# Request for REACH Plans Under the Office of Community Services' FY 1997 Low-Income Home Energy Assistance Program, Residential Energy Assistance Challenge Option (REACH) Program > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3A97-11515 ## Record - **Collection:** Federal Register - **Document type:** Notice - **Published:** May 5, 1997 - **Citation:** 62 FR 24454 ## Text DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children and Families [Program Announcement No. OCS-96-04] Request for REACH Plans Under the Office of Community Services' FY 1997 Low-Income Home Energy Assistance Program, Residential Energy Assistance Challenge Option (REACH) Program AGENCY: Office of Community Services, ACF, DHHS. ACTION: Announcement of availability of funds and request for REACH Plans under the Office of Community Services' Residential Energy Assistance Challenge Option (REACH) Program. ----------------------------------------------------------------------- SUMMARY: The Administration for Children and Families (ACF), Office of Community Services (OCS) announces that, based on availability of funds, REACH Plans will be accepted for grants pursuant to the Secretary's authority under Section 2607B(b) of the Low-Income Home Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq. CLOSING DATE: The closing date and time for receipt of REACH applications is 4:30 p.m., eastern time zone, on July 9, 1997. Applications received after 4:30 p.m. on that day will be classified as late. Postmarks and other similar documents do not establish receipt of an application. Detailed application submission instructions including the addresses where applications must be received are found in Part VI B, Application Submission. FOR FURTHER INFORMATION CONTACT: Administration for Children and Families, Office of Community Services, Division of Community Demonstration Programs, 370 L'Enfant Promenade, S.W., Fifth Floor, Washington, D. C. 20447, Attention: Richard Saul--(202) 401-9341, Anna Guidery--(202) 401-5318. This Notice is accessible on the OCS Electronic Bulletin Board for downloading through your computer modem by calling 1-800-627-8886. For assistance in accessing the Bulletin Board, a Guide to Accessing and Downloading is available from Ms. Minnie Landry at (202) 401-5309. The Catalog of Federal Domestic Assistance number for this program is 93.568. The Title is ``LIHEAP/REACH''. Table of Contents Part I--Introduction A. Legislative Authority B. Definition of Terms C. Purpose Part II--Background Information: A. Eligible Applicants B. Program Priority Areas C. Project Periods and Budget Periods D. Availability of Funds and Grant Amounts E. Program Participants/Beneficiaries F. Prohibition and Restrictions on the Use of Funds G. Multiple Submittals and Multiple Grants H. Maintenance of Effort Part III--REACH Priority Areas and Program Requirements A. Statement of Assurances and Demonstration B. Additional Program Requirements for Priority Area 1.0 1. Eligible Applicants for Priority Area 1.0 2. Program Focus for Priority Area 1.0 3. Holistic Strategy and Mobilization of Resources for Priority Area 1.0 Projects 4. Scope of the Priority Area 1.0 REACH Plan 5. Low-Income Citizen Participation in Establishment of REACH Projects under Priority Area 1.0 6. Third-Party Evaluation of Priority Area 1.0 Projects 7. Dissemination of Priority Area 1.0 Project Results. C. Special Program Requirements for Priority Area 2.0 1. Eligible Applicants for Priority Area 2.0 2. Program Focus 3. Holistic Program strategy 4. Scope of the Priority Area 2.0 REACH Plan 5. Low-Income Citizen Participation under Priority Area 2.0 6. Third Party Evaluation of Priority Area 2.0 Projects 7. Dissemination of Priority Area 2.0 Project Results Part IV--REACH Plan Elements and Review Criteria A. Program Elements, Review and Assessment Criteria for REACH Plans Under Priority Area 1.0 B. Special Program Elements, Review and Assessment Criteria for REACH Plans Under Priority Area 2.0 Part V--Quality Standards for Energy Efficiency Education Services Plans A. Purpose B. Target Population C. Needs Assessment and Project Design Process D. Service Delivery E. Relation of Services to Changes, of Changes to Outcomes, and of Outcomes to Goals (a ``Logic Model'') F. Evaluation Part VI--Application Procedures A. Availability of Forms B. Application Submission C. Paperwork Reduction Act of 1995 D. Application Consideration E. Criteria for Screening Applications Part VII--Instructions for Completing Application Forms A. SF-424--Application for Federal Assistance B. SF-424A--Budget Information--Non-Construction Programs C. SF-424B--Assurances--Non-Construction Part VIII--Contents of Reach Plan and Receipt Process A. Content and Order of Application B. Acknowledgement of Receipt Part IX--Post-Award Information and Reporting Requirements A. Notification of Grant Award B. Attendance at Workshops C. Reporting Requirements D. Audit Requirements E. Prohibitions and Requirements with regard to Lobbying F. Applicable Federal Regulations Part I--Introduction A. Legislative Authority Section 2607B(b) of the Low-Income Home Energy Assistance Act of 1981, as amended, 42 USC 8621 et seq., [[Page 24455]] authorizes the creation of the Residential Energy Assistance Challenge Option (REACH) Program, which was funded for the first time in FY 1996. REACH is designed to provide services through local community-based agencies to help LIHEAP eligible households reduce their energy vulnerability. The Secretary is authorized to make incentive grants to States, Tribes, Tribal Organizations, and certain Insular Areas that submit qualifying Plans, hereinafter referred to as REACH Plans, that are approved by the Secretary as REACH initiatives. Successful applicants are to use such grants for the costs of planning, implementing, and evaluating the initiative. Only grantees under the Low Income Home Energy Assistance Program (LIHEAP) may apply for REACH grants. The Secretary must also reserve from any funds allocated under the REACH initiative, funds to make additional payments to selected REACH applications that (a) Include energy efficiency education services plans that meet quality standards established by the Secretary in consultation with the Secretary of Energy; and (b) have the potential for being replicable model designs for other programs. This Announcement is requesting competitive REACH Plans from eligible applicants which are consistent with the information, requirements, and program elements and review criteria outlined in Parts II, III, IV, and V, below. B. Definition of Terms For purposes of this Program Announcement, the following definitions apply [Definitions marked with an asterisk(*) are the definitions found in Section 2603 of the Low Income Home Energy Assistance Act, as amended, (42 U.S.C. 8622) and apply to the REACH Initiative]: --Budget period: The term ``budget period'' refers to the interval of time into which a multi-year period of assistance (project period) is usually divided for budgetary and funding purposes, and is generally between 12 and 17 months duration. --Community-based, nonprofit entity: A corporation or association whose profits may not lawfully accrue to the benefit of any shareholder or individual, and whose goals, objectives and activities are established and carried out through a process involving the Participation of residents of the community or local area being served, including low- income residents. For purposes of the REACH Program, this includes all organizations or agencies which meet the definition of ``eligible entity'' in Section 673(1) of the Community Services Block Grant Act as amended (42 USC 9902(1)). --Community-based organization recipient (CBO Recipient): The community-based nonprofit entity through which State REACH Project services shall be delivered in the applicant State under Priority Area 1.0. --Energy burden* means the expenditures of the household for home energy divided by the income of the household. --Energy crisis* means weather-related and supply shortage emergencies and other household energy-related emergencies. --Highest home energy needs* means the home energy requirements of a household determined by taking into account both the energy burden of such household and the unique situation of such household that results from having members of vulnerable populations, including very young children, individuals with disabilities, and frail older individuals. --Home energy* means a source of heating or cooling in residential dwellings. --Household* means any individual or group of individuals who are living together as one economic unit for whom residential energy is customarily purchased in common or who make undesignated payments for energy in the form of rent. --Innovative project: One that departs from or significantly modifies past program practices and tests a new approach(es). --Intervention: Any planned activity within a project that is intended to produce changes in the target population or the environment, and can be formally evaluated. --Nonprofit organization: A corporation or association whose profits may not lawfully accrue to the benefit of any shareholder or individual (and through which REACH Project services may be delivered under Priority Area 2.0). --Outcome evaluation: An assessment of measured results designed to provide a valid determination of the net effects attributable to the intervention. An outcome evaluation will produce and interpret findings related to whether the intervention produced desirable changes and its potential for replicability. It should answer the question, ``Did this program work?'' --Poverty level* means, with respect to a household in any State, the income poverty line as prescribed and revised at least annually pursuant to section 673(2) of the Community Services Block Grant Act, as applicable to such State. (See Attachment A.) --Process evaluation: Descriptive information that is gathered on the development and implementation of a program/intervention that may serve as a document for replicating the program elsewhere. The evaluation should also identify problems that occurred and how they were dealt with and recommend improved means of future implementation. It should answer the question: ``How was the program carried out?'' In concert with the outcome evaluation, it should also help explain, ``Why did this program work/not work?'' --Project period: The term ``project period'' refers to the total time for which a project is approved for support, including any extensions. If for more than 17 months, it is usually divided into ``budget periods'' of 17 months or less duration for which individual grant actions are made. (see ``Budget period''). --Secretary* means the Secretary of Health and Human Services. --State* means each of the several States and the District of Columbia. --State median income* means the State median income promulgated by the Secretary in accordance with procedures established under section 2002(a)(6) of the Social Security Act (as such procedures were in effect on the day before the date of the enactment of this Act) and adjusted, in accordance with regulations prescribed by the Secretary, to take into account the number of individuals in the household. C. Purpose As described in the authorizing legislation, the purpose of the REACH Program is to-- (1) Minimize health and safety risks that result from high energy burdens on low-income Americans; (2) Prevent homelessness as a result of inability to pay energy bills; (3) Increase efficiency of energy usage by low-income families; and (4) Target energy assistance to individuals who are most in need. In keeping with this broad mandate, OCS will support a limited number of innovative Pilot Projects that seek to demonstrate the long term cost effectiveness of supplementing energy assistance payments with non-monetary benefits that can increase the ability of eligible households to meet energy costs and help them to achieve energy self- sufficiency. [[Page 24456]] Part II--Background Information A. Eligible Applicants States, Indian Tribes, and Tribal Organizations (including Alaskan Native Villages), and Insular Areas that receive direct grants from the Department of HHS under LIHEAP which are expended for implementing a LIHEAP program may apply for funds under the REACH Program. Note: Due to the limited availability of funds, States which received REACH grants in FY 1996 under Priority Area 1.0 for the maximum amount of $1.5 million will not be eligible for funding in FY 1997. States which received FY 1996 REACH grants for less than the maximum amount of $1.5 million will be eligible to receive FY 1997 grants, on a competitive basis, for an amount which, taken together with the FY 1996 grant, would not exceed the $1.5 million maximum grant amount. B. Program Priority Areas The REACH Program will have two Priority Areas: Priority Area 1.0, for which eligible applicants are States, the District of Columbia and Puerto Rico; and Priority Area 2.0, for which eligible applicants are Tribes, Tribal Organizations, and other Insular Areas which are LIHEAP grantees that use LIHEAP funds to implement a LIHEAP Program. C. Project Periods and Budget Periods (See Part I, B, Definition of Terms) The Low-Income Home Energy Assistance Act of 1981, as amended (42 USC 8621) authorizes a block grant program of which the REACH Program is a part, and to which 45 Code of Federal Regulations (CFR) Parts 74 and 92 and OMB Circulars do not apply. However, 45 CFR Part 96 does apply to REACH funds. Grantees are required to obligate REACH funds by the end of the Fiscal Year following the Fiscal Year in which the REACH grant was awarded by OCS; but as noted below, grantees under Priority Area 1.0 will be encouraged to obligate funds to sub-recipients well before that deadline. 1. Project Periods Project periods will be 36 months for all REACH projects under Priority Area 1.0 and for projects under Priority Area 2.0 when the applicant elects to delegate the project to a non-profit organization as described below. States under Priority Area 1.0 and applicants under Priority Area 2.0 with thirty-six month Project Periods are encouraged to provide for completion of the planning and consummation of awards to sub-recipients within a time frame that will allow for adequate start-up and an implementation period of at least two years, followed by a phase-out period that will permit completion of the required evaluation under Priority Area 1.0 and reporting under Priority Area 2.0. Project periods will be up to 17 months under Priority Area 2.0 where applicants elect to operate projects directly, as described below. 2. Budget Periods (a) Budget Periods for all REACH Projects will be twelve months (one year) in Priority Area 1.0 and Priority Area 2.0 when applicants elect to operate the REACH Program through non-profit organizations. (1) In the case of projects under Priority Area 1.0, States will receive grants for the full amount of the three-year Project Period, and must award REACH funds to CBO Recipients for total project budgets covering the full Project Period by the end of the Fiscal Year following the Fiscal Year in which the grant is awarded, and should solicit and/or design local projects accordingly. Applicants under Priority Area 1.0 may include in the REACH Initiative budget an amount up to ten percent (10%) of the total REACH grant for planning, administration, and coordinating costs at the State level, and for contracting with a third party evaluator as defined in Part IV-A, Element VI, below, and discussed in Part III-A.6., during the first project year (the first twelve month budget period) of the REACH Initiative. States may apply for continued funding for such costs for each of the second and third project years (budget periods) on a non- competitive basis, for an amount each of those project years of up to five percent (5%) of the original grant amount, subject to the availability of funds, satisfactory progress of the grantee, and determination that this would be in the best interest of the government. (2) In the case of REACH Projects under Priority Area 2.0, where applicants elect to operate REACH projects through non-profit organizations, grants awarded pursuant to this announcement will likewise be for the full amount of the three year Project Period, and applicants will in like manner award REACH funds to sub-recipients for total project budgets covering the full Project Period as described in the preceding paragraph (a). Such applicants may include up to five percent (5%) of the total REACH grant for planning, administration and coordinating costs of the first year, which may be continued for years two and three on the same terms as described in preceding paragraph (a). (b) Where applicants under Priority Area 2.0 elect to operate REACH programs themselves, as described below, grants awarded pursuant to this announcement may be for up to 17-month Project and Budget Periods. D. Availability of Funds and Grant Amounts The total amount expected to be available for REACH Initiative grants pursuant to this announcement is approximately $5,000,000. The Office of Community Services expects to award up to eight competitive grants under Priority Area 1.0 for General Pilot Projects of $500,000 to $1,500,000 each for the planning, implementation and evaluation of REACH Initiatives; but the total amount awarded under Priority Area 1.0 will not exceed $4,000,000, except as provided under Priority Area 2.0. OCS expects to award four to sixteen grants under Priority Area 2.0 for smaller Pilot Projects of $20,000 to $150,000 each to Indian Tribes and Tribal Organizations for a total of up to $400,000. Any funds not awarded under Priority Area 2.0 will be available for funding under Priority Area 1.0. Pursuant to the legislative mandate, an additional $600,000 has been reserved by the Secretary to make additional payments of up to $100,000 each to qualifying funded REACH Initiatives under Priority Area 1.0, and payments of up to $25,000 each under Priority Area 2.0, for implementation and evaluation of Energy Efficiency Education Services (EEES) Plans which meet the Quality Standards established in consultation with the Secretary of Energy which are set forth in Part V of this Announcement, and have the potential for being replicable model designs for other programs. Any such reserved funds not awarded for EEES Plans will be available for funding REACH applications under Priority Areas 1.0 and 2.0. E. Program Participants/Beneficiaries Projects proposed for funding under this announcement must result in direct benefits to low-income individuals and families who are eligible for LIHEAP benefits under the applicant's LIHEAP program, pursuant to Section 2605(b)(2) of the Low Income Home Energy Assistance Act of 1981, as amended. However, not all LIHEAP recipients and/or eligible households must be provided REACH services. Applicants may target a portion of the LIHEAP-eligible population for REACH services. Attachment A to this announcement is an excerpt from the Poverty Income [[Page 24457]] Guidelines currently in effect. Annual revisions of these guidelines are normally published in the Federal Register in February or early March of each year. Where relevant to REACH eligibility criteria, grantees will be required to apply the most recent guidelines throughout the project period. These revised guidelines also may be obtained at public libraries, Congressional offices, or by writing the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. They also are accessible on the OCS Electronic Bulletin Board for reading and/or downloading. (See For Further Information at beginning of this announcement.) Consistent with the legislative purpose of the REACH Initiative ``to target energy assistance to individuals who are most in need'', projects proposed for funding under this Announcement may further restrict eligibility to lower income individuals and families within the LIHEAP eligible universe. Under the authorizing legislation applicants may designate all or part of the State or all or part of the client population as a focus of its REACH Initiative. The Secretary has determined that in order best to compare the cost effective outcomes of REACH benefits with those of LIHEAP payment benefits alone, the geographic/client focus of the REACH program should be one which results in REACH expenditures bearing a reasonable relationship to the LIHEAP payment benefits available to the same target population. [Note: In the FY 1996 Program Announcement for REACH it was suggested that proposed REACH expenditures be not less than one-half nor more than twice the amount of LIHEAP benefits paid within the REACH service area to eligible households over a two-year period under current appropriation levels. It has been brought to our attention that such a limitation is too restrictive in the sense that the lower limit precludes: (1) The testing of innovative REACH initiatives over larger areas at relatively low per-capita cost; (2) the testing of innovative long term REACH initiatives which, although at a higher initial cost, might prove cost effective over the longer term; and (3) unduly limits recipients of smaller allocations of LIHEAP funds, even though long term needs may be great. Consequently, no such restrictions are suggested in this Announcement, and applicants are left to justify their requests for funding as cost effective in their program narratives.] F. Prohibition and Restrictions on the Use of Funds The use of REACH funds for the purchase or construction of real property is prohibited. Costs incurred for rearrangement and alteration of facilities required specifically for the funded program are allowable when specifically approved by ACF in writing. However, in keeping with the legislative mandate to include energy related residential repair and energy efficiency improvements in REACH Project activities, such activities carried out in beneficiaries' residences will not be considered to be violative of these prohibitions or restrictions. If the applicant is proposing a project which will affect a property listed in, or eligible for inclusion in the National Register of Historic Places, it must identify this property in the narrative and explain how it has complied with the provisions of section 106 of the National Historic Preservation Act of 1966 as amended (16 U.S.C. 470). If there is any question as to whether the property is listed in or eligible for inclusion in the National Register of Historic Places, the applicant should consult with the State Historic Preservation Officer. (See Attachment D: SF-424B, Item 13 for additional guidelines.) The applicant should contact OCS early in the development of its application for instructions regarding compliance with the National Historic Preservation Act and data required to be submitted to the Department of Health and Human Services. Failure to comply with the cited Act will result in the application being ineligible for funding consideration. G. Multiple Submittals and Multiple Grants Due to the limited number of grants that will be made under this program, only one application from any one eligible applicant will be funded by OCS from FY 1997 REACH funds. (This does not preclude applicants from submitting more than one application or including more than one local REACH Project/CBO Recipient in their REACH plans.) H. Maintenance of Effort The activities funded under this program announcement must be in addition to, and not in substitution for, activities previously carried on without Federal assistance. Also, the benefits and services provided eligible participants in the REACH Project must be provided in addition to and in coordination with benefit payments and services provided under the applicant's regular LIHEAP Program. A signed Certificate of Maintenance of Effort must be included with the application (see Attachment J). Part III--Reach Priority Areas and Program Requirements A. Statement of Assurances and Demonstration Section 2607B of the Low-Income Home Energy Assistance Act of 1981, as amended, which authorizes the REACH program, provides that ``each State plan shall include each of the elements in paragraph (2), to be met by State and local agencies.'' These required elements are listed below. To be considered for funding, each REACH Plan must include a signed ``Statement of Assurance and Demonstration'' that the proposed REACH Plan meets all of the legislative requirements listed below. [The required ``Statement of Assurances and Demonstration'' is appended as ``Attachment M'' to this Program Announcement.] (1) Service delivery through community-based nonprofit entity. (For applicants under Priority Area 1.0 only.) [Should be reflected in Plan Elements II and VII] (2) In awarding grants or contracts to community-based non-profit entities, priority will be given to CSBG eligible entities that are successful LIHEAP service providers and receive Weatherization Assistance Program funds from the Department of Energy. (For applicants under Priority Area 1.0 only.) [Should be reflected in Plan Elements II and VII. Attach letter(s) of certification as described therein] (3)(a) Each CBO Recipient under Priority Area 1.0 to provide a variety of services, to include: (i) Payments to, or on behalf of, individuals eligible for residential energy assistance services and benefits under section 2605(b) of the Act for home energy costs; (ii) Energy efficiency education; (iii) Residential energy demand management services, including any other energy related residential repair and energy efficiency improvements in coordination with, or delivered by, Department of Energy weatherization assistance programs at the discretion of the State; (iv) Family services, such as counseling and needs assessment, related to energy budget management, payment plans, and related services; and (v) Negotiation with home energy suppliers on behalf of households [[Page 24458]] eligible for REACH services and benefits; [Should be reflected in Plan Elements II and III, as appropriate] (b) Given the size of most tribal and small insular territory LIHEAP programs, the Secretary has determined, in accordance with 45 CFR 96.42(a), that REACH applications from tribal and small insular area LIHEAP grantees under Priority Area 2.0 do not have to provide all of the above services. Therefore, each REACH Plan under Priority Area 2.0 must include provision of at least two of the services listed in paragraph (1). (4) A description of the methodology the State and local agencies will use to determine-- (a) Which households will receive one or more forms of benefits under the State REACH initiative; (b) The cases in which nonmonetary benefits are likely to provide more cost-effective long-term outcomes than payment benefits alone; and (c) The amount of such benefit required to meet the goals of the program; [Should be reflected in Elements II and V] (5) A method for targeting nonmonetary benefits; [Should be reflected in Element II] (6) A description of the crisis and emergency assistance activities the State will undertake that are designed to-- (a) Discourage family energy crises; (b) Encourage responsible vendor and consumer behavior; and (c) Provide only financial incentives that encourage household payment; [Should be reflected in Elements II and V] (7) A description of the activities the State will undertake to-- (a) Provide incentives for recipients of assistance to pay home energy costs; and (b) Provide incentives for vendors to help reduce the energy burdens of recipients of assistance; [Should be reflected as appropriate in Elements II and V] (8) An assurance that the State will require each entity that receives a grant or enters into a contract under this section to solicit and be responsive to the views of individuals who are financially eligible for benefits and services under this section in establishing its local program; [Should be reflected in Element II] (9) A description of performance goals for the State REACH initiative including-- (a) A reduction in the energy costs on participating households over one or more fiscal years; (b) An increase in the regularity of home energy bill payments by eligible households; and (c) An increase in energy vendor contributions towards reducing energy burdens of eligible households; [Should be reflected in Element II(b) and, under Program Area 1.0, Element VIII also] (10) A description of the indicators that will be used by the State to measure whether the performance goals have been achieved; [Should be reflected, for Priority Area 1.0, in Element VIII] (11) An assurance that benefits and services will be provided in addition to other benefit payments and services provided under this title and in coordination with such benefit payments and services; [Should be reflected in Element II] (12) An assurance that no regulated utility covered by the plan will be required to act in a manner that is inconsistent with applicable regulatory requirements. [Should be reflected in Element II] (13) A demonstration that the REACH Plan is consistent with paragraphs (2), (3), (4), (5), (7), (10), (11), (12), (13), and (14) of section 2605(b) of the Low Income Home Energy Assistance Act of 1981, as amended; subsections (d), (e), (f), (g), (h), (i), and (j) of section 2605; and section 2606 of the Act; [See Attachment K for texts of these Sections and subsections; should be reflected as appropriate in Elements II, IV, and VII] [Note: The definitions in Section 2603 of the Act have been incorporated into the definitions in Part I, Section B of this Announcement and will apply to the REACH Initiative.] The requirements of this section will be met by the inclusion at the beginning of the REACH Plan of a Statement of Assurance and Demonstration that the Plan meets the Requirements as set forth in Part III, Section A. (See Attachment M) B. Additional Program Requirements for Priority Area 1.0 1. Eligible Applicants for Priority Area 1.0 Eligible applicants for these grants under Priority Area 1.0 are the fifty States, the District of Columbia and Puerto Rico. They must deliver REACH services, in one or more specific projects, through community-based, nonprofit organizations, hereinafter referred to as CBO Recipients, by awarding grants to or entering into contracts with such CBO Recipients for the purpose of providing such services and payments directly to individuals eligible for benefits. If a State makes LIHEAP payments directly to eligible individuals or energy suppliers, the State need not require the CBO Recipient(s) to make such payments, but must enter into contract(s) with such CBO Recipients to administer the REACH program(s), including: (i) Determining eligibility, (ii) providing outreach services, and (3) providing REACH benefits other than payments. Local Agencies may not apply for direct REACH funding. In awarding grants or entering into contracts to carry out its REACH Initiative, the State must give priority to eligible entities, as defined in Section 673 of the Community Services Block Grant Act (42 U.S.C. 9902(1)) except where significant geographic portions of the State are not served by such entities, that: (1) Have a record of successfully providing services under the Low-Income Home Energy Assistance Program (as determined by DHHS), and (2) receive funds under the Department of Energy's Low Income Weatherization Assistance Program. The State may not require any such entity to operate a REACH Project. 2. Program Focus for Priority Area 1.0 As noted above, so that the cost effective outcomes of REACH benefits may best be compared with those of LIHEAP benefits alone, an Applicant, in designating the REACH service area or segment of the eligible population to be served by the proposed REACH Plan, should seek to define (an) area(s) or population segment(s) whose allocation under the LIHEAP program bears a reasonable relationship to the resources available to the REACH Project. In this regard, the applicant should consider the totality of resources that will be available to support the REACH Project's implementation and the level of benefit and/or services reasonably required to achieve the Project's goals and objectives. This will be a function, in part, of the specific interventions that will go to make up the ``benefits and services'' in the particular Project design; and an objective of every REACH Plan should be to measure the success of such interventions in achieving more cost-effective long-term outcomes than energy payment benefits alone. Thus OCS is interested in REACH Plans that propose testing innovative approaches to helping low-income families achieve energy self-sufficiency, [[Page 24459]] and ultimate independence from energy assistance payments. 3. Holistic Strategy and Mobilization of Resources for Priority Area 1.0 Projects OCS is interested in having Applicants approach the energy needs of low-income families within a holistic context of the economic, social, physical, and environmental barriers to achieving self-sufficiency. Thus applicants should include in their REACH Plan an explanation of how the proposed project(s) will be integrated with and support other anti-poverty or development strategies within the target community or communities. REACH grantees are not required to match REACH grant awards with either cash or in-kind contributions of goods and services. However, in keeping with this holistic integration of REACH Projects within the community, they are expected to be closely coordinated with other public and private sector programs involved with community revitalization, housing rehabilitation and weatherization, and family development; and OCS will give favorable consideration in the application review process to applicants who mobilize third-party cash and/or in-kind contributions for direct use in the REACH Project. Even though there is no matching requirement for the REACH Program, grantees will be held accountable for any match, cash or in-kind contribution proposed or pledged as part of an approved application. (See Part IV-A, Element III.) If the REACH service area or portion thereof is covered by a comprehensive community-based strategic plan, such as that required for applying for Empowerment Zone/Enterprise Community (EZ/EC) status, to achieve both economic and human development in an integrated manner, applicants should document how they and/or the designated CBO Recipient(s) were involved in the preparation and implementation of the plan, and how the proposed REACH project(s) will support the goals of that plan. (See Part IV-A, Element VIII.) 4. Scope of the Priority Area 1.0 REACH Plan A State may submit a REACH Plan which proposes one local REACH Project to be implemented by one CBO Recipient; it may submit a Plan in which the same project is proposed to be implemented in several localities by separate CBO Recipients; or it may submit a plan proposing two or more different and distinct Projects, each to be implemented through a separate CBO Recipient. Where a State proposes different and distinct REACH Projects to be carried out by more than one CBO Recipient, the REACH Plan should include, for each of these projects/CBO Recipients, a separate narrative of no more than twenty- four pages in length, covering Elements I through VI, as explained in Part IV, and designated as ``Segment One'' of the Project Narrative; and a Budget Justification as described in Element II, covering Project Budget Appropriateness. Where a REACH Plan proposes only one distinct project, to be implemented either in one locality or in several, by either one or more than one CBO Recipient, then the Plan need include only one ``Segment One'' narrative of no more than 24 pages in length, but, as noted below under Part IV-A, this should include an Element I capability statement, not to exceed five pages in length, for each of the implementing CBO Recipients. In such cases the additional five-page Element I capability statements may be in addition to the twenty-four page limit for Segment One narratives. ``Segment Two'' of the REACH Plan Narrative should be no longer than six pages in length and include Element VII, the Management and Organization of the overall REACH Initiative by the applicant State, and Element VIII, the outline of an Evaluation Plan as described in Paragraph 6. below. Element VII, under Segment Two of the Priority Area 1.0 REACH Plan must also include the designation, in accordance with the priorities described in Section A. 1., above, of the CBO Recipient(s) through which the proposed project(s) will be implemented. With each Priority Area 1.0 REACH Plan there must be included a Letter of Agreement from each designated CBO Recipient subscribing to the project concept as described in the appropriate ``Segment One'' narrative section of the Plan and agreeing to operate the REACH project as proposed. The Letter of Agreement must also commit the CBO Recipient(s) to a process of Low-Income Citizen Participation in the establishment of the local REACH Project, as described in Paragraph 5., below. 5. Low-Income Citizen Participation in Establishment of REACH Projects under Priority Area 1.0 To be considered for funding, a REACH Plan must include provision for the systematic and regularized solicitation, by the designated CBO Recipient(s), of the views of eligible low-income individuals in the community; and for the assurance, by means of an advisory board or similar process, that such organization(s) will be responsive to such views in the development and implementation of the local Project. Assurance for compliance with these requirements may be accomplished through the Letter of Agreement submitted by each CBO Recipient as required in Paragraph 4., above. (See Part IV-A, Sub-Element II(a)) 6. Third-Party Evaluation of Priority Area 1.0 Projects REACH Plans must include provision for an independent, methodologically sound evaluation of the effectiveness of the activities carried out with the grant and their efficacy in achieving stated project goals related to reducing participant home energy costs and increasing the ability of participants to meet such costs independent of payment subsidy, including, specifically, the performance goals set out in paragraph 9, and indicators described pursuant to paragraph 10, of the Statement of Assurances and Demonstration under Part III A. The Plan should include a well thought through outline of an evaluation plan for the proposed project(s). The outline should explain how the applicant proposes to answer the key questions about how effectively the project is being/was implemented (the Process Evaluation) and whether and why/why not the project activities or interventions achieved the expected outcomes and goals of the project(s) (the Outcome Evaluation). (See Part I, Section B for definitions of Process and Outcome Evaluations.) Applicants may propose a single evaluation for their overall REACH Initiative, or separate evaluations for individual projects, as and where appropriate. In addition to the performance goals mentioned above, the outline should include a description of the indicators that will be used by the State (and the CBO Recipient(s)) to measure whether the goals have been achieved. The evaluation must be conducted by an independent, third-party evaluator, i.e., a person with recognized evaluation skills who has experience with social programs and is organizationally distinct from, and not under the control of, the applicant or the local organization(s) implementing the REACH Project. It is important that each successful applicant have a third-party evaluator selected, and performing at the very latest by the time the work program of the project is begun, and if possible before that time so that he or she can participate in the final design of the program, in order to assure that data necessary for the evaluation will be collected and available. Costs of [[Page 24460]] evaluation may be shared by CBO Recipients where appropriate and subject to their agreement. 7. Dissemination of Priority Area 1.0 Project Results REACH Plans should include provision for disseminating the results of the project among LIHEAP grantees, utility companies, and others interested in increasing the self-sufficiency of the poor. Applicants may budget up to $5,000 for dissemination purposes. C. Special Program Requirements for Priority Area 2.0 1. Eligible Applicants for Priority Area 2.0 Eligible Applicants for REACH grants under Priority Area 2.0 are Indian Tribes and Tribal Organizations which currently receive direct grants from DHHS under the LIHEAP Program; and the Insular Areas of American Samoa, Commonwealth of the Northern Mariana Islands, the U.S. Virgin Islands, and Guam, provided they are LIHEAP grantees that use LIHEAP funds to implement a LIHEAP Program. In accordance with 45 CFR 96.42(a), the Secretary has determined that inasmuch as these applicants are generally representative of and close to their communities, which with few exceptions are relatively small; and inasmuch as they generally implement their LIHEAP programs and other social service programs directly; that therefore the requirements of Section 2607B(e)(2)(A) and (B) of the Act are not applicable to eligible applicants under Priority Area 2.0; and that consequently REACH grantees under Priority Area 2.0 may implement REACH programs directly, without delegation to CBO Recipients. However, as explained in Part II B, Budget Periods, above, applicants electing to implement their REACH Projects directly will be limited to projects of no more than 17 months duration (Project and Budget Periods of no more than 17 months). Applicants under Priority Area 2.0 may also elect to operate their projects through grants or contracts to non-profit organizations. However, in such cases the non-profit organization does not have to be a community based organization (CBO) as defined in Part I. If they choose to operate their projects through non-profit organizations, the Project and Budget Periods applicable to Priority Area 1.0 will apply. 2. Program Focus The Program Focus for Priority Area 2.0 REACH projects should be the same as for Priority Area 1.0, described above in Section A.2. 3. Holistic Program Strategy OCS is interested in having applicants under Priority Area 2.0 approach the energy needs of low-income families within a holistic context of the economic, social, physical, and environmental barriers to achieving self-sufficiency. Accordingly, applicants under Priority Area 2.0 should describe how their REACH Plan will be coordinated with other programming aimed at community development, housing rehabilitation and weatherization, and family development. 4. Scope of the Priority Area 2.0 REACH Plan The Priority Area 2.0 REACH Plan should describe the concept of the proposed REACH Project, describing the goals or outcomes that the project seeks to achieve; the needs of the target population that the project seeks to address; the assumptions about how those needs can be met; and the activities or interventions that the project will undertake to meet the needs and achieve the goals and outcomes of the project. 5. Low-Income Citizen Participation under Priority Area 2.0 To be considered for funding, a REACH Plan must include provision for the systematic and regularized solicitation by the grantee of the views of eligible low-income individuals in the community. (See Part IV-B, Sub-Element II(a)) 6. Third-Party Evaluation of Priority Area 2.0 Projects As noted above, the Priority Area 1.0 requirement for a third party evaluation does not apply to Priority Area 2.0 grantees. However, Priority Area 2.0 REACH Plans must describe the indicators they will use to measure whether their performance goals have been achieved, and they must submit a report summarizing these results at the end of the grant period. 7. Dissemination of Priority Area 2.0 Project Results Applicants under Priority 2.0 may budget up to $1,000 for dissemination of project results. Part IV--Reach Plan Elements and Review Criteria The ultimate goals of the projects to be funded under the REACH Program are to realize significant improvements in the ability of eligible households to meet energy costs and pay home energy bills with regularity, through innovative project interventions which will reduce energy costs and increase the capability of low-income participants to pay; in the case of REACH Projects under Priority Area 1.0, to evaluate the effectiveness of these interventions and of the project design through which they were implemented; and thus to make possible the replication of successful programs. OCS intends to make the awards of all the above grants on the basis of brief, concise REACH Plans. The elements and format of these plans, along with the review criteria that will be used to judge them, will be outlined in this Part. The competitive review of REACH Plans will be based on the degree to which applicants: (1) Incorporate each of the Elements and Sub-Elements below into their plans, so as to describe convincingly a project that will develop and implement new and innovative approaches to address critical energy needs or problems of the poor; (2) Include the required assurances and program activities set forth in Part III, above; and, (3) In the case of applications under Priority Area 1.0; test and evaluate such approaches and activities so as to make possible replication of a successful program. A. Program Elements, Review and Assessment Criteria for REACH Plans Under Priority Area 1.0 This Section has been divided into Two Segments: Segment One made up of Elements I, II (with three Sub-Elements), III, IV, V, and VI which should be completed for each different and distinct local REACH Project to be carried out by a CBO Recipient, and must not be more than twenty-four pages in length; and Segment Two, made up of Elements VII and VIII, which should be completed only once for the applicant's entire REACH Initiative, and must not be more than six pages in length. As explained in Part III-B. 4., Scope of REACH Plan, a State may submit a REACH Plan which proposes one local REACH Project to be implemented by one CBO Recipient; it may submit a Plan in which the same project is proposed to be implemented in several localities by separate CBO Recipients; or it may submit a plan proposing two or more different and distinct Projects, each to be implemented through a separate CBO Recipient. Where a State proposes different and distinct REACH Projects to be carried out by more than one CBO Recipient, the REACH Plan should [[Page 24461]] include, for each of these projects/CBO Recipients a separate Segment One Narrative; where a REACH Plan proposes only one distinct project, to be implemented either in one locality or in several, by either one or more than one CBO Recipient, then the Plan need include only one ``Segment One'' narrative; but this should include an Element I capability statement, not to exceed five pages in length, for each of the implementing CBO Recipients. In such cases the additional five-page Element I capability statements may be in addition to the twenty-four page limit for Segment One narratives, and the Element One review scores will be averaged as noted below. In order to simplify the application preparation and review process, OCS seeks to keep applications cogent and brief. For each of the Project Elements or Sub-Elements below there is at the end of the discussion a suggested number of pages to be devoted to the particular element or sub-element. These are suggestions only; but the applicant must remember that each Segment One Narrative cannot be more than twenty-four pages in length, and that the single Segment Two Narrative, covering Program Elements VII and VIII for the overall REACH Initiative, cannot be more than six pages in length. REACH Plans with project narratives (excluding appendices) that exceed these limits will not be reviewed for funding. Project narratives should be on letter-sized pages in 12 c.p.i. type or equivalent on a single side. Applicants should prepare and assemble their project description using the following outline of required project elements. They should, furthermore, build their project concept, plans, and project description upon the guidelines set forth for each of the project elements. In reviewing REACH Plans for funding, where Plans include more than one narrative Segment One describing a local Project/CBO Recipient, OCS reserves the right to consider each such Project/CBO Recipient on its own merits, and where review scores and other considerations merit, may choose not to fund a particular local Project/CBO Recipient. Thus Segment Two will be given a score for the overall State role in the project under Elements VII and VIII; and the Segment One for each CBO Recipient will be given a score for the Elements I through VI. This Segment One Score will, for each CBO Recipient, be added to the Segment Two score for a total score which will be the basis for its ranking among applications received covering local Project/CBO Recipients. Where less than the full complement of an applicant's local Project/CBO Recipients are funded, OCS will negotiate an appropriate budget for the applicant's overall REACH Initiative. Where, as noted above, the REACH Plan proposes only one distinct project, to be implemented by more than one CBO Recipient, then the review scores for the several Element One narratives will be averaged to arrive at the overall Element One score for the application. Segment One [Priority Area 1.0 applicants to complete for each local Project/CBO Recipient; each completed Segment One limited to twenty-four pages in length.] Element I. Organizational Experience and Capability under Priority Area 1.0 (Weight of 0 to 20 points in proposal review) Sub Element I(a). Agency's Experience and Commitment in Program Area (Weight of 0-10 points in proposal review) The application should cite the capability and relevant experience of the CBO Recipient in developing and operating programs which deal with poverty problems similar to those to be addressed by the proposed project, including the provision of service under LIHEAP, and which receive funds from the Department of Energy's Weatherization Assistance Program. The application should also cite the organization's experience in collaborative programming and operations which involve evaluations and data collection. Applications should identify CBO Recipient agency executive leadership in this section and briefly describe their involvement in the proposed project and provide assurance of their commitment to its successful implementation. The application should note and justify the priority that this project will have within the agency including the facilities and resources that it has available to carry it out. It is suggested that applicants use no more than 3 pages for this Sub-Element. Sub Element I(b). Staff Skills, Resources and Responsibilities (Weight of 0-10 points in proposal review) The application must identify the two or three individual staff persons of the CBO Recipient who will have the most responsibility for managing the project, coordinating services and activities for participants and partners, and for achieving performance targets. The focus should be on the qualifications, experience, capacity and commitment to the program of the Executive Officials of the organization and the key staff persons who will administer and implement the project. The person identified as Project Director should have supervisory experience, experience in working with energy related problems of the poor, and experience with the target population. Because this is a demonstration project within an already-established agency, OCS expects that the key staff person(s) would be identified, if not hired. Actual resumes and/or position descriptions of key staff should be included in an Appendix to the proposal. It is suggested that applicants use no more than 2 pages for this Sub-Element. Element II. Project Theory, Design, and Plan under Priority Area 1.0 (Total Weight of 0-30 points in proposal review) OCS seeks to learn from the application why and how the project as proposed is expected to lead to significant improvements in individual and family energy self-sufficiency. Applicants are urged to design and present their project in terms of a conceptual cause-effect framework. In the following paragraphs a ``logic model'' or framework is described that suggests a way to present a project so as to show the ``logic'' of the cause-effect relations between project activities and project results. Applicants are not required to use the precise ``logic model'' language described; but it is important to present the project in a way that makes clear the cause-effect relationship between what the project plans to do and the results it expects to achieve. Applicants are reminded that Part III-B, Section 4, Scope of the REACH Plan, includes a discussion of those activities which should be included in this element of their REACH Plan. Sub-Element II(a). Description of Target Population, Analysis of Need, and Project Assumptions (Weight of 0-10 points in proposal review) The ``logic model'' begins with identifying the underlying assumptions about the program. These are the beliefs on which the proposed program is built: the assumptions about the needs of the client population to be served; about the current services available to those clients, and where and how they fail to meet their needs; about why the services or interventions proposed in the REACH Plan are appropriate, and will meet those needs; and about the impact the proposed interventions will have on the clients. [[Page 24462]] In other words, the underlying assumptions of the program are the applicant's analysis of the needs and problems to be addressed by the project, and the applicant's theory of how its proposed interventions will address those needs and problems to achieve the desired result. Thus a strong application is based upon a clear description of the needs and problems to be addressed and a persuasive understanding of the causes of those problems. In this sub-element of the REACH Plan the applicant should precisely identify the target population to be served. The geographic area to be impacted should then be briefly highlighted, selectively emphasizing the socioeconomic/poverty and other data that are relevant to the project design. This sub-element to the REACH Plan might include, for instance, data on the building type, condition, and age of low-income housing; the predominant fuel used for home heating; the number and percent of utility shut-offs among low-income energy consumers; climatic conditions; unemployment statistics for the area; the price of fuels; and the demand management services offered by local utilities. The needs of this target population should then be clearly defined, and the applicant should state its underlying assumptions about how these needs can be addressed by the proposed project. Applicants must include in this element a brief description of the provision that has been and will be made for the systematic and regular solicitation by CBO Recipients of the views of eligible low-income individuals in the community on the design and implementation of the REACH Project, and the mechanism(s) that will be employed by the applicant and the CBO Recipients to assure their responsiveness to such views in the establishment of the REACH Project. (See Part III-A, Section 5.) It is suggested that applicants use no more than 4 pages for this narrative sub-element. Sub-Element II(b). Project Strategy and Design Framework: Interventions, Outcomes, and Goals (Weight of 0-10 points in proposal review) To continue with the ``logic model'': The underlying assumptions concerning client needs and the theory of how they can be effectively addressed, which are discussed above, lead in the project design to the conduct of a variety of project activities or interventions, each of which is assumed to result in immediate changes, or outcomes. The immediate changes lead to intermediate outcomes; and the intermediate outcomes lead to attainment of the final project goals. So in this sub-element the applicant should describe the major activities, or interventions, which are to be carried out to address the needs and problems identified in the previous sub-element. And it should discuss the immediate changes, or outcomes, which are expected to result. These are the results expected from each service or intervention immediately after it is provided. For example, a survey of home furnaces for safety and efficiency might be expected to result in identification of repairs and retrofits that could increase efficiency and lower costs. Or providing energy efficiency education to families in the low income community might be expected to result in better understanding and knowledge of family members that if they would dress more warmly they could be more comfortable at a lower thermostat setting; that they could realize real savings by not leaving doors or windows open, or by hanging curtains over windows, or by using hot water more conservatively, by, for example, installing low-flow shower heads, etc. At the next level are the intermediate outcomes which result from these immediate changes. Often an intermediate project outcome is the result of several immediate changes resulting from a number of related interventions such as repairs and education. Intermediate project outcomes should be expressed in measurable changes in knowledge, attitudes, behavior, or status/condition. In the above examples, the immediate changes achieved by the furnace survey program could be expected to lead to intermediate outcomes of furnace retrofits and home weatherization. The acquisition of energy conservation knowledge and skills, coupled with the availability of energy saving devices such as efficient light bulbs or low-flow shower heads, could result in the actual installation of these devices in the home. Finally, the REACH Plan should describe how the achievement of these intermediate outcomes will be expected to lead to the attainment of the project goals: e.g. energy efficient and healthy housing, energy consumption at a level which is affordable for the household, a successful community fuel cooperative that lowers fuel prices, new demand management services, or whatever they may be. Applicants don't have to use the precise ``logic model'' terminology described here, but it is important to describe the project in a way that makes clear the expected cause-and-effect relationship between what the project plans to do--the activities or interventions, the changes that are expected to result, and how those changes will lead to achievement of the project goals of greater energy self- sufficiency. It is suggested that applicants use no more than 5 pages for this design section of the REACH Plan. Sub-Element II(c), Work Plan (Weight of 0-10 points in the proposal review) Once the project strategy and design framework are established, the applicant should present the highlights of a work plan for the project. The plan should explicitly tie into the project design framework and should be feasible, i.e., capable of being accomplished with the resources, time, staff, and partners available. The plan should briefly describe the key project tasks, and show the timelines and major milestones for their implementation. Critical issues or potential problems that might affect the achievement of project objectives should be explicitly addressed, with an explanation of how they would be overcome, and how the objectives will be achieved notwithstanding any such problems. The plan should be presented in such a way that it can be correlated with the Budget Justification included in the application. (See Element IV.) Applicants may be able to use a simple Gantt or time line chart to convey the work plan in minimal space. It is suggested that the applicant use no more than 3 pages for this Sub-Element. Element III. Holistic Program Strategies, Mobilization of Resources, and Project Innovations under Priority Area 1.0 (Weight of 0 to 10 points in the proposal review) Applicants should in this Element explain how its REACH Initiative approaches the energy needs of low-income families within a holistic context of the economic, social, physical, and environmental barriers to achieving self-sufficiency. Thus REACH Initiatives are expected to be closely coordinated with other public and private sector programs involved with community revitalization, housing rehabilitation and weatherization, and family development; and OCS will give favorable consideration in the application review process to applicants who mobilize cash and/or third-party in-kind contributions for direct use in [[Page 24463]] the REACH Project. Even though there is no matching requirement for the REACH Program, grantees will be held accountable for any match, cash or in-kind contribution proposed or pledged as part of an approved application. (See Part III.B.3.) Within the context of this holistic and coordinated plan, applicant should highlight the ways in which the proposed project represents a new and innovative approach or approaches to provide for greater energy self-sufficiency of the poor and/or to deal with particularly critical energy needs or problems of the poor that are common to a number of communities. Innovation can be in the characteristics of the target population to be served, or the needs to be addressed; the kinds of activities, or interventions, that will be carried out; the ways in which they will be carried out; new and different combinations of activities or interventions that will be implemented; or in the settings in which the project will function: e.g. new and innovative types of technologies or institutions in which the project will function. It is suggested that applicants use no more than 4 pages for this element. Element IV. Project Budget Appropriateness under Priority Area 1.0 (Weight of 0-10 points in the proposal review) Applicants will be required to submit Federal forms with their REACH Plans to provide basic applicant and project information (SF 424) and information about how Federal and other project funds will be used (SF 424A). In addition to and immediately following the completed Federal budget forms, applicants must submit a Budget Justification, or explanatory budget information. This Budget Justification is not considered a part of the Project Narrative, and does not count as within the limitation on number of pages; but rather is to be included in the application following the budget forms. Each applicant under Priority Area 1.0 must also submit a signed SF 424, SF 424A and a Budget Justification covering the entire REACH project, in which the amount to be delegated to CBO Recipients should be shown as ``Contractual'' in line item x. (See Segment Two, Element VII for amounts which may be retained by the State Applicant for project administration and evaluation.) Each Application must also include one SF 424A and one Budget Justification for each local CBO Recipient. The Budget Narrative should briefly explain the adequacy of the Federal funds and other mobilized resources to accomplish project purposes, should explain the source and nature of mobilized resources, and should identify and briefly explain any imbalances between the level of activities undertaken and project funds expended. Note: None of the costs of providing service or benefits under the REACH Program shall be considered to be an administrative cost or function for purposes of any limitation on administrative costs or functions contained in Section 2605(b)(9) of the Low-Income Home Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq. Element V. Significant and Beneficial Impact of Priority Area 1.0 Projects (Weight of 0-10 points in the proposal review) OCS seeks, with the REACH Program, to support innovative approaches that will create significant benefits for low-income energy consumers, their families, and their communities. Accordingly, it intends to make grants that have a strong likelihood of creating beneficial impacts both within the project communities and, through wide dissemination of useful project results and findings, in other communities facing similar challenges. The proposed project is expected to lead to tangible achievements toward reducing household energy burdens on the poor and increasing their ability to pay for the household energy they need. As a result, the project should lead to verifiable improvements in regular energy payments and reductions in conditions such as disconnections of service, health and safety risks, and homelessness associated with high energy costs that are beyond the resources of low income families in the targeted community(ies). Applicants should summarize, in this section, the beneficial impacts that they propose to make in that community, their expectations for the continuation of those benefits beyond the project's life, and the kind of information that they expect to share with OCS and the broader social service/development community from their pilot project. Project proposals will be assessed, for this element, on the likely value of the project to the target community over time--given the proposed outcomes and the likelihood that they will be realized--and to the larger community of LIHEAP and CSBG grantees across the nation. It is suggested that applicants use no more than 2 pages for this element. The score for this element will be based to some extent on the coherence and feasibility of the entire REACH Plan. Element VI. Community Empowerment Consideration Under Priority Area 1.0 (Weight of 0-5 points in proposal review) Special consideration will be given to applicants whose proposed REACH Projects will be focused on populations which are characterized by severe poverty and other indicators of socio-economic distress such as a poverty rate of at least 20%; an area or areas designated as an Empowerment Zone or Enterprise Community; or having high levels of unemployment, and a high incidence of violence, gang activity, crime, or drug use. If such is the case, applicants should document that they or their proposed CBO Recipients were involved in the preparation and planned implementation of a comprehensive community-based strategic plan to achieve both economic and human development in an integrated manner and how the proposed project supports the goal(s) of that plan. (See Part III-B, Section 3 and Section 4(C)) It is suggested that applicants use no more than 2 pages for this element. Segment two [Priority Area 1.0 applicants to complete once for overall REACH Plan; Segment Two limited to six pages in length.] Element VII. Management and Organization of Priority Area 1.0 Projects (Weight of 0 to 5 points in the proposal review) Applicants should identify the State Project Coordinator and any other staff they feel are especially important to the success of the project, and include resumes as an Appendix to the REACH Plan. Where the staff have not been identified, a position description should be included in the Appendix. The REACH Plan should describe the staff's relevant capabilities for overseeing this multi-faceted project, with emphasis placed on successful management experience in directing both on-budget and leveraged resources to create community conditions capable of supporting effective interventions and transforming lives. REACH Plans will be assessed, for this element, on the relevant experience, capabilities, commitment and planned level of effort of the Project Coordinator and key staff members as described in the Plan. Applicants should also, in this section, describe (and diagram if necessary) the organization of the project. The relationships among the State and the participating CBO Recipients, the Project Coordinator and the key officials in those organizations, [[Page 24464]] and any other partnering organizations should be depicted, and the project-related responsibilities of these key actors should be made clear. Applicants should in this Element explain that in the designation of CBO Recipients priority has been given, as required by the authorizing legislation, to eligible entities described in Section 673 of the Community Services Block Grant Act, as amended, which have a record of successfully providing service under LIHEAP and which receive funds from the Department of Energy's Weatherization Assistance Program. (See Part III-A, Section I, Eligible Applicants for Priority Area 1.0) Applicants under Priority Area 1.0 may include in the REACH Initiative budget an amount up to ten percent (10%) of the total REACH grant for planning, administration, and coordinating costs at the State level during the first project year of the REACH Initiative, and for contracting with a third-party evaluator as defined under Element VI, below, and discussed in Part III-A.6. Applicants should include funds in the project budget for travel by State and CBO Recipient Project Directors and Chief Evaluators to attend three national workshops in Washington, D.C. over the three year project period, and are encouraged to seek agreement from CBO Recipients to attend also. (See Part IX-B, Attendance at Workshops.) It is suggested that applicants use no more than 2 pages for this element (not counting the resumes and/or position descriptions, which should be in an Appendix). Element VIII. Project Evaluation Under Priority Area 1.0 (Weight of 0-10 points in the proposal review) Sound evaluations are essential to the REACH Program. Applicants are required to include in their applications a well thought through outline of an evaluation plan for their project. The outline should explain how the applicant proposes to answer the key questions about how effectively the project is being/was implemented (the Process Evaluation) and whether and why/why not the project activities, or interventions, achieved the expected outcomes and goals of the project (the Outcome Evaluation). (See Part I, Section B for definitions of process and outcome evaluation, and Part III-B.6. for a discussion of evaluation requirements.) Applicants are not being asked to submit a complete and final Evaluation Plan as part of their REACH Plan; but they must include: (1) A well thought through outline of an evaluation plan which identifies the principal cause-and-effect relationships to be tested, and which demonstrates the applicant's understanding of the role and purpose of both Process and Outcome Evaluations (see previous paragraph); (2) The identity and qualifications of the proposed third party evaluator, or if not selected, the qualifications which will be sought in choosing an evaluator, which must include successful experience in evaluating social service delivery programs, and the planning and/or evaluation of programs designed to foster energy self-sufficiency in low income populations; and (3) A commitment to the selection of a third-party evaluator approved by OCS, and to completion of a final evaluation design and plan, in collaboration with the approved evaluator and the OCS Evaluation Technical Assistance Contractor during the first six-months of the project, if funded. Applicants should ensure, above all, that the evaluation outline presented is consistent with their project design. A clear project framework of the type recommended earlier identifies the key project assumptions about the target populations and their needs, and the hypotheses, or expected cause-effect relationships to be tested in the project: that the proposed project activities, or interventions, will address those needs in ways that will lead to the achievement of the project goals of energy self-sufficiency. It also identifies in advance the most important process and outcome measures that will be used to identify performance success and expected changes in individual participants, the grantee organization, the CBO Recipient(s), and the community. For these reasons, the evaluator that the applicant expects to work with should be involved--at least briefly but substantively--in the development of the project design and proposal. It is suggested that applicants use no more than 4 pages for this element. The Resume or Position Description for the evaluator should be in an Appendix. B. Special Program Elements, Review and Assessment Criteria for Reach Plans Under Priority Area 2.0 In order to simplify the application preparation and review process, OCS seeks to keep grant applications cogent and brief. For each of the Project Elements or Sub-Elements below there is at the end of the discussion a suggested number of pages to be devoted to the particular element or sub-element. These are suggestions only; but the applicant must remember that Project Narratives must not be more than twenty (20) pages in length. REACH Plans with project narratives (excluding appendices) that exceed these limits will not be reviewed for funding. Project narratives should be on letter-sized pages in 12 c.p.i. type or equivalent on a single side. Applicants should prepare and assemble their project description using the following outline of required REACH Plan elements. They should, furthermore, build their project concept, plans, and project description upon the guidelines set forth for each of the elements. Element I. Organizational Experience and Capability under Priority Area 2.0 (Weight of 0 to 10 points in proposal review) Applicants should cite their capability and relevant experience in developing and operating programs which deal with energy and poverty problems similar to those to be addressed by the proposed project. While the proposed project management team will be identified and described below in Element III, applicants should identify organization executive leadership in this section and briefly describe their involvement in the proposed project and provide assurance of their commitment to its successful implementation. It is suggested that applicants use no more than 2 pages for this element. Element II. Project Theory, Design, and Plan under Priority Area 2.0 (Total Weight of 0 to 50 points in proposal review) OCS seeks to learn from the application why and how the project as proposed is expected to lead to significant improvements in individual and family energy self-sufficiency. Applicants are urged to design and present their project in terms of a conceptual cause-effect framework. In the following paragraphs a ``logic model'', or framework, is described that suggests a way to present a project so as to show the ``logic'' of the cause-effect relations between project activities and project results. Applicants don't have to use the exact ``logic model'' language described; but it is important to present the project in a way that makes clear the cause-effect relationship between what the project plans to do and the results it expects to achieve. Applicants under Priority Area 2.0 are not required to carry out REACH activities through community-based organizations (CBO Recipients), but may [[Page 24465]] implement REACH Plans directly themselves. However, as explained in Part II B, Budget Periods, above, applicants electing to implement their REACH Projects directly will be limited to projects of up to 17 months duration (Project and Budget Periods of up to 17 months). Applicants under Priority Area 2.0 may also elect to operate their projects through grants or contracts to nonprofit organizations. In such cases the nonprofit organization does not have to be a community based organization (CBO) as defined in Part I. If they choose to operate their projects through nonprofit organizations, the Project and Budget Periods applicable to Priority Area 1.0 will apply. Note also that applicants under Priority 2.0 need only include two of the REACH Program activities listed in Part III B. Section 4.(C) under ``Scope of the Priority Area 2.0 REACH Plan''. Sub-Element II(a). Description of Target Population, Analysis of Need, and Project Assumptions (Weight of 0 to 20 points in proposal review) [This sub-element should be the same as under Priority Area 1.0 and it is suggested that it take no more than 4 pages of the Project Narrative.] Sub-Element II(b). Project Strategy and Design Framework: Interventions, Outcomes, and Goals (Weight of 0 to 20 points in proposal review) [This sub-element should be the same as under Priority Area 1.0 and it is suggested that it take no more than 4 pages of the Project Narrative.] Sub-Element II(c), Work Plan (Weight of 0 to 10 points in the proposal review) [This sub-element should be the same as under Priority Area 1.0 and it is suggested that it take no more than 2 pages of the Project Narrative.] Element III. Management and Organization of Priority Area 2.0 Projects (Weight of 0 to 10 points in the proposal review) While the experience of agency leadership is important to project success, the caliber of day-to-day project management is critical. Applicants should identify key staff, including the Project Director, who will be implementing the project, and any other staff they feel are especially important to the success of the project. Resumes should be included as an Appendix to the REACH Plan. Where the staff have not been identified, a position description should be included in the Appendix. REACH Plans will be assessed, for this element, on the relevant experience, capabilities, commitment and planned level of effort to the project of the Project Director and key staff members as described in the Plan. It is suggested that applicants use no more than 2 pages for this element (plus the resumes and/or position descriptions which should be in an Appendix). Element IV. Project Budget Appropriateness under Priority Area 2.0 (Weight of 0-10 points in the proposal review) Applicants will be required to submit Federal forms with their REACH Plans to provide basic applicant and project information (SF-424) and information about how Federal and other project funds will be used (SF-424A). Where Priority Area 2.0 applicants elect to have REACH services provided through a nonprofit organization sub-recipient, an SF-424A must be completed for the applicant, and another SF-424A must be completed for the nonprofit organization sub-recipient. The sub- recipient SF-424A should include budget information for all three years of the project period, divided into three separate budget periods as explained in Part VII and the instructions accompanying the forms. In addition to and immediately following the completed Federal budget forms, applicants must submit a Budget Justification, or explanatory budget information for the first 12-month budget period. Again, where a Priority Area 2.0 applicant elects to implement the REACH project services through a nonprofit sub-recipient, a Budget Justification should be included for the sub-recipient, covering the full three year project budget. The Budget Justification is not considered a part of the Project Narrative, and does not count as part of the twenty page limit; but rather is included in the application following the budget forms. The Budget Justification should briefly explain the adequacy of the Federal funds and other mobilized resources to accomplish project purposes, and should explain the source and nature of any mobilized resources. Applicants should include funds in the project budget for travel by the Project Director to attend an orientation workshop in Washington, D.C. Note: None of the costs of providing service or benefits under the REACH Program shall be considered to be an administrative cost or function for purposes of any limitation on administrative costs or functions contained in Section 2605(b)(9) of the Low-Income Home Energy Assistance Act of 1981, as amended, 42 U.S.C. 8621 et seq. Element V. Significant and Beneficial Impact of Priority Area 2.0 Projects (Weight of 0-10 points in the proposal review) [This element should be the same as under Priority Area 1.0 and it is suggested that it take no more than 3 pages of the Application Narrative.] Element VI. Project Evaluation under Priority Area 2.0 (Weight of 0-10 points in the proposal review) As noted in Part III above, REACH grantees under Priority Area 2.0 will not be required to carry out a third-party evaluation of their projects. However, their REACH Plans must describe the indicators they will use to measure whether the performance goals of their project have been achieved. It is suggested that applicant use no more than 1 page for this Element. Part V--Quality Standards for Energy Efficiency Education Services Plans The REACH authorizing legislation includes a section which describes a separate Energy Efficiency Education Services program which applicants may include in their REACH Initiative. Those applicants which include this program in their REACH Initiative must submit separate Energy Efficiency Education Services Plans; and if they meet the quality standards set forth below and have the potential for being replicable model designs for other programs, are eligible for supplemental payments as outlined in Part II C. This Part sets out the Quality Standards for Energy Efficiency Education Services Plans. Section 2607B(b)(2) of the REACH authorizing legislation provides for a reservation of funds by the Secretary to make additional payments to qualifying REACH applicants that have energy efficiency education services plans that meet quality standards established in consultation with the Secretary of Energy, and have the potential for being replicable model designs for other programs. This Part sets forth those standards. As explained in Part II above, those REACH applicants under Priority Area 1.0 that are selected to receive REACH grants will receive an additional amount of $100,000, and REACH applicants under Priority Area 2.0 will receive an additional $25,000, for the same project and budget periods, if they have submitted, as an appendix to their REACH Plans, an Energy Efficiency [[Page 24466]] Education (EEE) Services Plan that has the potential for being a replicable model design for other programs and meets the following quality standards: A. Purpose The Plan should state the purpose of the proposed EEE services, which should be generally consistent with and include the following goals: to assist low-income households, especially those with high energy burdens, to use energy efficiently, to reduce their home energy costs, to minimize health and safety risks within their homes, to increase their indoor comfort level, and to maintain their highest possible level of energy self-sufficiency. B. Target Population The Plan should identify a target population for the EEE services which includes LIHEAP recipients and at least some who have received services from the Weatherization Assistance Program, and others consistent with the stated purpose and goals of the program. The Plan should include assurances that the defined target population is one from whom data on energy usage and costs before and after receipt of the EEE services will be available, and should indicate how such data will be collected. C. Needs Assessment and Project Design Process The Plan should describe the needs assessment that the applicant has undertaken or will undertake among the target population, how the design of the EEE Services Program will respond to the needs identified (see Paragraph D, below), and how the EEE Program priorities have been or will be determined by the needs discovered. D. Service Delivery (1) Setting: the Plan should indicate the setting or settings--in- office instruction (e.g. at time of initial intake), workshops, or home visits--in which the EEE services will be delivered, and project the number of service units planned for each. (2) Services: the Plan should identify the types of services to be delivered and how--whether by lecture, audio-visual media, written materials, hands on experience, or other educational technique--and if appropriate, which services are planned to be used in which of the identified settings. E. Relation of Services to Changes, of Changes to Outcomes, and of Outcomes to Goals (a ``Logic Model'') The Plan should briefly set forth each EEE service planned (e.g. a demonstration and discussion on air infiltration), the immediate changes expected to result from delivery of the service (e.g. a better understanding of the importance of stopping infiltration), the intermediate outcomes expected to result from the changes (e.g. action by the client to stop infiltration in their dwelling), and how these changes and outcomes will be expected to achieve a program goal (e.g. reduced energy consumption). This exact terminology need not be used in the Plan; but the cause and effect relationship between the EEE services planned and the achievement of program goals should be briefly explained. This part of the Plan should include provision for the development with EEE service recipients of an Action Plan through which the recipient will make a commitment to take actions based on the EEE information received; and it should also include a provision for reinforcement of the commitment through follow-up activities by the grantee or other ``interventions''. F. Evaluation The EEE Services Plan submitted by applicants under Priority Area 1.0 should provide for the inclusion of an Evaluation of the Energy Efficiency Education Services Program as a part of the Evaluation Plan Outline for the overall REACH Initiative. It should provide for Process and Outcome Evaluations, and should describe what data will be collected and how it will relate to the achievement of EEE program goals. The EEE portion of the evaluation plan outline should make specific provision for consumer evaluation of the EEE service program interventions; and should conclude with a commitment from the grantee to revise and improve its EEE program in response to the overall evaluation where appropriate. For applicants under Priority Area 2.0, the EEE Services Plan should provide assurances that the applicant will: (1) provide for consumer evaluation of the EEE Services program, and (2) revise and improve its EEE program in response to such evaluation, where appropriate. The EEE Services Plan, if included, should be an Appendix to the Applicant's REACH Plan, and should not exceed ten (10) pages in length. Part VI. Application Procedures A. Availability of Forms Attachments B through J contain all of the standard forms necessary for the application for awards under this OCS program. These attachments and Parts VI and VII of this Notice contain all the instructions required for submittal of applications. Additional copies of this Notice may be obtained by writing or telephoning the office listed under the section entitled FOR FURTHER INFORMATION CONTACT at the beginning of this announcement. In addition, this Notice is accessible on the OCS Electronic Bulletin Board for downloading through your computer modem by calling 1-800-627-8886. For assistance in accessing the Bulletin Board, a Guide to Accessing and Downloading is available from Ms. Minnie Landry at (202) 401-5309. B. Application Submission Number of Copies Required. One signed original REACH Plan and four copies should be submitted. Applicants have the option to omit from copies to be made available to non-Federal reviewers the specific salary rates or amounts for individuals identified in the application budget. Rather, only summary information is required in these copies. Deadline: Mailed applications shall be considered as meeting an announced deadline if they are received on or before the deadline time and date at the U.S. Department of Health and Human Services, Administration for Children and Families, Office of Community Services, Division of Community Demonstration Programs, 370 L Enfant Promenade, S.W., Washington, D.C. 20447; Attention: Application for REACH Program. Applicants are responsible for mailing applications well in advance, when using all mail services, to ensure that the applications are received on or before the deadline time and date. Applications hand carried by applicants, applicant couriers, or by overnight/express mail couriers shall be considered as meeting an announced deadline if they are received on or before the deadline date, between the hours of 8:00 a.m. and 4:30 p.m., at DHHS, Administration for Children and Families, Office of Community Services, Division of Community Demonstration Programs, Mail Room, 2nd Floor Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between Monday and Friday (excluding Federal holidays). (Applicants are cautioned that express/overnight mail services do not always deliver as agreed.) ACF cannot accommodate transmission of applications by fax or through other electronic media. Therefore, applications transmitted to ACF electronically will not be accepted [[Page 24467]] 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 will notify each late applicant that its application will not be considered in the current competition. Extension of deadline: ACF may extend the deadline for all applicants because of acts of God such as floods, hurricanes, etc., or when there is widespread disruption of the mails. However, if ACF does not extend the deadline for all applicants, it may not waive or extend the deadline for any applicants. C. Paperwork Reduction Act of 1995 Under the Paperwork Reduction Act of 1995, Pub. L. 104-13, as amended, the Department is required to submit to OMB for review and approval any reporting and record keeping requirements in regulations, including program announcements. This program announcement does not contain information collection requirements beyond those approved for ACF grant applications under OMB Control Number 0970-0139. D. Application Consideration Applications which meet the screening requirements in Section E below will be reviewed competitively. Such applications will be referred to reviewers for a numerical score and explanatory comments based solely on responsiveness to the Legislative Authority, the Requirements outlined in Part III, and the Application Elements and Review Criteria set forth in Part IV of this Announcement. The results of these reviews will assist the Director and OCS program staff in considering competing applications. Reviewers' scores will weigh heavily in funding decisions but will not be the only factors considered. Applications will be considered in rank order of the averaged scores. However, highly ranked applications are not guaranteed funding since other factors are taken into consideration, including, but not limited to: the timely and proper completion by applicant of projects funded with OCS funds granted in the last (5) years; comments of reviewers and government officials; staff evaluation and input; the proposed project's consistency and harmony with agency goals and policy; geographic distribution; previous program performance of applicants; compliance with grant terms under previous DHHS grants; audit reports; investigative reports; and applicant's progress in resolving any final audit disallowances on OCS or other Federal agency grants. OCS reserves the right to discuss applications with other Federal or non-Federal funding sources to determine the applicant's performance record. E. Criteria For Screening Applications All applications that meet the published deadline for submission will be screened to determine completeness and conformity to the requirements of this announcement. Only those applications meeting the following requirements will be reviewed and evaluated competitively: 1. Eligibility. The applicant must be an ``eligible applicant'' as defined in Part III-A, Section 1. or Part III-B, Section 1. Applicants must also be aware that the applicant's legal name as required on the SF-424 (Item 5) must match that listed as corresponding to the Employer Identification Number (Item 6). 2. The application must contain a Standard Form 424 ``Application for Federal Assistance'' (SF-424), signed by an official of the organization applying for the grant who has authority to obligate the organization legally; one budget form (SF-424A) covering the entire REACH Project, and one SF-424A for each CBO Recipient (or nonprofit sub-recipient in the case of Priority Area 2.0 applicants electing to delegate their REACH Projects) and signed ``Assurances'' (SF-424B) completed according to instructions published in Part VII and Attachment D to this Announcement. 3. A project narrative must also accompany the standard forms, and, for Priority Area 1.0, must be limited to no more than twenty-four (24) pages for Narrative Segment One and six (6) pages for Narrative Segment Two; and for Priority Area 2.0, must be limited to no more than twenty (20) pages. Narratives must be typewritten on one side of the paper only, in type no smaller than 12 c.p.i., 11 point, or equivalent, with margins no less than one inch. Charts, exhibits, letters of support, cooperative agreements, resumes and position descriptions are not counted against this page limit and should be included in the appendices to the proposal. It is strongly recommended that applicants follow the format and content for the narrative set out in Parts IV and VIII. Part VII--Instructions for Completing Application Forms The standard forms attached to this announcement shall be used to apply for funds under this program announcement. It is suggested that you reproduce single-sided copies of the SF- 424 and SF-424A, and type your application on the copies. Please prepare your application in accordance with instructions provided on the forms (Attachments B and C) as modified by the OCS specific instructions set forth below: Provide line item detail and detailed calculations for each budget object class identified on the Budget Information form. Detailed calculations must include estimation methods, quantities, unit costs, and other similar quantitative detail sufficient for the calculation to be duplicated. The detailed budget must also include a breakout by the funding sources identified in Block 15 of the SF-424. Provide a narrative budget justification which describes how the categorical costs are derived. Discuss the necessary, reasonableness, and allocability of the proposed costs. A. SF-424--Application for Federal Assistance (One SF-424 to be completed by applicant) Top of Page Where the applicant is a previous Department of Health and Human Services grantee, enter the Central Registry System Employee Identification Number (CRS/EIN) and the Payment Identifying Number, if one has been assigned, in the Block entitled Federal Identifier located at the top right hand corner of the form (third line from the top). Item 1. For the purposes of this announcement, all projects are considered Applications; there are no Pre-Applications. Item 7. Enter ``A'' in the box for State. If applicant is an Indian Tribe enter ``K'' in the box for Indian Tribe. Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS. Item 10. The Catalog of Federal Domestic Assistance number for OCS programs covered under this announcement is 93.568. The title is ``LIHEAP/REACH''. Item 11. Enter a brief descriptive title of the project. Item 13. Proposed Project--The project start date must begin on or before September 30, 1997; the ending date should be calculated on the basis of a 17-month or 36-month Project Period, whichever is applicable. Item 15a. This amount should be no greater than $1,500,000. for applications under Priority Area 1.0; no greater than $150,000 for applications under Priority Area 2.0. [[Page 24468]] Item 15b-e. These items should reflect both cash and third-party, in-kind contributions for the Project Period. B. SF-424A--Budget Information--Non-Construction Programs (One SF-424A completed for applicant, covering entire REACH Project, and one SF-424A to be completed for each CBO Recipient (or nonprofit sub-recipient in the case of Priority Area 2.0 applicants electing to delegate their REACH Projects).) In completing these sections, the Federal Funds budget entries will relate to the requested OCS funds only, and Non-Federal will include mobilized funds from all other sources--applicant, state, local, and other. Federal funds other than requested OCS funding should be included in Non-Federal entries. Sections A, B, and C of SF-424A should reflect budget estimates for each year of the Project Period. Section A--Budget Summary You need only fill in lines 1 and 5 (with the same amounts). Col. (a): Enter ``LIHEAP/REACH. Col. (b): Catalog of Federal Domestic Assistance number is 93.568. Col. (c) and (d): not relevant to this program. Column (e)--(g): enter the appropriate amounts (column e should not be more than $1,500,000 for applications under Priority Area 1.0; or more than $150,000 for applications under Priority Area 2.0. Section B--Budget Categories (1) For applicants, a single SF-424A covering entire REACH Project: complete a one-year budget in accordance with the instructions provided, entering the amount of grant or contract to CBO Recipient(s) or nonprofit sub-recipient under the Object Class Category ``Contractual''. (2) For CBO Recipients (or, in the case of Priority Area 2.0 applicants nonprofit sub-recipients, as appropriate), an SF-424A to be completed for each, covering the full three year project: (Note that the following information supersedes the instructions provided with the Form in Attachment C). Columns (1)--(5): For each of the relevant Object Class Categories: Column 1: Enter the OCS grant funds for the first year. Column 2: Enter the OCS grant funds for the second year. Column 3: Enter the OCS grant funds for the third year. Column 4: Leave blank. Column 5: Enter the total federal OCS grant funds for the three year budget by Class Categories, showing a total budget of not more than $1,500,000. Note: With regard to Class Categories, only out-of-town travel should be entered under Category c. Travel. Local travel costs should be entered under Category h. Other. Costs of supplies should be included under Category e. ``Supplies'' is tangible personal property other than ``equipment''. ``Equipment'' means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of (a) The capitalization level established by the organization for financial statement purposes, or (b) $5,000. Section C--Non Federal Resources should be completed in accordance with the instructions provided, remembering that ``all non-OCS funds'' fall in this category. Sections D, E, and F may be left blank. As previously noted in Part IV, a supporting Budget Justification must be submitted providing details of expenditures under each budget category, and justification of dollar amounts which relate the proposed expenditures to the work program and goals of the project. C. SF-424B Assurances--Non-Construction (One SF-424B to be submitted by applicant) Applicants requesting financial assistance for a non-construction project must file the Standard Form 424B, ``Assurances: Non- Construction Programs.'' Applicants must sign and return the Standard Form 424B with their applications. Applicants must provide a certification concerning Lobbying. Prior to receiving an award in excess of $100,000, applicants shall furnish an executed copy of the lobbying certification. Applicants must sign and return the certification with their applications. Applicants should note that the Lobbying Disclosure Act of 1995 has simplified the lobbying information required to be disclosed under 31 USC 1352. Applicants must make the appropriate certification on their compliance with the Drug-Free Workplace Act of 1988 and the Pro- Children Act of 1994 (Certification Regarding Smoke Free Environment). By signing and submitting the applications, applicants are providing the certification and need not mail back the certification with the applications. Applicants must make the appropriate certification that they are not presently debarred, suspended or otherwise ineligible for award. By signing and submitting the applications, applicants are providing the certification and need not mail back the certification with the applications. Copies of the certifications and assurances are located at the end of this announcement. Applicants must make the appropriate certification on their compliance with the regulation regarding Environmental Tobacco Smoke. Signature on the application attests to the applicants intent to comply with the requirements of the Pro-Children Act of 1994 (no signature required on form). Part VIII--Contents of Reach Plan and Receipt Process Application pages should be numbered sequentially throughout the application package, beginning with an Abstract of the Plan as page number one, and each REACH Plan must include all of the following, in the order listed below: A. Content and Order of REACH Plan 1. Table of Contents; 2. An Abstract of the plan--very brief, not to exceed 250 words, that would be suitable for use in an announcement that the application has been selected for a grant award; which identifies the type of project(s), the target population, the CBO Recipient(s) (in the case of Priority Area 1.0 applicants), and the nonprofit organization sub- recipient (in the case of Priority Area 2.0 applicants electing to delegate their REACH Project), and the major elements of the work plan(s). 3. A completed Standard Form 424 which has been signed by an official of the organization applying for the grant who has authority to obligate the organization legally; [Note: The original SF-424 must bear the original signature of the authorizing representative of the applicant organization]; 4. A single Budget Information--Non-Construction Programs (SF-424A) for the applicant, covering the entire REACH Project; and separate SF- 424A forms for each CBO Recipient or nonprofit sub-recipient as appropriate; 5. A narrative budget justification for each object class category included under Section B, for each SF-424A; 6. Filled out, signed and dated Assurances--Non-Construction Programs (SF-424B), Attachment D; 7. Signed and dated Statement of Assurances and Demonstration (See Attachment M); 8. Restrictions on Lobbying--Certification for Contracts, Grants, Loans, and Cooperative Agreements: fill out, sign and date form found at Attachment G; 9. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and date form found at Attachment H, if appropriate (omit Items 11-15 on the SF LLL and [[Page 24469]] ignore references to continuation sheet SF-LLL-A) 10. A project narrative, limited to the number of pages specified below, which includes all of the required elements described in Part IV; [Specific information/data required under each component is described in Part IV Application Elements and Review Criteria.] For Plans submitted under Priority Area 1.0, the total number of pages for Segment One of the Project Narrative(s) dealing with Element I (Project Theory, Design, and Plan) through Element VI, must not exceed 24 pages for each such narrative submitted for a specific local project; and Segment Two of the narrative dealing with Elements VII and VIII must not exceed 6 pages, excluding Appendices. The Project Narratives for Plans submitted under Priority Area 2.0 must not exceed 20 pages in length. Plans for supplemental EEE Services should not exceed 10 pages in length. (See Part V) Plans must be typewritten on one side of the paper only, in type no smaller than 12 c.p.i., 11 point, or equivalent, with margins no less than one inch. Pages should be numbered sequentially throughout the application package, excluding Appendices, beginning with the Abstract as Page #1. 11. Appendices, including Maintenance of Effort Certification (See Attachment J); signed Letter(s) of Agreement from designated CBO Recipients (or nonprofit sub-recipients, as appropriate) through which project will be implemented; resumes and/or position descriptions (see Program Element IV); Certification Regarding Lobbying, if appropriate; and any letters from cooperating or partnering agencies in target communities. Such letters are not part of the Narrative and should be included in the Appendices. These letters are therefore not counted against the page limitations of the Narrative. REACH Plans must be uniform in composition since OCS may find it necessary to duplicate them for review purposes. Therefore, applications must be submitted on white 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. The applications should be two-hole punched at the top center and fastened separately with a compressor slide paper fastener, or a binder clip. The submission of bound plans, or plans enclosed in binders is specifically discouraged. B. Acknowledgement of Receipt Acknowledgment of Receipt--All applicants will receive an acknowledgement with an assigned identification number. Applicants are requested to supply a self-addressed mailing label with their State Plan which can be attached to this acknowledgement. The assigned identification number, along with any other identifying codes, must be referenced in all subsequent communications concerning the State Plan. If an acknowledgement is not received within three weeks after the deadline date, please notify ACF by telephone at (202) 401-9365. Part IX--Post-Award Information and Reporting Requirements A. Notification of Grant Award Following approval of the REACH Plans selected for funding, notice of project approval and authority to draw down project funds will be made in writing. The official award document is the Financial Assistance Award which provides the amount of Federal funds approved for use in the project, the project and budget periods for which support is provided, the terms and conditions of the award, the total project period for which support is contemplated, and the total required grantee financial participation, if any. B. Attendance at Workshops Subject to the availability of resources, OCS is planning to sponsor a REACH Conference/Workshop during each of the three years following award of the REACH grants. REACH Project coordinators, Project Directors at the local CBO Recipient(s), and chief evaluators (in the case of REACH Initiatives funded under Priority Area 1.0) and Project Directors (in the case of REACH Initiatives funded under Priority Area 2.0) are encouraged to attend these conference/workshops held during the course of their Project Periods. These conference/ workshops will include a national REACH Orientation workshop in Washington, D.C. scheduled during the first six months of the Project Period; and a workshop on evaluation, replication, and dissemination to be held in the last year of the project period. Project budgets should include funds for travel to and attendance at these conference/ workshops. If for any reason these conference/workshops are not held, grantees will be free to reprogram such funds. (See Part IV, Element V, Budget Appropriateness) C. Reporting Requirements Grantees will be required to submit semi-annual program progress and financial reports (SF 269) throughout the project period, as well as a final program and financial report within 90 days of the termination of the project. For REACH Projects under Priority Area 1.0 an interim evaluation report, along with the written policies and procedures resulting from the process evaluation, will be due 30 days after the first eighteen months of the project period and a final evaluation report will be due 90 days after the expiration of the grant. These reports will be submitted in accordance with instructions to be provided by OCS, and will be the basis for the dissemination effort to be conducted by the Office of Community Services. D. Audit Requirements Grantees are subject to the audit requirements in Section 2605B(10) of the Low Income Home Energy Assistance Act of 1981, as amended, 42 USC 8621 et seq. E. Prohibitions and Requirements with regard to Lobbying Section 1352 of Pub. L. 101-121, signed into law on October 23, 1989, imposes prohibitions and requirements for disclosure and certification related to lobbying on recipients of Federal contracts, grants, cooperative agreements, and loans. It provides exemptions for Indian tribes and tribal organizations. Current and prospective recipients (and their subtier contractors and/or grantees) are prohibited from using Federal funds, other than profits from a Federal contract, for lobbying Congress or any Federal agency in connection with the award of a contract, grant, cooperative agreement or loan. In addition, for each award action in excess of $100,000 (or $150,000 for loans) the law requires recipients and their subtier contractors and/or subgrantees (1) to certify that they have neither used nor will use any appropriated funds for payment to lobbyists; (2) to disclose the name, address, payment details, and purpose of any agreements with lobbyists whom recipients or their subtier contractors or subgrantees will pay with profits or nonappropriated funds on or after December 22, 1989 and (3) to file quarterly up-dates about the use of lobbyists if material changes occur in their use. The law establishes civil penalties for noncompliance. See Attachments G and H for certification and disclosure forms to be submitted with the applications for this program. [[Page 24470]] F. Applicable Federal Regulations Attachment L indicates the regulations which apply to all applicants/grantees under the REACH Program. Dated: April 22, 1997. Donald Sykes, Director, Office of Community Services. BILLING CODE 4184-01-P Attachment A ------------------------------------------------------------------------ Poverty Size of family unit guidelines ------------------------------------------------------------------------ 1997 Poverty Income Guidelines for the 48 Contiguous States and the District of Columbia ------------------------------------------------------------------------ 1....................................................... $ 7,890 2....................................................... 10,610 3....................................................... 13,330 4....................................................... 16,050 5....................................................... 18,770 6....................................................... 21,490 7....................................................... 24,210 8....................................................... 26,930 For family units with more than 8 members, add $2,270 for each additional member. (The same increment applies to smaller family sizes also, as can be seen in the figures above.) ------------------------------------------------------------------------ 1997 Poverty Income Guidelines for Alaska ------------------------------------------------------------------------ 1....................................................... 9,870 2....................................................... 13,270 3....................................................... 16,670 4....................................................... 20,070 5....................................................... 23,470 6....................................................... 26,870 7....................................................... 30,270 8....................................................... 33,670 For Family units with more than 8 members, add $3,400 for each additional member. (The same increment applies to smaller family sizes also, as can be seen in the figures above.) ------------------------------------------------------------------------ 1997 Poverty Income Guidelines for Hawaii ------------------------------------------------------------------------ 1....................................................... 9,070 2....................................................... 12,200 3....................................................... 15,330 4....................................................... 18,460 5....................................................... 21,590 6....................................................... 24,720 7....................................................... 27,850 8....................................................... 30,980 For family units with more than 8 members, add $3,130 for each additional member. (The same increment applies to smaller family sizes also, as can be seen in the figures above.) ------------------------------------------------------------------------ BILLING CODE 4184-01-M [[Page 24471]] [GRAPHIC] [TIFF OMITTED] TN05MY97.000 BILLING CODE 4184-01-C [[Page 24472]] Instructions for the SF 424 Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348-0043), Washington, DC 20503. Please do not return your completed form to the Office of Management and Budget, send it to the address provided by the sponsoring agency. This is a standard form used by applicants as a required facesheet for preapplications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission. Item and Entry 1. Self-explanatory. 2. Date application submitted to Federal agency (or State, if applicable) & applicant's control number (if applicable). 3. State use only (if applicable). 4. If this application is to continue or revise an existing award, enter present Federal identifier number. If for a new project, leave blank. 5. Legal name of applicant, name of primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and telephone number of the person to contact on matters related to this application. 6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service. 7. Enter the appropriate letter in the space provided. 8. Check appropriate box and enter appropriate letter(s) in the space(s) provided: --``New'' means a new assistance award. --``Continuation'' means an extension for an additional funding/ budget period for a project with a projected completion date. --``Revision'' means any change in the Federal Government's financial obligation or contingent liability from an existing obligation. 9. Name of Federal agency from which assistance is being requested with this application. 10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested. 11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project. 12. List only the largest political entities affected (e.g., State, counties, cities.) 13. Self-explanatory. 14. List the applicant's Congressional District and any District(s) affected by the program or project. 15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item 15. 16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. 17. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit allowances, loans and taxes. 18. To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.) BILLING CODE 4184-01-M [[Page 24473]] [GRAPHIC] [TIFF OMITTED] TN05MY97.001 [[Page 24474]] [GRAPHIC] [TIFF OMITTED] TN05MY97.002 BILLING CODE 4184-01-C [[Page 24475]] INSTRUCTIONS FOR THE SF 424A Public reporting burden for this collection of information is estimated to average 180 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503. Please do not return your completed form to the Office of Management and Budget; send it to the address provided by the sponsoring agency. 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 ( [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A97-11515. Public record. Not legal advice.