1, 1.2 and 1.4, and 30 pages for

all applications submitted under the other sub-priority areas.

Applications should be two hole punched at the top center and

fastened with a compressor slide paper fastener or a binder clip. The

submission of bound applications, or applications enclosed in binders,

is especially discouraged.

Applications must be uniform in composition since OCS may find it

necessary to duplicate them for review purposes. Therefore,

applications must be submitted on white 8\1/2\ x 11 inch paper only.

They must not include colored, oversized or folded materials. Do not

include organizational brochures or other promotional materials,

slides, films, clips, etc. in the proposal. They will be discarded, if

included.

2. Acknowledgement of Receipt

All applicants will receive an acknowledgement notice with an

assigned identification number. Applicants are requested to supply a

self-addressed mailing label with their application which can be

attached to this acknowledgement notice. The identification number and

the program priority area letter code must be referred to in all

subsequent communications with OCS concerning the application. If an

acknowledgement is not received within three weeks after the deadline

[[Page 16329]]

date, please notify ACF by telephone (202) 401-9365.

Part F--Instructions for Completing Application Package

It is suggested that you reproduce the SF-424 and SF-424A, and type

your application on the copies. If an item on the SF-424 cannot be

answered or does not appear to be related or relevant to the assistance

requested, write ``NA'' for ``Not Applicable.''

Prepare your application in accordance with the standard

instructions given in Attachments B and C corresponding to the forms,

as well as the OCS specific instructions set forth below:

1. SF-424 ``Application for Federal Assistance'' Item

1. For the purposes of this announcement, all proposals are

considered ``Applications''; there are no ``Pre-Applications.'' Also

for the purposes of this announcement, construction projects are those

which involve major renovations or new construction. All others are

considered non-construction. Check the appropriate box under

``Application.''

5. and 6. The legal name of the applicant must match that listed as

corresponding to the Employer Identification Number. Where the

applicant is a previous Department of Health and Human Services

grantee, enter the Central Registry System Employee Identification

Number (EIN) and the Payment Identifying Number (PIN), if one has been

assigned, in the Block entitled ``Federal Identifier'' located at the

top right hand corner of the form.

7. If the applicant is a non-profit corporation, enter ``N'' in the

box and specify ``non-profit corporation'' in the space marked

``Other.'' Proof of non-profit status, such as IRS determination or

appropriate sections of the Articles of Incorporation, or By-laws, must

be included as an appendix to the project narrative.

8. For the purposes of this announcement, all applications are

``New''.

9. Enter DHHS-ACF/OCS.

10. The Catalog of Federal Domestic Assistance number for OCS

programs covered under this announcement is 93.570. The title is ``CSBG

Discretionary Awards.''

11. The following letter program priority area designations must be

used:

UR--for Sub-Priority Area 1.1. Urban and Rural Community Economic

Development (Operational)

HB--for Sub-Priority Area 1.2. Urban and Rural Community Economic

Development (HBCU Set-Aside)

PD--for Sub-Priority Area 1.3. Urban and Rural Community Economic

Development (Pre-Developmental Set-Aside)

DD--for Sub-Priority Area 1.4. Urban and Rural Community Economic

Development (Developmental Set-Aside)

AM--for Sub-Priority Area 1.5. Administrative and Management (Set-

Aside)

UT--for Sub-Priority Area 1.6. Technical Assistance (Set-Aside)

RF--for Sub-Priority Area 2.1. Rural Community Facilities Development

(Water and Waste Water Treatment Systems Development)

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

See Instructions accompanying this form as well as the instructions

set forth below:

In completing these sections, the ``Federal Funds'' budget entries

will relate to the requested OCS discretionary funds only, and ``Non-

Federal'' will include mobilized funds from all other sources--

applicant, state, local, and other. Federal funds other than requested

OCS discretionary funding should be included in ``Non-Federal''

entries.

The budget forms in SF-424A are only to be used to present grant

administrative costs and major budget categories. Financial data that

is generated as part of a project Business Plan or other internal

project cost data must be separate and should appear as part of the

project Business Plan or other project implementation data.

Sections A and D of SF-424A must contain entries for both Federal

(OCS) and non-Federal (mobilized) funds. Section B contains entries for

Federal (OCS) funds only. Clearly identified continuation sheets in SF-

424A format should be used as necessary.

Section A--Budget Summary

Lines 1-4

Col. (a):

Line 1 Enter ``CSBG Discretionary'';

Col. (b):

Line 1 Enter ``93.570'';

Col. (c) and (d):

Applicants should leave columns (c) and (d) blank.

Col. (e)-(g):

For line 1, enter in columns (e), (f) and (g) the appropriate

amounts needed to support the project for the budget period.

Line 5 Enter the figures from Line 1 for all columns completed as

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

Section B Budget Categories

Allowability of costs are governed by applicable cost principles

set forth in 45 CFR Parts 74 and 92. A budget narrative must be

submitted that includes the appropriate justifications as stated.

Columns (1) and (5):

In OCS applications, it is only necessary to complete Columns (1)

and (5).

Column 1: Enter the total requirements for OCS Federal funds by the

Object Class Categories of this section:

Personnel--Line 6a: Enter the total costs of salaries and wages of

applicant/grantee staff only. A breakdown of amounts and percentage of

time that comprises the salary must be noted. Do not include costs of

consultants or personnel costs of delegate agencies or of specific

project(s) or businesses to be financed by the applicant.

Fringe Benefits--Line 6b: Enter the total costs of fringe benefits

unless treated as part of an approved indirect cost rate which is

entered on line 6j. Provide a breakdown of amounts and percentages that

comprise fringe benefit costs.

Travel--Line 6c: Enter total estimated costs of all travel by

employees of the project. The purpose, traveler, number of days,

airfare and per diem rates must be stated. Travel costs for the

Executive Director or Project Director to attend a two day national

workshop in Washington, DC should be included. Do not enter costs for

consultant's travel. Provide justification for requested travel costs.

Equipment--Line 6d: Enter the total estimated costs of all non-

expendable personal property to be acquired by the project. ``Non-

expendable personal property'' means tangible non-expendable personal

property having a useful life of more than one year and an acquisition

cost of $5,000 or more per unit.

Supplies--Line 6e: Enter the total estimated costs of all tangible

personal property (supplies) other than that included on line 6d.

Identify the item, unit cost and quantity to be purchased.

Contractual-Line 6f: Enter the total estimated costs of all

contracts, including (1) procurement contracts (except those which

belong on other lines such as equipment, supplies, etc.) and (2)

contracts with secondary recipient organizations including delegate

agencies and specific project(s) or businesses to be financed by the

applicant. Identify the purpose and costs associated. Also include any

contracts with organizations for the provision of technical assistance.

Do not

[[Page 16330]]

include payments to individual service contractors on this line. If

available at the time of application, attach a list of contractors

indicating the name of the organization, the purpose of the contract

and the estimated dollar amount of the award.

Note: Whenever the applicant/grantee intends to delegate part of

the program to another agency, the applicant/grantee must submit

Sections A and B of this form (SF-424A), completed for each delegate

agency by agency title, along with the required supporting

information referenced in the applicable instructions. The total

costs of all such agencies will be part of the amount shown on Line

6f. Provide back-up documentation identifying name of contractor,

purpose of contract and major cost elements.

Construction-Line 6g: Enter the estimated costs of renovation,

repair, or new construction. Identify the type of construction activity

and costs associated, i.e., concrete, HVAC, electrical, etc. Provide

narrative justification and breakdown of costs.

Other-Line 6h: Enter the total of all other costs. Such costs,

where applicable, may include but are not limited to insurance, food,

medical and dental costs (noncontractual), fees and travel paid

directly to individual consultants, space and equipment rentals,

printing and publication, computer use, training costs, including

tuition and stipends, training service costs including wage payments to

individuals and supportive service payments, and staff development

costs. Note that costs identified as ``miscellaneous'' and

``honoraria'' are not allowable.

Total Direct Charges-Line 6i: Show the total of Lines 6a through

6h.

Indirect Charges-Line 6j: Enter the total amount of indirect costs.

This line should be used only when the applicant currently has an

indirect cost rate approved by the Department of Health and Human

Services or another Federal agency or is awaiting such approval. With

the exception of local governments and State agencies, applicants

should enclose a copy of the current rate agreement if it was

negotiated with a Federal agency other than the Department of Health

and Human Services.

If the applicant organization is in the process of initially

developing or renegotiating a rate, it should immediately, upon

notification that an award will be made, develop a tentative indirect

cost rate proposal based on its most recently completed fiscal year in

accordance with the principles set forth in the pertinent DHHS Guide

for Establishing Indirect Cost Rates, and submit it to the appropriate

DHHS Regional Office.

It should be noted that when an indirect cost rate is requested,

those costs included in the indirect cost pool should not be also

charged as direct costs to the grant.

Totals-Line 6k: Enter the total amounts of Lines 6i and 6j.

The total amount shown in Section B, Column (5), Line 6k, should be

the same as the amount shown in Section A, Line 5, Column (e).

Program Income-Line 7: Enter the estimated amount of income, if

any, expected to be generated from this project. Separately show

expected program income generated from OCS support and income generated

from other mobilized funds. Do not add or subtract this amount from the

budget total. Show the nature and source of income in the program

narrative statement.

Column 5: Carry totals from Column 1 to Column 5 for all line

items.

Section C--Non-Federal Resources

This section is to record the amounts of ``non-Federal'' resources

that will be used to support the project. ``Non-Federal'' resources

mean other than OCS funds for which the applicant is applying.

Therefore, mobilized funds from other Federal programs, such as the Job

Training Partnership Act program, should be entered on these lines.

Provide a brief listing of the non-Federal resources on a separate

sheet and describe whether it is a grantee-incurred cost or a third-

party in-kind contribution. The firm commitment of these resources must

be documented and submitted with the application in order to be given

credit in the Public-Private Partnerships criterion.

Except in unusual situations, this documentation must be in the

form of letters of commitment from the organization(s)/individuals from

which funds will be received.

Line 8

Column (a): Enter the project title.

Column (b): Enter the amount of contributions to be made by the

applicant to the project.

Column (c): Enter the State contribution. If the applicant is a

State agency, enter the non-Federal funds to be contributed by the

State other than the applicant.

Column (d): Enter the amount of cash and in-kind contributions to

be made from all other sources.

Column (e): Enter the total of columns (b), (c), and (d). Lines 9,

10, and 11 should be left blank.

Line 12: Carry the total of each column of Line 8, (b) through (e).

The amount in Column (e) should be equal to the amount on Section A,

Line 5, column (f).

Section D--Forecasted Cash Needs

Line 13: Enter the amount of Federal (OCS) cash needed for this

grant by quarter. During the budget period for grants which are more

than twelve (12) months, submit a separate sheet for each additional

twelve (12) months or portion thereof.

Line 14: Enter the amount of cash from all other sources needed by

quarter during the budget period.

Line 15: Enter the total of Lines 13 and 14.

Section E--Budget Estimates of Federal Funds Needed for Balance of

Project(s)

Completion not required.

Section F--Other Budget Information

Line 21--Use this space and continuation sheets as necessary to

fully explain and justify the major items included in the budget

categories shown in Section B. Include sufficient detail to facilitate

determination of allowability, relevance to the project, and cost

benefits. Particular attention must be given to the explanation of any

requested direct cost budget item which requires explicit approval by

the Federal agency. Budget items which require identification and

justification shall include, but not be limited to, the following:

A. Salary amounts and percentage of time worked for those key

individuals who are identified in the project narrative;

B. Any foreign travel;

C. A list of all equipment and estimated cost of each item to be

purchased wholly or in part with grant funds which meet the definition

of nonexpendable personal property provided on Line 6d, Section B. The

need for equipment must be supported in program the narrative.

D. Contractual: Major items or groups of smaller items; and

E. Other: group into major categories all costs for consultants,

local transportation, space, rental, training allowances, staff

training, computer equipment, etc. Provide a complete breakdown of all

costs that make up this category.

Line 22--Enter the type of HHS or other Federal agency approved

indirect cost rate (provisional, predetermined, final or fixed) that

will be in effect during the funding period, the estimated amount of

the base to which the rate is applied and the total indirect expense.

Also, enter the date the rate was approved, where applicable. Attach a

[[Page 16331]]

copy of the rate agreement if it was negotiated with a Federal agency

other than the Department of Health and Human Services.

Line 23--Provide any other explanations and continuation sheets

required or deemed necessary to justify or explain the budget

information.

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

All applicants, whether or not project involves construction, must

file the Standard Form 424B, ``Assurances: Non-Construction Programs.''

Applicants must sign and return the Standard Form 424B, found at

Attachment D, with their applications.

4. Restrictions on Lobbying Activities

Applicants must provide a certification concerning Lobbying. Prior

to receiving an award in excess of $100,000, applicants shall furnish

an executed copy of the lobbying certification. Applicants must sign

and return the certification, found at Attachment H, with their

applications.

5. Disclosure of Lobbying Activities

SF-LLL: Fill out, sign and date form found at Attachment H, if

applicable.

6. Certification Regarding Environmental Tobacco Smoke

Applicants must sign and return the certification, found at

Attachment J, with their applications.

7. Project Abstract

The project abstract is a brief summary of the project to include

specific benefits such as number of jobs to be created, especially jobs

for low-income individuals. The abstract must not exceed 500 characters

(including words, spaces and punctuation) on a separate sheet of plain

paper headed by the applicant's name as shown in item 5 of the SF 424

and the priority area number as shown by you at the bottom of the SF

424.

8. Project Narrative

The project narrative must address the specific concerns mentioned

under the relevant priority area description in Part B. The narrative

should provide information on how the application meets the evaluation

criteria in Part D, Section 5c of this Program Announcement and should

follow the format below:

a. Eligibility Confirmation

This section must explain how the applicant has complied with each

of the basic requirements listed in Part D, 5b(1)-(5), i.e., (1) that

the applicant meets the eligibility requirements for the sub-priority

area under which funds are being requested; (2) an application

submitted under sub-priority areas 1.1, 1.2, 1.4, or 2.1, contains only

one project; (3) the amount of funds requested does not exceed the

limits indicated in Part C, Section 2b for the appropriate sub-priority

area; (4) (Sub-Priority Areas 1.1, 1.2, and 1.4) if an applicant

proposes to use OCS funds for an equity investment, a loan, or a sub-

grant, 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.

b. Analysis of Need

The application should include a description of the target area and

population to be served as well as a discussion of the nature and

extent of the problem to be solved. It should also include

documentation supportive of its needs assessment such as employment

statistics, housing statistics, etc.

c. Organizational Experience and Staff Responsibilities

(i) Organizational Experience

Each applicant must document competence in the specific program

priority area under which an application is submitted.

Documentation must be provided which addresses the relevance and

effectiveness of projects previously undertaken in the specific

priority area for which funds are being requested and especially their

cost effectiveness, the relevance and effectiveness of any services

provided, and the permanent benefits provided to the low-income

population. Organizations which propose providing training and

technical assistance must detail their competence in the specific

program priority area and as a deliverer with expertise in the fields

of training and technical assistance. If applicable, information

provided by these applicants must also address related achievements and

competence of each cooperating or sponsoring organization.

Applicable to Sub-Priority Areas 1.1, 1.2, 1.4 and 1.5

Applicants in these priority areas must also document a firmly

established and quantifiable performance record that shows the

following:

--The ability to implement major activities such as business

development, commercial development, physical development, or financial

services;

--Successful working relationships within the community including

public officials, financial institutions, corporations, other community

organizations and residents;

--A sound asset base and organizational structure in terms of (a) net

worth, (b) management stability, and (c) organizational capability;

--An ability to develop and maintain a stable program in terms of

business, physical or community development activities that will

provide needed permanent jobs, services, business development

opportunities and other benefits to community residents, and impact on

community-wide economic problems and needs;

--Sound administrative and fiscal systems and controls, and the ability

to establish and maintain partnerships with the private sector in such

forms as financial support, volunteerism or executives on loan.

(ii) Staff Skills, Resources and Responsibilities

The application must fully describe (e.g. a resume or position

description) the experience and skills of the proposed project director

showing that the individual is not only well qualified but that his/her

professional capabilities are relevant to the successful implementation

of the project.

The application must include statements regarding who will have the

responsibilities of the chief executive officer, who will be

responsible for grant coordination with OCS, and how the assigned

responsibilities of the staff are appropriate to the tasks identified

for the project. It must show clearly that sufficient time of senior

staff will be budgeted to assure timely implementation and cost

effective management of the project.

d. Business Plan

The application must contain a detailed and specific Business Plan

(to include an Executive Summary) that is both sound and feasible. (For

those applicants submitting proposals under Sub-Priority Areas 1.5, and

1.6, a Work Plan will be accepted in lieu of the Business Plan.) The

Executive Summary should not exceed five pages. This summary must

address the program principles within this announcement and document

that the proposed project will have national or regional significance.

The business plan will be evaluated according to Criteria III, IV, and

V set forth in Part D of this announcement: Project Implementation,

[[Page 16332]]

Significant and Beneficial Impact, and Public-Private Partnerships.

Projects funded under this announcement must be designed to

produce permanent and measurable results. The OCS grant funds, in

combination with private and/or other public resources, must be

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

empowerment zones or enterprise communities. Projects must be designed

to achieve the specific program priority area objectives defined in

this Program Announcement.

It must set forth realistic quarterly time targets by which the

various work tasks will be completed. It must identify critical issues

or potential problems that might impact negatively on the project and

it must indicate how the project objectives will be attained despite

such potential problems.

If an applicant is proposing a project which will affect a

property listed in, or eligible for inclusion in the National Register

of Historic Places, it must identify this property in the narrative and

explain how it has complied with the provisions of Section 106 of the

National Historic Preservation Act of 1966 as amended. If there is any

question as to whether the property is listed in or eligible for

inclusion in the National Register of Historic Places, the applicant

should consult with the State Historic Preservation Officer. (See

Attachment D: SF-424B, Item 13 for additional guidance.) The applicant

should contact OCS early in the development of its application for

instructions regarding compliance with the Act and data required to be

submitted to the Department of Health and Human Services. Failure to

comply with the cited Act may result in the application being

ineligible for funding consideration.

Applicable to Sub-Priority Areas 1.1, 1.2, and 1.4

Applications submitted under Sub-Priority Areas 1.1, 1.2 and 1.4

which propose to use the requested OCS funds to make an equity

investment or a loan to a business concern, including a wholly-owned

subsidiary, or to make a sub-grant with a portion of the OCS funds,

must include a written agreement between the community development

corporation and the recipient of the grant funds which contains all of

the elements listed in Part B under the appropriate Priority Area.

Applications submitted under Sub-Priority Areas 1.1, 1.2, and 1.4

must include a complete Business Plan where it is appropriate to the

project/venture. An application that does not include a Business Plan

where one is appropriate may be disqualified and returned to the

applicant.

In some cases a Business Plan may not be required under the

Priority Areas. All applicants under the Priority Areas, however, must

nevertheless submit the information which is required in Sections 7

through 10, as set forth below.

The Business Plan is one of the major components that will be

evaluated by OCS to determine the feasibility of an economic

development project. It must be well prepared and address all the major

issues noted herein.

The following guidelines show what should be included in order to

produce a complete and professional Business Plan which makes an

orderly presentation of the facts necessary to be judged responsive to

the program announcement.

Because the guidelines were written to cover a variety of

possibilities, rigid adherence to them is not possible nor even

desirable for all projects. For example, a plan for a service business

would not require a discussion of manufacturing nor product design.

The Business Plan should include the following:

1. The business and its industry. This section should describe the

nature and history of the business and provide some background on its

industry.

a. The Business: as a legal entity; the general business category;

b. Description and Discussion of Industry:

Current status and prospects for the industry;

2. Products and Services: This section deals with the following:

a. Description: Describe in detail the products or services to be

sold;

b. Proprietary Position: Describe proprietary features if any of

the product, e.g. patents, trade secrets;

c. Potential: Features of the product or service that may give it

an advantage over the competition;

3. Market Research and Evaluation: This section should present

sufficient information to show that the product or service has a

substantial market and can achieve sales in the face of competition;

a. Customers: Describe the actual and potential purchasers for the

product or service by market segment.

b. Market Size and Trends: State the size of the current total

market for the product or service offered;

c. Competition: An assessment of the strengths and weaknesses of

competitive products and services;

d. Estimated Market Share and Sales: Describe the characteristics

of the product or service that will make it competitive in the current

market;

4. Marketing Plan: The marketing plan should detail the product,

pricing, distribution, and promotion strategies that will be used to

achieve the estimated market share and sales projections. The marketing

plan must describe what is to be done, how it will be done and who will

do it. The plan should address the following topics--Overall Marketing

Strategy, Packaging, Service and Warranty, Pricing, Distribution and

Promotion.

5. Design and Development Plans: If the product, process or

service of the proposed venture requires any design and development

before it is ready to be placed on the market, the nature and extent

and cost of this work should be fully discussed. The section should

cover items such as Development Status and Tasks, Difficulties and

Risks, Product Improvement and New Products, and Costs.

6. Manufacturing and Operations Plan: A manufacturing and

operations plan should describe the kind of facilities, plant location,

space, capital equipment and labor force (part and/or full time and

wage structure) that are required to provide the company's product or

service.

7. Management Team: The management team is the key in starting and

operating a successful business. The management team should be

committed with a proper balance of technical, managerial and business

skills, and experience in doing what is proposed. This section must

include a description of: the key management personnel and their

primary duties; compensation and/or ownership; the organizational

structure; Board of Directors; management assistance and training

needs; and supporting professional services.

8. Overall Schedule: A schedule that shows the timing and

interrelationships of the major events necessary to launch the venture

and realize its objectives. Prepare, as part of this section, a month-

by-month schedule that shows the timing of such activities as product

development, market planning, sales programs, and production and

operations. Sufficient detail should be included to show the timing of

the primary tasks required to accomplish each activity.

9. Critical Risks and Assumptions: The development of a business

has risks and problems and the Business Plan should contain some

explicit assumptions about them. Accordingly, identify and discuss the

critical assumptions in the Business Plan and the major problems that

will have to be solved to develop the venture. This should include a

description of the risks

[[Page 16333]]

and critical assumptions relating to the industry, the venture, its

personnel, the product's market appeal, and the timing and financing of

the venture.

10. Community Benefits: The proposed project must contribute to

economic, community and human development within the project's target

area. A section that describes and discusses the potential economic and

non-economic benefits to low-income members of the community must be

included as well as a description of the strategy that will be used to

identify and hire individuals being served by public assistance

programs and how linkages with community agencies/organizations

administering the JOBS program will be developed. The following project

benefits must be described:

Economic

--Number of permanent jobs that will be created especially those for

low-income people during the grant period;

--Number of jobs that will have career development opportunities and a

description of those jobs

--Number of jobs that will be filled by individuals on public

assistance;

--Ownership opportunities created for poverty-level project area

residents;

--Specific steps to be taken to promote the self-sufficiency of program

participants. Other benefits which might be discussed are:

Human Development

--New technical skills development and associated career opportunities

for community residents;

--Management development and training.

Community Development

--Development of community's physical assets;

--Provision of needed, but currently unsupplied, services or products

to community;

--Improvement in the living environment.

11. The Financial Plan: The Financial Plan is basic to the

development of a Business Plan. Its purpose is to indicate the

project's potential and the timetable for financial self-sufficiency.

In developing the Financial Plan, the following exhibits must be

prepared for the first three years of the business' operation:

a. Profit and Loss Forecasts-quarterly for each year;

b. Cash Flow Projections-quarterly for each year;

c. Pro forma balance sheets-quarterly for each year;

d. Initial sources of project funds;

e. Initial uses of project funds; and

f. Any future capital requirements and sources.

Applicable to Sub-Priority Area 1.5 Only

An applicant in this priority area must document its experience

and capability in several of the following areas:

--Business/Development;

--Micro-Entrepreneurship Development;

--Commercial Development;

--Organizational and Staff Development;

--Board Training;

--Business Management, including Strategic Planning and Fiscal

Management;

--Finance, including Business Packaging and Financial/Accounting

Services, and/or

--Regulatory Compliance including Zoning and Permit Compliance

--Incubator Development

--Tax Credits and Bond Financing

--Marketing

The applicant must document staff competence or the accessibility

of third party resources with proven competence. If the work program

requires the significant use of third party (consultant/contractor)

resources, those 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 must also clearly state how the information learned from this

project may be disseminated to other interested grantees.

Applicable to Sub-Priority Area 1.6 Only

An applicant in this priority area must document its experience and

capability in implementing projects national in scope and have

significant and relative experiences in working with Community

Development Corporations.

The applicant must have the ability to collect and analyze data

nationally that may benefit CDCs and be able to disseminate information

to all of OCS funded grantees; publish a national directory of funding

sources for CDCs (public, corporate, foundation, religious); publish

research papers on specific aspects of job creation by CDCs; design and

provide information on successful projects and economic niches that

CDCs can target. The applicant will also be responsible for the

development of instructional programs, national conferences, seminars,

and other activities to assist community development corporations; and

provide peer-to-peer technical assistance to OCS funded CDCs.

Applicable to Sub-Priority Area 2.1

Each applicant must include a full discussion of how the proposed

use of funds will enable low-income rural communities to develop the

capability and expertise to establish and maintain affordable, adequate

and safe water and waste water systems. Applicants must also discuss

how they will disseminate information about water and waste water

programs serving rural communities, and how they will better coordinate

Federal, State, and local water and waste water program financing and

development to assure improved service to rural communities.

Among the benefits that merit discussion under this sub-priority

area are: The number of rural communities to be provided with technical

and advisory services; the number of rural poor individuals who are

expected to be directly served by applicant-supported improved water

and waste water systems; the decrease in the number of inadequate water

systems related to applicant activity; the number of newly-established

and applicant-supported treatment systems (all of the above may be

expressed in terms of equivalent connection units); the increase in

local capacity in engineering and other areas of expertise; and the

amount of non-discretionary program dollars expected to be mobilized.

Part G--Post Award Information and Reporting Requirements

Following approval of the applications selected for funding, notice

of project approval and authority to draw down project funds will be

made in writing. The official award document is the Financial

Assistance Award which provides the amount of Federal funds approved

for use in the project, the budget period for which support is

provided, the terms and conditions of the award, the total project

period for which support is contemplated, and the total financial

participation from the award recipient.

General Conditions and Special Conditions (where the latter are

warranted) which will be applicable to grants, are subject to the

provisions of 45 CFR Parts 74 and 92.

Grantees will be required to submit semi-annual progress and

financial

[[Page 16334]]

reports (SF-269) as well as a final progress and financial report.

Grantees are subject to the audit requirements in 45 CFR Parts 74

and 92 and OMB Circular A-128 or A-133. If an applicant will not be

requesting indirect costs, it should anticipate in its budget request

the cost of having an audit performed at the end of the grant period.

Section 319 of Public Law 101-121, signed into law on October 23,

1989, imposes prohibitions and requirements for disclosure and

certification related to lobbying on recipients of Federal contracts,

grants, cooperative agreements, and loans. It provides limited

exemptions for Indian tribes and tribal organizations. Current and

prospective recipients (and their subtier contractors and/or grantees)

are prohibited from using appropriated funds for lobbying Congress or

any Federal agency in connection with the award of a contract, grant,

cooperative agreement or loan. In addition, for each award action in

excess of $100,000 (or $150,000 for loans) the law requires recipients

and their subtier contractors and/or subgrantees (1) to certify that

they have neither used nor will use any appropriated funds for payment

to lobbyists, (2) to submit a declaration setting forth whether

payments to lobbyists have been or will be made out of nonappropriated

funds and, if so, the name, address, payment details, and purpose of

any agreements with such lobbyists whom recipients or their subtier

contractors or subgrantees will pay with the nonappropriated funds and

(3) to file quarterly up-dates about the use of lobbyists if an event

occurs that materially affects the accuracy of the information

submitted by way of declaration and certification. The law establishes

civil penalties for noncompliance and is effective with respect to

contracts, grants, cooperative agreements and loans entered into or

made on or after December 23, 1989. See Attachment H for certification

and disclosure forms to be submitted with the applications for this

program.

Attachment I indicates the regulations which apply to all

applicants/grantees under the Discretionary Grants Program.

Dated: April 1, 1996.

Donald Sykes,

Director, Office of Community Services.

Attachment A.--1996 Poverty Income Guidelines for All States (Except

Alaska and Hawaii) and the District of Columbia

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

Poverty

Size of family unit guideline

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

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

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

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

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

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

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

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

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

For family units with more than 8 members add $2,580 for each

additional member. (The same increment applies to smaller family sizes

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

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

Poverty Income Guidelines for Alaska

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

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

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

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

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

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

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

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

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

For family units with more than 8 members, add $3,200 for each

additional member. (The same increment applies to smaller family sizes

also, as can be seen in figures above.)

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

Poverty Guidelines for Hawaii

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

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

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

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

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

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

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

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

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

For family units with more than 8 members add $2,940 for each

additional member. (The same increment applies to smaller family sizes

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

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

BILLING CODE 4184-01-P

[[Page 16335]]

[GRAPHIC] [TIFF OMITTED] TN12AP96.000

BILLING CODE 4184-01-C

[[Page 16336]]

Instructions for the SF 424

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if

applicable) 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 organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Entry Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation for contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project, if more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

17. This question applies to the applicant organization, not the

person who signs as the authorized representative. Categories of

debt include delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for you to

sign this application as official representative must be on file in

the applicant's office. (Certain Federal agencies may require that

this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 16337]]

[GRAPHIC] [TIFF OMITTED] TN12AP96.001

[[Page 16338]]

[GRAPHIC] [TIFF OMITTED] TN12AP96.002

BILLING CODE 4184-01-C

[[Page 16339]]

Instructions for the SF-424A

General Instructions

This form is designed so that application can be made for funds

from one or more grant programs. In preparing the budget, adhere to

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

shown by function or activity. For other programs, grantor agencies

may require a breakdown by function or activity. Sections A, B, C,

and D should include budget estimates for the whole project except

when applying for assistance which requires Federal authorization in

annual or other funding period increments. In the latter case,

Sections A, B, C, and D should provide the budget for the first

budget period (usually a year) and Section E should present the need

for Federal assistance in the subsequent budget periods. All

applications should contain a breakdown by the object class

categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter on Line 1 under Column (a)

the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget

amounts by multiple functions or activities, enter the name of each

activity or function on each line in Column (a), and enter the

catalog number in Column (b). For applications pertaining to

multiple programs where none of the programs require a breakdown by

function or activity, enter the catalog program title on each line

in Column (a) and the respective catalog number on each line in

Column (b).

For applications pertaining to multiple programs where one or

more programs require a breakdown by function or activity, prepare a

separate sheet for each program requiring the breakdown. Additional

sheets should be used when one form does not provide adequate space

for all breakdown of data required. However, when more than one

sheet is used, the first page should provide the summary totals by

programs.

Lines 1-4, Columns (c) through (g.)

For new applications, leave Columns (c) and (d) blank. For each

line entry in Columns (a) and (b), enter in Columns (e), (f), and

(g) the appropriate amounts of funds needed to support the project

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

before the end of each funding period as required by the grantor

agency. Enter in Columns (c) and (d) the estimated amounts of funds

which will remain unobligated at the end of the grant funding period

only if the Federal grantor agency instructions provide for this.

Otherwise, leave these columns blank. Enter in columns (e) and (f)

the amounts of funds needed for the upcoming period. The amount(s)

in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not

use Columns (c) and (d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and enter in Column (f) the

amount of the increase or decrease of non-Federal funds. In Column

(g) enter the new total budgeted amount (Federal and non-Federal)

which includes the total previous authorized budgeted amounts plus

or minus, as appropriate, the amounts shown in Columns (e) and (f).

The amount(s) in Column (g) should not equal the sum of amounts in

Columns (e) and (f).

Line 5--Show the totals for all columns used.

Section B. Budget Categories

In the column headings (1) through (4), enter the titles of the

same programs, functions, and activities shown on Lines 1-4, Column

(a), Section A. When additional sheets are prepared for Section A,

provide similar column headings on each sheet. For each program,

function or activity, fill in the total requirements for funds (both

Federal and non-Federal) by object class categories.

Lines 6a-i--Show the totals of Lines 6a to 6h in each column.

Line 6j--Show the amount of indirect cost.

Line 6K--Enter the total of amounts on Lines 6i and 6j. For all

applications for new grants and continuation grants the total amount

in column (5), Line 6k, should be the same as the total amount shown

in Section A, Column (g), Line 5. For supplemental grants and

changes to grants, the total amount of the increase or decrease as

shown in Columns (1)-(4), Line 6k should be the same as the sum of

the amounts in Section A, Columns (e) and (f) on Line 5.

Line 7--Enter the estimated amount of income, if any, expected

to be generated from this project. Do not add or subtract this

amount from the total project amount. Show under the program

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal-Resources

Lines 8-11--Enter 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

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 costs) to

ensure proper planning, management and completion of the project

described in this application.

2. Will give the awarding agency, the Comptroller General of the

United States, and if appropriate, the State, through any authorized

representative, access to and the right to examine all records,

books, papers,

[[Page 16340]]

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 nineteen statutes

or regulations specified in Appendix A of OPM's Standards for a

Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are no limited to: (a) Title VI

of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

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 (P.L. 92-255), as amended, relating to nondiscrimination on the

basis of drug abuse; (f) the Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

(P.L. 91-616), as amended, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),

as amended, relating to confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil Rights Act of 1968 (42

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

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

any other nondiscrimination provisions in the specific statute(s)

under which application for Federal assistance is being made; and

(j) the requirements of any other nondiscrimination statute(s) which

may apply to the application.

7. Will comply, or has already complied, with the requirements

of Titles II and III of the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (P.L. 91-646) which

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply with the provisions of the Hatch Act (5 U.S.C.

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. Secs. 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 (P.L. 93-234) which requires recipients in a special flood

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

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 (Clear 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, (P.L.

93-523); and (h) protection of endangered species under the

Endangered Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16

U.S.C. 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. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic

Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of

human subjects involved in research, development, and related

activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966

(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the

care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. 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 of 1984.

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

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

Title

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

Applicant organization

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

Date submitted

Attachment E--U.S. Department of Health and Human Services--

Certification Regarding Drug-Free Workplace Requirements

Grantees Other Than Individuals

By signing and/or submitting this application or grant

agreement, the grantee is providing the certification set out below.

This certification is required by regulations implementing the

Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The

regulations, published in the May 25, 1990 Federal Register, require

certification by grantees that they will maintain a drug-free

workplace. The certification set out below is a material

representation of fact upon which reliance will be placed when the

Department of Health and Human Services (HHS) determines to award

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, HHS, in addition to any

other remedies available to the Federal Government, may take action

authorized under the Drug-Free Workplace Act. False certification or

violation of the certification shall be grounds for suspension of

payments, suspension or termination of grants, or governmentwide

suspension or debarment.

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.

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.)

If the workplace identified to HHS changes during the

performance of the grant, the grantee shall inform the agency of the

changes(s), if it previously identified the workplaces in question

(see above).

Definitions of terms in the Nonprocurement Suspension and

Debarment common rule and Drug-Free Workplace common rule apply to

this certification. Grantees' attention is called, in particular, to

the following definitions from these rules:

[[Page 16341]]

``Controlled substance'' means a controlled substance in

Schedules I through V of the Controlled Substances Act (21 USC 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; consultants or independent

contractors not on the grantee's payroll; or employees of

subrecipients or subcontractors in covered workplaces).

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 subparagraph (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 subparagraph (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 or 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).

The grantee may insert in the space provided below the site(s)

for the performance of work done in connection with the specific

grant (use attachments, if needed):

Place of Performance (Street address, City, County, State, ZIP Code

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

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

Check ____ if there are workplaces on file that are not identified

here.

Sections 76.630(c) and (d)(2) and 76.635 (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 receipt 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, S.W., Washington, DC 20201.

Attachment F--Certification Regarding Debarment, Suspension, and Other

Responsibility Matters--Primary Covered Transactions

By signing and submitting this proposal, the applicant, defined

as the primary participant in accordance with 45 CFR Part 76,

certifies to the best of its knowledge and belief that it and its

principals:

(a) are not presently debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily excluded from covered

transactions by any Federal Department or agency;

(b) have not within a 3-year period preceding this proposal been

convicted of or had a civil judgment rendered against them for

obtaining, attempting to obtain, or performing a public (Federal,

State, or local) transaction or contract under a public transaction;

violation of Federal or State antitrust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction

of records, making false statements, or receiving stolen property.

(c) are not presently indicated or otherwise criminally or

civilly charged by a governmental entity (Federal, State or local)

with commission of any of the offenses enumerated in paragraph

(1)(b) of this certification; and

(d) have not within a 3-year period preceding this application/

proposal had one or more public transactions (Federal, State or

local) terminated for cause or default.

The inability of a person to provide the certification required

above will not necessarily result in denial of participation in this

covered transaction. If necessary, the prospective participant shall

submit an explanation of why it cannot provide the certification.

The certification or explanation will be considered in connection

with the Department of Health and Human Services' (HHS)

determination whether to enter into this transaction. However,

failure of the prospective primary participant to furnish a

certification or an explanation shall disqualify such person from

participation in this transaction.

The prospective primary participant agrees that by submitting

this proposal, it will include the clause entitled ``Certification

Regarding Debarment, Suspension, Ineligibility, and Voluntary

Exclusion--Lower Tier Covered Transactions'' provided below without

modification in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions (To Be Supplied to

Lower Tier Participants)

By signing and submitting this lower tier proposal, the

prospective lower tier participant, as defined in 45 CFR Part 76,

certifies to the best of its knowledge and belief that it and its

principals:

(a) are not presently debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily excluded from

participation in this transaction by any Federal department of

agency.

(b) where the prospective lower tier participant is unable to

certify to any of the above, such prospective participant shall

attach an explanation to this proposal.

The prospective lower tier participant further agrees by

submitting this proposal that it will include this clause entitled

``Certification Regarding Debarment, Suspension, Ineligibility, and

Voluntary Exclusion--Lower Tier Covered Transactions'' without

modification in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

Attachment G--OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,

Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,

Fax: (602) 280-1305

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and

Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas

72203, Telephone: (501) 682-1074, Fax: (501) 682-5206

[[Page 16342]]

Alabama

Jon C. Strickland, Alabama Department of Economic and Community

Affairs, Planning and Economic Development Division, 401 Adams

Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483,

Fax: (205) 242-5515

California

Grants Coordinator, Office of Planning and Research, 1400 Tenth

Street, Room 121, Sacramento, California 95814, Telephone: (916)

323-7480, Fax: (916) 323-3018

Delaware

Francine Booth, State Single Point of Contact, Executive Department,

Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,

Telephone: (302) 739-3326, Fax: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants

Mgmt. and Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.

20005, Telephone: (202) 727-6554, Fax: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740

Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)

922-5438, Fax: (904) 487-2899

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254

Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656-3855 or (404) 656-3829, Fax: (404) 656-7938

Illinois

Barbara Beard, State Single Point of Contact, Department of Commerce

and Community Affairs, 620 East Adams, Springfield, Illinois 62701,

Telephone: (217) 782-1671, Fax: (217) 534-1627

Indiana

Amy Brewer, State Budget Agency, 212 State House, Indianapolis,

Indiana 46204, Telephone: (317) 232-5619, Fax: (317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department

of Economic Development, 200 East Grand Avenue, Des Moines, Iowa

50309, Telephone: (515) 242-4719, Fax: (515) 242-4859

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local

Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-

8204, Telephone: (502) 573-2382, Fax: (502) 573-2512

Maine

Joyce Benson, State Planning Office, State House Station #38,

Augusta, Maine 04333, Telephone: (207) 287-3261, Fax: (207) 287-6489

Maryland

William G. Carroll, Manager, State Clearinghouse for

Intergovernmental Assistance, Maryland Office of Planning, 301 W.

Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff

Contact: Linda Janey, Telephone: (410) 225-4490, Fax: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900

Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:

(313) 961-4266

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and

Administration, 455 North Lamar Street, Jackson, Mississippi 39202-

3087, Telephone: (601) 359-6762, Fax: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 760, Truman Building, Jefferson

City, Missouri 65102, Telephone: (314) 751-4834, Fax: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex,

Carson City, Nevada 89710, Telephone: (702) 687-4065, Fax: (702)

687-3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,

Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon

Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,

Fax: (603) 271-1728

New Jersey

Gregory W. Adkins, Assistant Commissioner, New Jersey Department of

Community Affairs

Please direct all correspondence and questions about

intergovernmental review to:

Andrew J. Jaskolka, State Review Process, Intergovernmental Review

Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone:

(609) 292-9025, Fax: (609) 633-2132

New Mexico

Robert Peters, State Budget Division, Room 190, Bataan Memorial

Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol,

Albany, New York 12224, Telephone: (518) 474-1605

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the

Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina

27603-8003, Telephone: (919) 733-7232, Fax: (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental

Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-

0170, Telephone: (701) 224-2094, Fax: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse,

Office of Budget and Management, 30 East Broad Street, 34th Floor,

Columbus, Ohio 43266-0411

Please direct correspondence and questions about

intergovernmental review to:

Linda Wise, Telephone: (614) 466-0698, Fax: (614) 466-5400

Rhode Island

Daniel W. Varin, Associate Director, Department of Administration/

Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode

Island 02908-5870, Telephone: (401) 277-2656, Fax: (401) 277-2083

Please direct correspondence and questions to:

Review Coordinator, Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services,

Office of the Governor, 1205 Pendleton Street--Room 477, Columbia,

South Carolina 29201, Telephone: (803) 734-0494, Fax: (803) 734-0385

Texas

Tom Adams, Governor's Office, Director, Intergovernmental

Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)

463-1771, Fax: (512) 463-1880

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and

Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538-1535, Fax: (801) 538-1547

Vermont

Nancy McAvoy, State Single Point of Contact, Pavilion Office

Building, 109 State Street, Montpelier, Vermont 05609, Telephone:

(802) 828-3326, Fax: (802) 828-3339

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia

Development Office, Building #6, Room 553, Charleston, West Virginia

25305, Telephone: (304) 558-4010, Fax: (304) 558-3248

Wisconsin

Martha Kerner, Section Chief, State/Federal Relations, Wisconsin

Department of Administration, 101 East Wilson Street--6th Floor,

P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,

Fax: (608) 267-6931

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building,

4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-

7574, Fax: (307) 638-8967

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and

Management Research, Office of the Governor, P.O. Box 2950, Agana,

Guam 96910, Telephone: 011-671-472-2285, Fax: 011-671-472-2825

[[Page 16343]]

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning

Board, Federal Proposals Review Office, Minillas Government Center,

P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)

727-4444, (809) 723-6190, Fax: (809) 724-3270, (809) 724-3103

North Mariana Islands

State Single Point of Contact, Planning and Budget Office, Office of

the Governor, Saipan, CM, Northern Mariana Islands 96950

Virgin Islands

Jose George, Director, Office of Management and Budget, #41

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

Virgin Islands 00802

Please direct all questions and correspondence about

intergovernmental review to:

Linda Clarke, Telephone: (809) 774-0750, Fax: (809) 776-0069

Attachment H--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge

and belief, that:

(1) No Federal appropriated funds have been paid or will be

paid, by or on behalf of the undersigned, to any person for

influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with the awarding

of any Federal contract, the making of any Federal grant, the making

of any Federal loan, the entering into of any cooperative agreement,

and the extension, continuation, renewal, amendment, or modification

of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of

Congress, an officer or employee of Congress, or an employee of a

Member of Congress in connection with this Federal contract, grant,

loan or cooperative agreement, the undersigned shall complete and

submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in

accordance with its instructions.

(3) The undersigned shall require that the language of this

certification be included in the award documents for all subawards

at all tiers (including subcontractors, subgrants, and contracts

under grants, loans, and cooperative agreements) and that all

subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon

which reliance was placed when this transaction was made or entered

into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by section 1352, title 31,

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

shall be subject to a civil penalty of not less than $10,000 and not

more than $100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his or her knowledge and

belief, that:

If any funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with this

commitment providing for the United States to insure or guarantee a

loan, the undersigned shall complete and submit Standard Form-LLL

``Disclosure Form to Report Lobbying,'' in accordance with its

instructions.

Submission of this statement is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the required statement shall

be subject to a civil penalty of not less than $10,000 and not more

than $100,000 for each such failure.

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

Signature

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Title

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

Organization

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

Date

BILLING CODE 4184-01-P

[[Page 16344]]

[GRAPHIC] [TIFF OMITTED] TN12AP96.003

BILLING CODE 4184-01-C

[[Page 16345]]

Attachment I

Optional Checklist (for Use of Applicant Only) to Verify Contents

of Application

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

Check

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

A. Application contains:

1. Table of Contents............................... [ ]

2. A Project Abstract (no more than 200 words)..... [ ]

3. Completed SF-424, Application for Federal

Assistance........................................ [ ]

4. Completed SF-424A, Budget Information--Non-

construction Programs............................. [ ]

5. Signed SF 424B, Assurances--Non-Construction

Programs.......................................... [ ]

6. A project narrative with the following

components:

a. Analysis of need............................ [ ]

b. Project design.............................. [ ]

c. Organizational experience in program........ [ ]

d. Management history.......................... [ ]

e. Staffing and resources (resume or job

description).................................. [ ]

f. Staff responsibilities...................... [ ]

7. Relevant portions of the organization's By-Laws

or Articles of Incorporation confirming

eligibility....................................... [ ]

8. A signed copy of Certification Regarding the

Anti-Lobbying Provision........................... [ ]

9. A completed Disclosures of Lobbying Activities

Form, if appropriate.............................. [ ]

10. A self-addressed mailing label which can be

used to acknowledge receipt of application........ [ ]

B. Application does not exceed a total of 30 pages..... [ ]

C. Application includes one original and four copies,

printed on white 8-\1/2\ by 11 inch paper............. [ ]

D. Applicant is aware that in signing and submitting

the application for funds under the CFN Program, it is

certifying that it has read and understood the Federal

Guidelines concerning a drug-free workplace, the

debarment regulations, and environmental tobacco

smoke, set forth in Attachments C, D and E

respectively.......................................... [ ]

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

Attachment J--Certification Regarding Environmental Tobacco Smoke

Public Law 103-227, Part C--Environmental Tobacco Smoke, also

known as the Pro-Children Act of 1994 (Act), requires that smoking

not be permitted in any portion of any indoor facility owned or

leased or contracted for by an entity and used routinely or

regularly for the provision of health, day care, education, or

library services to children under the age of 18, if the services

are funded by Federal programs either directly or through State or

local governments, by Federal grant, contract, loan, or loan

guarantee. The law does not apply to children's services provided in

private residences, facilities funded solely by Medicare or Medicaid

funds, and portions of facilities used for inpatient drug or alcohol

treatment. Failure to comply with the provisions of the law may

result in the imposition of a civil monetary penalty of up to $

This text is long and has been trimmed here. Open the source document for the complete record.