Request for Applications Under the Office of Community Services' Fiscal Year 1997 Training, Technical Assistance, and Capacity-Building Program

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS 97-09]

Request for Applications Under the Office of Community Services'

Fiscal Year 1997 Training, Technical Assistance, and Capacity-Building

Program

AGENCY: Office of Community Services, ACF, DHHS.

ACTION: Request for Applications Under the Office of Community

Services' Training, Technical Assistance and Capacity-Building Program.

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

SUMMARY: The Office of Community Services (OCS) announces that

competing applications will be accepted for new grants pursuant to the

Secretary's authority under section 674(a) of the Community Services

Block Grant Act of 1981, as amended, the Human Services Amendments of

1994, (Pub. L. 103-252). This Program Announcement consists of seven

parts. Part A covers information on the legislative authority and

defines terms used in the Program Announcement. Part B describes the

purposes and Priority Areas that will be considered for funding, and

describes which organizations are eligible to apply in each Priority

Area. Part C provides details on application prerequisites, anticipated

amounts of funds available in each Priority Area, tentative numbers of

grants to be awarded, etc. Part D provides information on application

procedures including the availability of forms, where to submit an

application, criteria for initial screening of applications, and

project evaluation criteria. Part E provides guidance on the content of

an application package and the application itself. Part F provides

instructions for completing an application. Part G details post-award

requirements.

CLOSING DATE: The closing time and date for receipt of applications is

4:30 p.m., Eastern time zone, on August 11, 1997. Applications received

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

other similar documents do not establish receipt of an application.

Detailed application submission instructions including addresses where

applications must be received are found in Part D of this Announcement.

FOR FURTHER INFORMATION CONTACT: Margaret Washnitzer, Director,

Division of State Assistance, Office of Community Services,

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

Washington, DC. 20447 (202) 401-9343. This Program Announcement is

accessible on the OCS Electronic Bulletin Board for downloading through

a 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.

Part A--Preamble

1. Legislative Authority

Under section 674(a)(1) and (2) of the Community Services Block

Grant (CSBG) Act of 1981, as amended by the Human Services Amendments

of 1994, Pub. L. 103-252, the Secretary of Health and Human Services is

authorized to utilize a percentage of appropriated funds for training,

technical assistance, planning, evaluation, and data collection

activities related to programs or projects carried out under this

subtitle. To carry out the above activities, the Secretary is

authorized to

[[Page 34459]]

make grants, or enter into contracts or cooperative agreements with

eligible entities or with organizations or associations whose

membership is composed of CSBG-eligible entities or agencies that

administer programs for CSBG-eligible entities.

The process for determining the technical assistance, training and

capacity-building activities to be carried out under this referenced

section shall (a) ensure that the needs of community action agencies

and programs relating to improving program quality, including financial

management practices, are addressed to the maximum extent feasible; and

(b) incorporate mechanisms to ensure responsiveness to local needs,

including an ongoing procedure for obtaining input from the community

action, State and national networks. A major step to improve program

quality and management of programs within the Community Services

Network has been the thrust of the CSBG Task Force on Monitoring and

Assessment. The Task Force has taken a comprehensive approach to

monitoring including establishing national goals and outcome measures,

reviewing data needs relevant to these outcome measures, and assessing

technical assistance and training provided toward capacity building

within the Community Services Network.

2. Definitions of Terms

For purposes of this Program Announcement the following definitions

apply:

Eligible entity means any organization which was officially

designated as a community action agency (CAA) or a community action

program under section 673(1) of the Community Services Block Grant Act

(CSBG), and meets all the requirements under section 675(c)(3) of the

CSBG Act. All ``eligible entities'' are current recipients of Community

Services Block Grant funds, including Migrant and Seasonal Farmworker

programs which received CSBG funding in the previous fiscal year (FY

1996). In cases where eligible entity status is unclear, final

determination will be made by OCS/ACF.

Performance Measure is a tool used to objectively assess how a

program is accomplishing its mission through the delivery of products,

services, and activities.

Outcome Measures are indicators which focus on the direct results

one wants to have on customers.

Results-Oriented Management is an approach to monitoring and

assessment that identifies measures of program success that are

targeted to outcome measures.

Training is an educational activity or event which is designed to

impart knowledge, understanding, or increase the development of skills.

Such training activities may be in the form of assembled events such as

workshops, seminars, conferences or programs of self-instructional

activities.

Technical assistance is an activity, generally utilizing the

services of an expert (often a peer), aimed at enhancing capacity,

improving programs and systems, or solving specific problems. Such

services may be provided proactively to improve systems or as an

intervention to solve specific problems. Services may be provided on-

site, by telephone, or other communications systems.

State means all of the States and the District of Columbia. Except

where specifically noted, for purposes of this Program Announcement, it

also means Territory.

Territory refers to the Commonwealth of Puerto Rico, the American

Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern

Mariana Islands, and the Republic of Palau.

Local service providers are the approximately 1,144 local public or

private non-profit agencies that receive Community Services Block Grant

funds from States to provide services to, or undertake activities on

behalf of, low-income people.

Nationwide refers to the scope of the technical assistance,

training, data collection, or other capacity-building projects to be

undertaken with grant funds. Nationwide projects must provide for the

implementation of technical assistance, training or data collection for

all or a significant number of States, and the local service providers

who administer CSBG funds.

Statewide refers to training, technical assistance and other

capacity-building activities undertaken with grant funds and available

to one or more community action agencies in a State, as needed and

appropriate.

Community Services Network refers to the various organizations

involved in planning and implementing programs funded through the

Community Services Block Grant or providing training, technical

assistance or support to them. The network includes local community

action agencies, other eligible entities, State CSBG offices and their

national association, CAA State, regional and national associations,

and related organizations which collaborate and participate with

community action agencies and other eligible entities in their efforts

on behalf of low-income people.

Program technology exchange refers to the process of sharing expert

technical and programmatic information, models, strategies and

approaches among the various partners in the Community Services

Network. This may be done through written case studies guides,

seminars, technical assistance, and other mechanisms.

Capacity-building refers to activities that assist community action

agencies and programs to improve or enhance their overall or specific

capability to plan, deliver, manage and evaluate programs efficiently

and effectively to produce results. This may include upgrading internal

financial management or computer systems, establishing new external

linkages with other organizations, improving board functioning, adding

or refining a program component or replicating techniques or programs

piloted in another local community, or other cost effective

improvements.

Part B--Purposes/Program Priority Areas

Section 674(a)(1) and (2) of the CSBG Act authorizes the Secretary

of the Department of Health and Human Services to make grants, or to

enter into contracts or cooperative arrangements with eligible entities

or with organizations or associations whose membership is composed of

eligible entities or agencies that administer programs for eligible

entities for purposes of providing training, technical assistance,

planning, evaluation, and data collection activities related to

programs or projects carried out under the CSBG Act. Therefore, the

principal purpose of this Announcement is to stimulate and support the

activities of planning, training, technical assistance and data

collection which strengthen the Community Services Network to affect

results for low-income people. New and revised techniques and tools are

needed to fundamentally change the way the Network does business on a

daily basis.

In addition to the changes in the 1994 CSBG Reauthorization Act,

two other concepts which frame the technical assistance and training

activities in this Program Announcement have converged to assist the

Community Services Network in making this change: (a) the Government

Performance and Results Act of 1993 (Pub. L. 103-62), which requires

Federal programs to determine and describe expected program outcomes;

and (b) the Community Services Block Grant Task Force on Monitoring and

Assessment established

[[Page 34460]]

by the Director of the OCS to develop a process to encourage the

Community Services Network to manage for results. Thus, the importance

of strong technical assistance, training, planning and data collection

is essential to ensure a results-oriented strategy for the management

and delivery of service to low-income people.

OCS is soliciting applications which implement these legislative

mandates in a systematic manner on a nationwide or Statewide basis, as

appropriate to the Priority Area. OCS believes that identifying

training and technical assistance needs requires substantial

involvement of eligible entities at local, State and national levels.

OCS also anticipates that the recipients of awards under this Program

Announcement can be expected to implement the approved project(s)

without substantial Federal agency involvement and direction.

Therefore, subject to the availability of funds, funds will be provided

in the form of grants. Priorities 1.1--Training and Technical

Assistance to Enhance Community Action Agencies' and Other Local

Service Provider's Capacity and 1.2--T&TA to CAA State and Regional

Associations were announced as continuation grants for FY 1997 and FY

1998. Although these grants are therefore continued in FY 1997 and FY

1998 without competition, depending upon the availability of funds and

the priorities of the department, we have included the amounts of the

grant in the Availability of Funds section of this Announcement. The

National Association of Community Action Agencies is the present

grantee for both of these priority areas. The other major Priority

Areas of the Office of Community Services' Fiscal Year 1997 Training,

Technical Assistance, and Capacity-Building Program are as follows:

Priority Area 1.0: Training and Technical Assistance for the Community

Services Network

Sub-Priority Areas:

1.3 Replication of Pilot Training and/or Service Delivery

Projects;

1.4 Provision of Coordinated Peer-to-Peer TA Strategies for CAAs

and Programs Related to Welfare Reform

1.5 TA to Develop Special Initiatives Between CAAs and

Organizations Addressing Urban Problems.

Priority Area 2.0: Data Collection, Analysis, Dissemination, and

Utilization

Sub-Priority Areas:

2.1 Collection, Analysis, and Dissemination of Information on CSBG

Activities Nationwide; and

2.2 CAAs and Technology.

Priority Area 1.0: Training and Technical Assistance for the

Community Services Network: This Priority Area addresses the

development and implementation of coordinated, comprehensive nationwide

or, where appropriate, statewide training and/or technical assistance

programs to assist State CSBG staff, staff of State and regional

organizations representing eligible entities, and staff of local

service providers which receive funding under the CSBG Act, to acquire

the skills and knowledge needed to plan, administer, implement,

monitor, and evaluate programs designed to ameliorate the causes of

poverty in local communities. Programs should include the provision of

training and/or technical assistance to State staff, CAA associations,

and/or staff of local service providers statewide or nationwide and a

description of collaboration with State CSBG staff and local service

providers.

Sub-Priority Area 1.3: Replication of Pilot Training and/or Service

Delivery Projects. The purpose of this Sub-Priority Area is to further

the capacity of eligible entities to deliver and manage services to

low-income people. This purpose is in keeping with the guideline

approach which was shared by the CSBG Task Force on Monitoring and

Assessment that ``Agencies Increase Their Capacity To Achieve Results''

relating to management which was shared with the Community Services

Network by the CSBG Task Force. In order to hasten the utilization of

these innovative training and service projects, OCS is proposing to

fund a limited number of projects which have developed systems to

improve the measurement of incremental individual, family and community

changes. Such projects may need resources in order to expand or

replicate on a statewide, regional or nationwide basis to other

organizations in the Network.

The Task Force on Monitoring and Assessment is particularly

interested in supporting projects to further assess the use of

``scales'' or ``ladders'' to accurately portray the effectiveness of

programs operated by the Community Services Network to policy makers.

Scales attempt to measure client, family or community status on a

continuum (e.g., numerical rating or by categories such as in crisis,

vulnerable, stable, and thriving), and then record changes in status

along the continuum as services are provided. Present scales have

largely focused on measuring client and family self-sufficiency or

family development/stability outcomes at the local level. Current

measurement technologies may need refining in order to capture

incremental individual, family and community changes which are useful

to local operations or State and Federal levels. The Task Force

continues to be interested in reviewing measurement tools such as,

scales and ladders, and is concerned about whether such scales, when

refined, can yield data which is conducive to local, state and national

use for policy makers. Applicants must be able to demonstrate that (1)

they are already using an incremental approach and have achieved

measurable results; (2) the approach is designed for multi-service use

and includes tracking changes in community conditions; (3) the

organization commits to aggregation and dissemination; and (4) the

proposed project can leverage private sector, foundation or public

funds to expand the funding base. Approaches developed and refined must

be related to the purposes and coordinated with the strategies of

welfare reform.

Sub-Priority Area 1.4: Provision of Coordinated Peer-to-Peer TA for

CAAs and Programs Related to Welfare Reform. The purpose of this Sub-

Priority Area is to fund organizations to develop and implement

strategies to provide coordinated, timely peer-to-peer technical

assistance and crisis aversion intervention strategies for CAAs which

have identified themselves as experiencing programmatic,

administrative, Board, and/or fiscal problems. Such technical

assistance should be designed to prevent problems from deteriorating

into crisis situations that would threaten the capacity of CAAs to

provide quality services to their communities. In agreement with the

chosen CAAs, this grantee will coordinate and deploy the technical

assistance resources of experienced individuals within the Community

Services Network and other resource experts as may be necessary to

assist in the identification and resolution of problems, through

necessary actions, including training, to ensure that relevant and

timely assistance is provided. Such technical assistance may be

requested to assist the agency in resolving adverse program monitoring

or audit findings, improving or upgrading financial management systems

to prevent losses of funds, averting serious deterioration of the

boards of directors, or other immediate assistance to CAAs as

requested. To the extent feasible, the grantee may be expected to

develop an expert technical assistance resource bank of experienced

individuals from the Community Action Network or other experienced

specialists who may be deployed to provide peer technical assistance.

Sub-Priority Area 1.5: Technical Assistance to Develop Special

Initiatives

[[Page 34461]]

Between CAAs and Organizations Addressing Urban Problems. Issues of

crime, violence, drug abuse, unemployment, poverty, family breakdown,

and inadequate education and training of many young people to attain

productive employment in an increasingly technological labor market,

threaten the safety and viability of many urban communities. These

multi-faceted problems cannot be solved by CAAs alone. This project

will provide technical assistance to assist CAAs in developing and

implementing collaborative community-wide strategies, effective

organizational working relationships, and special initiatives among

CAAs and other organization(s) focusing on issues of crime, violence,

family breakdowns, drug abuse and poverty. Emphasis will be on

assisting CAAs to bring together the various community, business,

labor, voluntary, educational, civil rights, and governmental sectors

required to develop model local strategies to improve conditions in

low-income, urban communities. Applicants are encouraged to develop

applications in collaboration with at least one other national private,

non-profit organization which has a substantial track record in

formulating strategies to improve conditions in low-income urban

communities.

Priority Area 2.0: Data Collection, Analysis, Dissemination and

Utilization. The purpose of this Priority Area is to fund a project to

improve the collection, analysis, dissemination and utilization of data

and information on CSBG activities and effective approaches to

ameliorating poverty. This includes the development of a CSBG data

collection instrument and collection, analysis and dissemination of

information on FY 1996 CSBG Programs on a nationwide basis through a

process that relies on voluntary State cooperation. The information

should be comprehensive enough and disseminated in such formats as to

enable State and local service providers to improve their planning,

management and delivery of services and to assure that the general

public has a clear understanding of those programs and their outcomes.

Of particular importance is the continued knowledge building and

knowledge development of the concepts and technologies of results-

oriented management in order to meet the requirements of the CSBG Act

of 1994 and the Government Performance and Results Act of 1993. This

priority also includes computer technology for community action

agencies and other partners in the Community Services Network for two

specific objectives: (1) their ability to participate in the

information highway, and (2) their ability to use and disseminate data,

research, and information regarding poverty issues, particularly

activities and outcomes of the Community Services Network.

Sub-Priority Area 2.1: Collection, Analysis and Dissemination of

Information on the CSBG Activities Nationwide. The purposes of this

Sub-Priority Area are two-fold: (1) To provide accurate, reliable and

comparable data from the Community Services Network nationwide; and (2)

to ensure that applicable research data regarding the conditions of

poverty necessary for framing program design and organizational

management are available to the Community Services Network. The first

purpose will be assisted by the development or continuous improvement

of a process for data collection, analysis, assessment, training,

monitoring, reporting and dissemination of CSBG and CAA best practices

and programs information. Continuous coordination and collaboration of

all Federal, State and local level partners within the Community

Services Network are critical to the implementation of this Priority

Area. The second purpose relates to expanding the knowledge and use of

results-oriented management concepts and technologies (ROMA). The

grantee will need to structure innovative strategies and capitalize on

appropriate opportunities to achieve such expansion in the Community

Services Network. It will need to work closely with the CSBG Task Force

for the purposes of exchanging views, information or guidance in

setting such goals. And, the grantee will also need to work directly

with a sample number of States yearly to measure progress with results

oriented tools and practices. Key related service program areas,

including the areas of substance abuse, child care, transportation, and

domestic violence, also need knowledge sharing and updates. These

program areas are of key importance in the implementation of welfare

reform and will have a major impact on the low income populations

served by the Community Services Block Grant. In addition to using

technology to amplify low-income issues, attention must be given to

working with the mass media who can be helpful in portraying positive

examples of program outcomes. Improving conditions in which low-income

people live is a major program outcome of the CSBG statute and

encouraged for implementation by the CSBG Task Force for the Network.

Several performance measures have been set forth which assess

incremental change in these conditions. Dissemination of research data

which provides the framework for program planning and organizational

improvements is critical to effective service provision. Also, some

consistent track record in the collection, analysis and dissemination

of CSBG and other poverty-related data is important to the

effectiveness of this priority.

Priority Area 2.2: CAAs and Technology. To promote management

efficiency and program productivity, it is essential that local CAAs

and other partners in the Community Services Network share effective

program techniques already developed by eligible entities which address

various aspects of poverty and participate in new and appropriate

information systems technologies. The purposes of this Sub-Priority

Area are to fund grants to share information and program technology in

specific areas of expertise with other organizations in the Community

Services Network and to improve the computer technology capability of

State CSBG offices and eligible entities to participate in the

Information Super Highway. Activities to exchange information and

program technology may include development and dissemination of case

studies or best practices, ``how-to'' guides and other publications,

workshops and seminars, training and technical assistance, etc.

Activities to improve computer capability should include the

development of a training and technical assistance capacity to enable

the Community Services Network to replicate currently piloted computer-

based, multi-media, community workstation projects and to build an in-

house capacity to provide technical assistance and training to

additional CAAs to participate in integrated service delivery networks.

Collaboration on the national level is an essential ingredient to the

objective of this priority.

See Part F, Section 4, for special instructions on developing a

work program. Applicants must be able to demonstrate that the projects

and program models they wish to share are effective and produce

results.

Part C--Application Prerequisites

1. Eligible Applicants

In general, eligible applicants under the various Priority Areas in

this Program Announcement are restricted to ``eligible entities'' as

defined in Section A or organizations or associations whose membership

is composed of

[[Page 34462]]

eligible entities or agencies that administer programs for eligible

entities or with organizations or associations whose membership is

composed of eligible entities or agencies that administer programs for

eligible entities for purposes of providing training, technical

assistance, planning, evaluation, and data collection activities

related to programs or projects carried out under the CSBG Act.

2. Availability of Funds

The total amount of funds available for grant awards in FY 97 is

expected to be $2,275,000 of which $800,000 is committed for

continuation grants. Amounts expected to be available and numbers of

grants under each Sub-Priority Area stated in Part B are as follows:

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

Approx. funds Estimated number of

Sub-priority area available grants

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

1.1 T&TA to Enhance CAAs' and **$300,000 1

Other Service Providers'

Capacity**.

1.2 T&TA to CAA State and Regional **500,000 1

Associations**.

1.3 Replication of Pilot Training 400,000 Up to 6

and/or Service Delivery Projects.

1.4 Provision of Coordinated Peer- 250,000 Up to 5

to-Peer TA Strategies for CAAs and

Programs Related to Welfare Reform.

1.5 TA to Develop Special 100,000 1

Initiatives Between CAAs and

Organizations Addressing Urban

Problems.

2.1 Collection, Analysis, and 450,000 1

Dissemination of Information on

the CSBG Activities Nationwide.

2.2 CAAs and Technology........... 300,000 Up to 12

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

Total.......................... 2,300,000 Up to 26

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

** Continuation grants announced in FY1996.

3. Project and Budget Periods

For most projects included in this Announcement, the project and

budget periods are 12 months. The exceptions are Sub-Priority 1.1-T&TA

to Enhance CAA and Other Local Service Providers' Capacity and Sub-

Priority 1.2-T&TA to CAA State and Regional Associations which have

project years through FY 1998. 2.1 Collection, Analysis, and

Dissemination of Information on CSBG Activities Nationwide is being

announced for a project period up to three (3) years. Applications for

continuation grants funded under these awards beyond the initial 12-

month budget period, but within the three-year project period will be

entertained in subsequent years, on a non-competitive basis, subject to

the availability of funds, satisfactory progress of the grantee and

determination that continued funding would be in the best interest of

the government. All budget periods are for 12 months unless in rare

instances, depending on the justification presented by the applicant, a

grant may be made for a period of up to 17 months.

4. Project Beneficiaries

The overall intended beneficiaries of the projects to be funded

under this Program Announcement are the various ``partners'' in the

Community Services Network. Specific beneficiaries are indicated under

each Sub-Priority Area in Part B. It is the intent of OCS, through

funding provided under this Program Announcement, to significantly

strengthen the capacity of State and regional CAA associations to

provide technical assistance and support to local service providers; to

strengthen the capacity of State CSBG offices to collect and

disseminate accurate and reliable data and to provide support for local

service providers; and to enhance the capacities of local service

providers themselves. The ultimate beneficiaries of improved program

management, data and information collection and dissemination, and

service quality of local service providers are low-income individuals,

families, and communities.

5. Sub-Contracting or Delegating Projects

OCS will not fund any project where the role of the applicant is

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

the applicant. This prohibition does not bar the making of subgrants or

subcontracting for specific services or activities needed to conduct

the project. However, the applicant must have a substantive role in the

implementation of the project for which funding is requested.

6. Number of Projects in Application

Separate applications must be made for each Sub-Priority Area. The

Sub-Priority Area must be clearly identified by title and number.

7. Project Evaluations

Each application must include an assessment/self evaluation to

determine the degree to which the goals and objectives of the project

are met, such as, client satisfaction surveys, administration of simple

before/after tests of knowledge with comparison of scores to show grasp

of teaching points, simple measures of the results of service delivery,

and others as appropriate.

Part D--Application Procedures

1. Availability of Forms

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

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

may be photocopied for use in developing the application.

Copies of the Federal Register containing this Announcement are

available at most local libraries and Congressional District Offices

for reproduction. It is also available on the internet through GPO

Access at the web site http:ttp://www.access.gpo.gov/su__ docs/

aces140.html. If copies are not available at these sources, they may be

obtained by writing or telephoning the office listed under the section

entitled FOR FURTHER INFORMATION at the beginning of this Announcement.

A copy is also available on the OCS Electronic Bulletin Board. (See FOR

FURTHER INFORMATION section.)

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

SF-424A, and SF-424B, Attachments A, B. and C. Instructions for

completing the SF-424, SF-424A, and SF-424B are found in Part F of this

Announcement.

Part F also contains instructions for the project narrative. The

project narrative will be submitted on plain bond paper along with the

SF-424 and related forms.

Attachment I provides a checklist to aid applicants in preparing a

complete application package for OCS.

2. Deadlines

Refer to the section entitled ``Closing Date'' at the beginning of

this Program Announcement for the last day on which applications should

be submitted. Mailed applications shall be

[[Page 34463]]

considered as meeting the announced deadline if they are received on or

before the deadline time and date at the U.S. Department of Health and

Human Services, Administration for Children and Families, Division of

Discretionary Grants. 370 L'Enfant Promenade, SW., Mail Stop 6C-462,

Washington, DC. 20447, Attention: Application for Training, Technical

Assistance and Capacity-Building Program. Applicants are responsible

for mailing applications well in advance, when using all mail services,

to ensure that the applications are received on or before the deadline

time and date.

Applications handcarried by applicants, applicant couriers, or by

overnight/express mail couriers, shall be considered as meeting an

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

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

Health and Human Services, Administration for Children and Families,

Division of Discretionary Grants, ACF Mail room, 2nd Floor Loading

Dock, Aerospace Center, 901 D Street, SW., Washington, DC. 20024

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

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

agreed.) ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

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

submission and time of receipt.

Late applications: Applications which do not meet the criteria

above are considered late applications. ACF shall notify each late

applicant that its application will not be considered in the current

competition.

Extension of deadlines: ACF may extend the deadline for all

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

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

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

the deadline for any applicants. Applications, once submitted, are

considered final and no additional materials will be accepted.

One signed original application and two copies should be submitted.

Paperwork Reduction Act of 1980

Under the Paperwork Reduction Act of 1980, Pub. L. 96-511, the

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

reporting and record keeping requirements in regulations, including

program announcements. This Program Announcement does not contain

information collection requirements beyond those approved for ACF grant

applications under OMB Control Number 0970-0062.

3. Intergovernmental Review

This program is covered under Executive Order 12372,

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

``Intergovernmental Review of Department of Health and Human Services

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

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alabama, Alaska, American Samoa,

Colorado, Connecticut, Hawaii, Kansas, Idaho, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,

and the Republic of Palau have elected to participate in the Executive

Order process and have established Single Points of Contact (SPOCs).

Applicants from these twenty-three jurisdictions need take no action

regarding E.O. 12372.

Applicants for projects to be administered by Federally-recognized

Indian Tribes are also exempt from the requirements of E.O. 12372.

Otherwise, applicants should contact their SPOCs as soon as possible to

alert them of the prospective applications and receive any necessary

instructions, so that the program office can obtain and review SPOC

comments as part of the award process. It is imperative that the

applicant submit all required materials, if any, to the SPOC and

indicate the date of this submittal (or the date of contact if no

submittal is required) on the Standard Form 424A, item 16a.

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

deadline date to comment on proposed new or competing continuation

awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations.

Additionally, SPOCs are requested to clearly differentiate between

mere advisory comments and those official State process recommendations

which they intend to trigger the ``accommodate or explain'' rule under

45 CFR 100.10.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, OCS-97-09,

6th Floor, 370 L'Enfant Promenade, SW., Washington, DC 20447.

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

is included as Attachment G to this announcement.

4. Application Consideration

Applications which meet the screening requirements in Sections 5a

and 5b below will be reviewed competitively. Such applications will be

referred to reviewers for a numerical score and explanatory comments

based solely on responsiveness to program guidelines and evaluation

criteria published in this Announcement.

Applications will be reviewed by persons outside of the OCS unit

which would be directly responsible for programmatic management of the

grant. The results of these reviews will assist OCS in considering

competing applications. Reviewers' scores will weigh heavily in funding

decisions but will not be the only factors considered. Applications

will be ranked and generally considered in order of the average scores

assigned by reviewers. However, highly ranked applications are not

guaranteed funding since other factors deemed relevant may be

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

completion of projects funded with OCS funds granted in the past 5

years; comments of reviewers and government officials; staff evaluation

and input; geographic distribution; previous program performance of

applicants; compliance with grant terms under previous DHHS grants;

audit reports; investigative reports; and applicant's progress in

resolving any final audit disallowances on OCS or other Federal agency

grants.

OCS reserves the right to discuss applications with other Federal

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

record.

5. Criteria for Screening Applications

a. Initial Screening

All applicants will receive an acknowledgement with an assigned

identification number. This number, along with any other identifying

codes, must be referenced in all subsequent communications concerning

the application. If an acknowledgement is not received within two weeks

after the deadline date, please notify ACF by telephone at (202) 401-

9365. All applications that meet the published deadline for submission

will be screened to determine completeness and conformity to the

requirements of this Announcement. Only those applications meeting the

following requirements will be reviewed and evaluated competitively.

Others will be returned

[[Page 34464]]

to the applicants with a notation that they were unacceptable.

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

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

``Assurances'' (SF-424B) completed according to instructions published

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

(2) A project narrative must also accompany the standard forms.

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

organization applying for the grant who has authority to obligate the

organization legally.

b. Pre-rating Review

Applications which pass the initial screening will be forwarded to

reviewers and/or OCS staff to verify, prior to the programmatic review,

that the applications comply with this Program Announcement in the

following areas:

(1) Eligibility: Applicant meets the eligibility requirements found

in Part B. Applicant also must 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) Duration of Project: The application contains a project that

can be successfully implemented in the project period.

(3) Target Populations: The application clearly targets the

specific outcomes and benefits of the project to State staff

administering CSBG funds, CAA State or regional associations, and/or

local providers of CSBG-funded services and activities. Benefits to

low-income consumers of CSBG services also must be identified.

(4) Program Focus: The application must address development and

implementation of nationwide or statewide comprehensive activities as

described in Part B of this document for each Priority Area. While some

technical assistance activities will focus on individual eligible

entities, the applicant must be able to develop a system to offer such

services on a nationwide or statewide basis to many eligible entities.

An application may be disqualified from the competition and

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

above requirements.

c. Evaluation Criteria

Applications which pass the pre-rating review will be assessed and

scored by reviewers. Each reviewer will give a numerical score for each

application reviewed. These numerical scores will be supported by

explanatory statements on a formal rating form describing major

strengths and major weaknesses under each applicable criterion

published in this Announcement.

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

criteria coupled with the specific requirements contained in Part B.

Criteria for Review and Evaluation of Applications Submitted Under This

Program Announcement

(1) Criterion I: Need for Assistance (Maximum: 20 points).

(a) The application documents that the project addresses vital

needs related to the purposes stated under Sub-Priority Areas discussed

in this Program Announcement (Part B) and provides statistics and other

data and information in support of its contention. (0-10 points).

(b) The application provides current supporting documentation or

other testimonies regarding needs from State CSBG Directors, local

service providers and/or State and Regional organizations of local

service providers. (0-10 points)

(2) Criterion II: Work Program (Maximum: 30 points).

The work program must be results-oriented, appropriately related to

the legislative mandate and specifically related to the proposed Sub-

Priority Area. Applicant must address specific outcomes to be achieved;

performance targets which the project is committed to achieving,

including specifications for not setting lower or higher target levels

and how the project will verify the achievement of these targets;

critical milestones which must be achieved if results are to be gained;

organizational support including priority this project has for the

agency, past performance in similar work and specific resources

contributed to the project which are critical to success. Applicants

must define the comprehensive nature of the project and methods which

will be used to ensure that the results can be used to address a

statewide or nationwide project as defined by the priority area.

(3) Criterion III: Significant and Beneficial Impact (Maximum 15

points).

Applicant adequately describes how the project will assure long-

term program and management improvements and have advantages over other

products offered to achieve the same outcomes for State CSBG offices,

CAA State associations, and/or local providers of CSBG services and

activities. The applicant must provide the types and amounts of public

and/or private resources it will mobilize and how those resources will

directly benefit the project, and how the project will ultimately

benefit low-income individuals and families.

An applicant proposing a project with a training and technical

assistance focus also must indicate the number of organizations and/or

staff it will impact. An applicant proposing a project with a data

collection focus also must provide a description of the mechanism the

applicant will us to collect data, how it can assure collections from a

significant number of States, and how many States will be willing to

submit data to the applicant. An applicant proposing to develop the

symposium series or other policy-related projects must identify the

number and types of beneficiaries. Methods of securing participant

feedback and evaluations of activities must be described for all

Priority Areas.

(4) Criterion IV: Evidence of Significant Collaborations (Maximum

10 points).

A new performance-based paradigm is replacing a compliance-based

approach to managing CSBG programs. Under this new approach,

development and strengthening of collaborative working relationships

among all eligible entities in the Community Services Network and with

other related organizations is emphasized. OCS does not believe that

the Priority Areas in this Program Announcement can be effectively

carried out without collaboration and cooperation. Thus, applicants

must describe how they will involve partners in the Community Services

Network in their activities. Where appropriate, applicants must

describe how they will interface with other related organizations. If

subcontracts are proposed, documentation of the willingness and

capacity for the subcontracting organization(s) to participate must be

described.

(5) Criterion V: Ability of Applicant to Perform (Maximum: 20

points).

(a) The applicant demonstrates experience and a successful track

record relevant to the specific activities and program area that it

proposes to undertake, therefore, organizations which propose providing

training and technical assistance must detail their competence in the

specific program Priority Area and as a deliverer with expertise in the

specific fields of training and technical assistance on a nationwide

basis. If applicable, information provided by these applicants must

also address related achievements and competence of each cooperating or

sponsoring organization. (0-10 points)

(b) The application must fully describe (e.g. a resume) the

experience and skills of the proposed project

[[Page 34465]]

director and primary staff showing specific qualifications and

professional experiences relevant to the successful implementation of

the proposed project. (0-10 points)

(6) Criterion VI: Adequacy of Budget (Maximum: 5 points).

(a) The resources requested are reasonable and adequate to

accomplish the project. (0-3 points)

(b) Total costs are reasonable and consistent with anticipated

results. (0-2 points)

Part E--Contents of Application and Receipt Process

1. Contents of Application

Each application should include one original and two additional

copies of the following:

a. 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. The applicant must be aware that,

in signing and submitting the application for this award, it is

certifying that it will comply with the Federal requirements concerning

the drug-free workplace and debarment regulations set forth in

Attachments D and E.

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

c. A filled out, signed and dated ``Assurances--Non-Construction

Programs'' (SF-424B), Attachment C.

d. Certifications Regarding Lobbying--Certification for Contracts.

Grants, Loans, and Cooperative Agreements: Fill out, sign and date

form found at Attachment F.

e. Certification Regarding Environmental Tobacco Smoke found at

Attachment G--sets forth the Federal certification requirement. The

applicant is certifying that it will comply by signing and submitting

the SF-424.

f. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and

date form found at Attachment F, as appropriate.

g. A Project Abstract describing the proposal in 200 words or less.

h. A Project Narrative consisting of the following elements

preceded by a consecutively numbered Table of Contents that will

describe the project in the following order:

(i) Need for Assistance.

(ii) Work Program.

(iii)Significant and Beneficial Impact.

(iv) Evidence of Significant Collaborations.

(v) Ability of Applicant to Perform.

(vi) Appendices including proof of non-profit status, such as IRS

determination of non-profit status, where applicable; relevant sections

of By-Laws, Articles of Incorporation, and/or statement from

appropriate State CSBG office which confirms eligibility; resumes;

Single Point of Contact Comments, where applicable; and any

partnership/collaboration agreements etc.

The original must bear the signature of the authorizing official

representing the applicant organization. The total number of pages for

the entire application package should not exceed 35 pages, including

appendices. Pages should be numbered sequentially throughout. If

appendices include photocopied materials, they must be legible.

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 applications or applications enclosed in a binder

is specifically discouraged.

Applications must be uniform in composition since OCS may find it

necessary to duplicate them for review purposes. Therefore,

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

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

include organizational brochures or other promotional materials,

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

included.

Part F--Instructions for Completing Application Package

(Approved by the OMB under Control Number 0970-0062)

The standard forms attached to this Announcement shall be used when

submitting applications for all funds under this Announcement.

It is recommended that the applicant reproduce the SF-424

(Attachment A), SF-424A (Attachment B), SF-424B (Attachment C) and that

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

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

assistance requested, the applicant should write ``NA'' for ``Not

Applicable.''

The application should be prepared in accordance with the standard

instructions in Attachments A and B corresponding to the forms, as well

as the specific instructions set forth below:

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

1. For the purposes of this Program Announcement, all projects are

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

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

corresponding to the Employer Identification Number. Where the

applicant is a previous Department of Health and Human Services

grantee, enter the Central Registry System Employee Identification

Number (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.

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

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

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

Articles of Incorporation, or by-laws, must be included as an appendix

to the project narrative.

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

``New''.

9. Enter ``DHHS-ACF/OCS''.

10. The Catalog of Federal Domestic Assistance number for the OCS

program covered under this Announcement is ``93.570''.

11. In addition to a brief descriptive title of the project, the

following Priority Area designations must be used to indicate the

Priority and Sub-Priority Areas for which funds are being requested:

CB--Sub-Priority 1.1--T&TA to Enhance CAA and Other Local Service

Providers' Capacity;

CR--Sub-Priority 1.2--T&TA to CAA State and Regional Associations;

PT--Sub-Priority 1.3--Replication of Pilot Training and/or Service

Delivery Projects;

PP--Sub-Priority 1.4--Provision of Coordinated Peer-to-Peer TA for CAAs

Experiencing Programmatic, Administrative and/or Fiscal Problems; and

UI--Sub-Priority 1.5--TA to Develop Special Initiatives Between CAAs

and Organizations Addressing Urban Problems;

IS--Sub-Priority 2.1--Collection, Analysis, and Dissemination of

Information on CSBG Activities Nationwide; and

CT--Sub-Priority 2.2--CAA Program and Technology Exchange.

The title is ``Office of Community Services'' Discretionary CSBG

Awards--Fiscal Year 1996 Training, Technical Assistance, and Capacity-

Building Programs.''

15a. For purposes of this Announcement, this amount should reflect

the amount requested for the entire project period.

15b-e. These items should reflect both cash and third party in-kind

contributions for the total project period.

[[Page 34466]]

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

See instructions accompanying this page as well as the instructions

set forth below:

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

will relate to the requested OCS Training and Technical Assistance

Program funds only, and ``Non-Federal'' will include mobilized funds

from all other sources--applicants, State, and other. Federal funds,

other than those requested from the Training and Technical Assistance

Program, should be included in ``Non-Federal'' entries.

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

(OCS) and non-Federal (mobilized funds).

Section A--Budget Summary

Line 1-4

Col. (a):

Line 1 Enter ``OCS Training and Technical Assistance Program'';

Col. (b):

Line 1 Enter ``93.570''.

Col. (c) and (d): Not Applicable

Col. (e)-(g):

For each line 1-4, enter in columns (e), (f) and (g) the

appropriate amounts needed to support the project for the entire

project period.

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

(e), (f), and (g).

Section B--Budget Categories

This section should contain entries for OCS funds only. For all

projects, the first budget period of 12 months will be entered in

Column #1. Allowability of costs is governed by applicable cost

principles set forth in 45 CFR parts 74 and 92.

A separate itemized budget justification should be included to

explain fully and justify major items, as indicated below. The budget

justification should immediately follow the Table of Contents.

Column 5: Enter total requirements for Federal funds by the Object

Class Categories of this section.

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

Justification

Identify the project director. Specify by title or name the

percentage of time allocated to the project, the individual annual

salaries and the cost to the project (both Federal and non-Federal) of

the organization's staff who will be working on the project.

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

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

entered on line 6j.

Justification

Enter the total costs of fringe benefits, unless treated as part of

an approved indirect cost rate.

Line 6c--Travel: Enter total cost of all travel by employees of the

project. Do not enter costs for consultant's travel.

Justification

Include the name(s) of traveler(s), total number of trips,

destinations, length of stay, mileage rate, transportation costs and

subsistence allowances.

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

personal property to be acquired by the project. Equipment means

tangible non-expendable personal property having a useful life of more

than one year and an acquisition cost of $5,000 or more per unit.

Justification

Equipment to be purchased with Federal funds must be required to

conduct the project, and the applicant organization or its subgrantees

must not already have the equipment or a reasonable facsimile available

to the project. The justification also must contain plans for future

use or disposal of the equipment after the project ends.

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

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

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

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

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

directly to individual consultants, local transportation (all travel

which does not require per diem is considered local travel), space and

equipment rentals, printing and publication, computer use training

costs including tuition and stipends, training service costs including

wage payments to individuals and supportive service payments, and staff

development costs.

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

costs. This line should be used only when the applicant currently has

an indirect cost rate approved by the Department of Health and Human

Services or other Federal agencies. With the exception of States and

local governments, applicants should enclose a copy of the current

approved rate agreement if it was negotiated with a Federal agency

other than the Department of Health and Human Services. For an

educational institution the indirect costs on training grants will be

allowed at the lesser of the institution's actual indirect costs or 8

percent of the total direct costs.

If the applicant organization is in the process of initially

developing or renegotiating a rate, it should immediately upon

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

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

accordance with the principles set forth in the pertinent DHHS Guide

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

DHHS Regional Office.

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

those costs included in the indirect cost pool cannot be also budgeted

or charged as direct costs to the grant.

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

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

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

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

expected program income generated from OCS support and income generated

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

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

narrative statement. Column 5: Carry totals from Column 1 to Column 5

for all line items.

Justification

Describe the nature, source and anticipated use of program income

in the Program Narrative Statement.

Section C--Non-Federal Resources

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

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

mean other than OCS funds for which the applicant has received a

commitment. Provide a brief explanation, on a separate sheet, showing

the type of contribution, broken out by Object Class Category, (See

Section B.6) and whether it is cash or third-party in-kind. The firm

commitment of these required funds must be documented and submitted

with the application.

Except in unusual situations, this documentation must be in the

form of letters of commitment or letters of intent from the

organization(s)/individuals from which funds will be received.

Line 8--

Col. (a): Enter the project title.

Col. (b): Enter the amount of cash or donations to be made by the

applicant.

Col. (c): Enter the State contribution.

Col. (d): Enter the amount of cash and third party in-kind

contributions to be made from all other sources.

[[Page 34467]]

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

10, and 11 should be left blank.

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

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

A, Line 5, Column (f).

Justification

Describe third party in-kind contributions, if included.

Section D--Forecasted Cash Needs

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

grant, by quarter, during the first 12 month budget period.

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

quarter during the first year.

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

Section F--Other Budget Information

Line 21--Include narrative justification required under Section B

for each object class category for the total project period.

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

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

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

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

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

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

agency other than the Department of Health and Human Services.

Line 23--Provide any other explanations and continuation sheets

required or deemed necessary to justify or explain the budget

information.

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

All applicants must sign and return the ``Assurances'' found at

Attachment C with their application.

4. Project Narrative

Each narrative section of the application must address one or more

of the focus areas described in Part B and follow the format outlined

below.

a. Need for Assistance

b. Work Program

c. Significant and Beneficial Impact

d. Evidence of Significant Collaborations

e. Ability of the Applicant to Perform

Part G--Post Award Information and Reporting Requirements

Following approval of the applications selected for funding, notice

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

made in writing. The official award document is the Financial

Assistance Award which provides the amount of Federal funds approved

for use in the project, the project and budget periods for which

support is provided, the terms and conditions of the award, and the

total project period for which support is contemplated.

In addition to the standard terms and conditions which will be

applicable to grants, grantee will be subject to the provisions of 45

CFR parts 74 (non-governmental) and 92 (governmental) and OMB Circulars

A-122 and A-87.

Grantees will be required to submit quarterly progress and

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

report.

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

(non-governmental) and 92 (governmental) and OMB Circulars A-128 and A-

133.

Section 319 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 subgrantee will pay

with profits or non-appropriated 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 Attachment F for certification and

disclosure forms to be submitted with the applications for this

program.

Pub. L. 103-227, Part C. Environmental Tobacco Smoke, also known as

the Pro-Children Act of 1994 (Act), requires that smoking not be

permitted in any portion of any indoor facility owned or leased or

contracted for by an entity and used routinely or regularly for the

provision of health, day care, education, or library services to

children under the age of 18, if the services are funded by Federal

programs either directly or through States or local governmental by

Federal grant, contract, loan or loan guarantee. The law does not apply

to facilities funded solely by Medicare or Medicaid funds, and portions

of facilities used for in-patient drug or alcohol treatment. Failure to

comply with the provisions of the law may result in the imposition of a

civil monetary penalty of up to $1,000 per day and/or the imposition of

an administrative compliance order on the responsible entity.

By signing and submitting this application the applicant/grantee

certifies that it will comply with the requirement of the Act. The

applicant/grantee further agrees that it will require the language of

this certification be included in any subawards which contain

provisions for children's services and that all subgrantees shall

certify accordingly.

Attachment H indicates the regulations which apply to all

applicants/grantees under this program.

Dated: June 20, 1997.

Donald Sykes,

Director, Office of Community Services.

BILLING CODE 4148-01-P

[[Page 34468]]

[GRAPHIC] [TIFF OMITTED] TN26JN97.000

BILLING CODE 4184-01-C

[[Page 34469]]

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-P

[[Page 34470]]

[GRAPHIC] [TIFF OMITTED] TN26JN97.001

[[Page 34471]]

[GRAPHIC] [TIFF OMITTED] TN26JN97.002

BILLING CODE 4184-01-C

[[Page 34472]]

Instruction 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 (a)

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

For applications pertaining to a single program requiring budget

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

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

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

multiple programs where none of the programs require a breakdown by

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

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

Column (b).

For applications pertaining to multiple programs where one or

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

separate sheet for each program requiring the breakdown. Additional

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

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

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

program.

Lines 1-4, Columns (c) Through (g)

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

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

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

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

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

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

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

only if the Federal grantor agency instructions provide for this.

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

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

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

For supplemental grants and changes to existing grants, do not

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

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

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

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

which includes the total previous authorized budgeted amounts plus

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

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

Columns (e) and (f).

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

Section B. Budget Categories

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

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

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

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

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

Federal and non-Federal) by object class categories.

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

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

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

applications for new grants and continuation grants, the total

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

amount shown in Section A, Column (g), Line 5. For supplemental

grants and changes to grants, the total amount of the increase or

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

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

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

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

amount from the total project amount. Show under the program

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the Federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8-11--Enter amounts of non-Federal resources that will be

used on the grant. If in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)--Enter the program titles identical to Column (a),

Section A. A breakdown by function or activity is not necessary.

Column (b)--Enter the contribution to be made by the applicant.

Column (c)--Enter the amount of the State's cash and in-kind

contribution if the applicant is not a State or State agency.

Applicants which are a State or State agencies should leave this

column blank.

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

to be made from all other sources.

Column (e)--Enter totals in Columns (b), (c), and (d).

Line 12--Enter the total for each of Columns (b)-(e). The amount

in Column (e) should be equal to the amount on Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13--Enter the amount of cash needed by quarter from the

grantor agency during the first year.

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

by quarter during the first year.

Line 15--Enter the totals of amounts on Lines 13 and 14.

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

the Project

Lines 16-19--Enter in Column (a) the same grant program titles

shown in Column (a), Section A. A breakdown by function or activity

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

which will be needed to complete the program or project over the

succeeding funding periods (usually in years). This section need not

be completed for revisions (amendments, changes, or supplements) to

funds for the current year of existing grants.

If more than four lines are needed to list the program titles,

submit additional schedules as necessary.

Line 20--Enter the total for each of the Columns (b)-(e). When

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21--Use this space to explain amounts for individual direct

object-class cost categories that may appear to be out of the

ordinary or to explain the details as required by the Federal

grantor agency.

Line 22--Enter the type of indirect rate (provisional,

predetermined, final or fixed) that will be in effect during the

funding period, the estimated amount of the base to which the rate

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

Attachment C--Assurances--Non-Construction Programs

Public reporting burden for this collection of information is

estimated to average 15 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the

[[Page 34473]]

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.

Note: Certain of these assurances may not be applicable to your

project or program. If you have questions, please contact the

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duly authorized representatives of the applicant I

certify that the applicant:

1. Has the legal authority to apply for Federal assistance and

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share of project costs) to

ensure proper planning, management and completion of the project

described in this application.

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

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

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

books, papers, or documents related to the award; and will establish

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

4. Will initiate and complete the work within the applicable

time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970

(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for

merit systems for programs funded under one of the nineteen statutes

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

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

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) Title

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

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

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

Sec. 1681-1683, and 1685-1686), which prohibits discrimination on

the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,

as amended (29 U.S.C. Sec. 794), which prohibits discrimination on

the basis of handicaps; (d) the Age Discrimination Act of 1975, as

amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination

on the basis of age; (e) the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to nondiscrimination on the

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

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

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

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

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

as amended, relating to confidentiality of alcohol and drug abuse

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

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

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

other nondiscrimination provisions in the specific statute(s) under

which application for Federal assistance is being made; and (j) the

requirements of any other nondiscrimination statute(s) which may

apply to the application.

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

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

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

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch

Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the

political activities of employees whose principal employment

activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-

Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40

U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding

labor standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase

requirements of Section 102(a) of the Flood Disaster Protection Act

of 1973 (P.L. 93-234) which requires recipients in a special flood

hazards area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

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

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

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

evaluation of flood hazards in floodplains in accordance with EO in

11988; (e) assurance of project consistency with the approved State

management program developed under the Coastal Zone Management Act

of 1972 (16 U.S.C. Sec. 1451 et seq.); (f) conformity of Federal

actions to State (Clear Air) Implementation Plans under Section

176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401

et seq.); (g) protection of underground sources of drinking water

under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-

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

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

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

U.S.C. Sec. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic

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

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

human subjects involved in research, development, and related

activities supported by this award of assistance.

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

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

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

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

assistance.

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

Act (42 U.S.C. Sec. 4801 et seq.) which prohibits the use of lead

based paint in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984 or

OMB Circular No. A-133, Audits of Institutions of Higher Learning

and other Non-profit Institutions.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

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

Signature of authorized certifying official

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

Title

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

Applicant organization

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

Date submitted

Attachment D

This certification is required by the regulations implementing

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

Sections 76.630(c) and (d)(2) and 76.645 (a)(1) and (h) provide that

a Federal agency designate a central receipt point for STATE-WIDE

AND STATE AGENCY-WIDE certifications, and for notification of

criminal drug convictions. For the Department of Health and Human

Services, the central point is: Division of Grants Management and

Oversight, Office of Management and Acquisition, Department of

Health and Human Services, Room 517-D, 200 Independence Avenue, SW,

Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements (Instructions

for Certification)

1. By signing and/or submitting this application or grant

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

2. This certification set out below is a material representation

of fact upon which reliance is placed when the agency awards the

grant. If it is later determined that the

[[Page 34474]]

grantee knowingly rendered a false certification, or otherwise

violates the requirements of the Drug-Free Workplace Act, the

agency, in addition to any other remedies available to the Federal

Government, may take action authorized under the Drug-Free Workplace

Act.

3. For grantees other than individuals, Alternate I applies.

4. For grantees who are individuals, Alternate II applies.

5. Workplace under grants, for grantees other than individuals,

need not be identified on the certification. If known, they may be

identified in the grant application. If the grantee does not

identify the workplaces at the time of application, or upon award,

if there is no application, the grantee must keep the identity of

the workplace(s) on file in its office and make the information

available for Federal inspection. Failure to identify all know

workplaces constitutes a violation of the grantee's drug-free

workplace requirements.

6. Workplace identifications must include the actual address of

buildings (or parts of buildings) or other sites where work under

the grant takes place. Categorical descriptions may be used (e.g.,

all vehicles of a mass transit authority or State highway department

while in operation, State employees in each local unemployment

office, performers in concert halls or radio studios).

7. If the workplace identified to the agency changes during the

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

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

(see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and

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

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

the following definitions from these rules:

Controlled substances means a controlled substance in Schedules

I through V of the Controlled Substances Act (21 U.S.C. 812) and as

further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo

contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes;

Criminal drug statute means a Federal or no-Federal criminal

statute involving the manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the

performance of work under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees unless their impact or

involvement is insignificant to the performance of the grant; and,

(iii) Temporary personnel and consultants who are directly engaged

in the performance of work under the grant and who are on the

grantee's payroll. This definition does not include workers not on

the payroll of the grantee (e.g., volunteers, even if used to meet a

matching requirement; consultants or independent contractors not on

the grantee's payroll; or employees of subrecipients or

subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantee Other Than Individuals)

The grantee certifies that it will or will continue to provided

a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to

inform employees about--

(1) The dangers of drug abuse in the workplace;

(2) The grantee's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement required by

paragraph (a) that, as a condition of employment under the grant,

the employee will--

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for

a violation of a criminal drug statute occurring in the workplace no

later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days

after receiving notice under paragraph (d)(2) from an employee or

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

to every grant officer or other designee on whose grant activity the

convicted employee was working, unless the Federal agency has

designated a central point for the receipt of such notices. Notice

shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days

of receiving notice under paragraph (d)(2), with respect to any

employee who is so convicted--

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-

free workplace through implementation of paragraphs (a), (b), (c),

(d), (e) and (f).

(B) The grantee may insert in the space provided below the

site(s) for the performance of work done in connection with the

specific grant:

Place of Performance (Street address, city, country, state, zip

code)

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

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

Check {time} if there are workplaces on file that are not

identified here.

Alternative II. (Grantee Who Are Individuals)

(a) The grantee certifies that, as a condition of the grant, he

or she will not engage in the unlawful manufacture, distribution,

dispensing, possession, or use of a controlled substance in

conducting any activity with the grant;

(b) If convicted of a criminal drug offense resulting from a

violation occurring during the conduct of any grant activity, he or

she will report the conviction, in writing, within 10 calendar days

of the conviction, to every grant officer or other designee, unless

the Federal agency designates a central point for the receipt of

such notices. When notice is made to such a central point, it shall

include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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

Responsibility Matters--Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

primary participant is providing the certification set out below.

2. The inability of a person to provide the certification

required below will not necessarily result in denial of

participation in this covered transaction. The prospective

participant shall submit an explanation of why it cannot provide the

certification set out below. The certification or explanation will

be considered in connection with the department or agency's

determination whether to enter into this transaction. However,

failure of the prospective primary participant to furnish a

certification or an explanation shall disqualify such person from

participation in this transaction.

3. The certification in this clause is a material representation

of fact upon which reliance was placed when the department or agency

determined to enter into this transaction. If it is later determined

that the prospective primary participant knowingly rendered an

erroneous certification, in addition to other remedies available to

the Federal Government, the department or agency may terminate this

transaction for cause or default.

4. The prospective primary participant shall provide immediate

written notice to the department or agency to which this proposal is

submitted if at any time the prospective primary participant learns

that its certification was erroneous when submitted or has become

erroneous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause,

[[Page 34475]]

have the meanings set out in the Definitions and Coverage sections

of the rules implementing Executive Order 12549. You may contact the

department or agency to which this proposal is being submitted for

assistance in obtaining a copy of those regulations.

6. The prospective primary participant agrees by submitting this

proposal that, should the proposed covered transaction be entered

into, it shall not knowingly enter into any lower tier covered

transaction with a persons who is proposed for debarment under 48

CFR part 9, subpart 9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in this covered

transaction unless authorized by the department or agency entering

into this transaction.

7. The prospective primary participant further agrees by

submitting this proposal that it will include the clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by

the department or agency entering into this covered transaction,

without modification, in all lower tier covered transactions and in

all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from the covered transaction, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the list of

Parties Excluded from Federal Procurement and Nonprocurment

Programs.

9. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

10. Except for transactions authorized under paragraph 6 of

these instructions, if a participant in a covered transaction

knowingly enters into a lower tier covered transaction with a person

who is proposed for debarment under 48 CFR part 9, subpart 9.4,

suspended, debarred, ineligible, or voluntarily excluded from

participation in this transaction, in addition to other remedies

available to the Federal Government, the department or agency may

terminate this transaction for cause or default.

* * * * *

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

(1) The prospective primary participant certifies to the best of

its knowledge and belief, that it and its principals:

(a) Are not presently debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily excluded by any

Federal department or agency;

(b) Have not within a three-year period preceding this proposal

been convicted of or had a civil judgment rendered against them for

commission of fraud or a criminal offense in connection with

obtaining, attempting to obtain, or performing a public (Federal,

State or local) transaction or contract under a public transaction;

violation of Federal or State antitrust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction

of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or

civilly charged by a governmental entity (Federal, State or local)

with commission of any of the offenses enumerated in paragraph

(1)(b) of this certification; and

(d) Have not within a three-year period preceding this

application/proposal had one or more public transactions (Federal,

State or local) terminated for cause or default.

(2) Where the prospective primary participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

lower tier participant is providing the certification set out below.

2. The certification in this clause is a material representation

of fact upon which reliance was placed when this transaction was

entered into. If it is later determined that the prospective lower

tier participant knowingly rendered an erroneous certification, in

addition to other remedies available to the Federal Government the

department or agency with which this transaction originated may

pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide

immediate written notice to the person to which this proposal is

submitted if at any time the prospective lower tier participant

learns that its certification was erroneous when submitted or had

become erroneous by reason of changed circumstances.

4. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause, have the meaning set out in the

Definitions and Coverage sections of rules implementing Executive

Order 12549. You may contact the person to which this proposal is

submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting

this proposal that, [[Page 33043]] should the proposed covered

transaction be entered into, it shall not knowingly enter into any

lower tier covered transaction with a person who is proposed for

debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,

declared ineligible, or voluntarily excluded from participation in

this covered transaction, unless authorized by the department or

agency with which this transaction originated.

6. The prospective lower tier participant further agrees by

submitting this proposal that it will include this clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,'' without

modification, in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

7. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from covered transactions, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the List of

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

9. Except for transactions authorized under paragraph 5 of these

instructions, if a participant in a covered transaction knowingly

enters into a lower tier covered transaction with a person who is

proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,

debarred, ineligible, or voluntarily excluded from participation in

this transaction, in addition to other remedies available to the

Federal Government, the department or agency with which this

transaction originated may pursue available remedies, including

suspension and/or debarment.

* * * * *

Certification Regarding Debarment, Suspension, Ineligibility a

Voluntary Exclusion--Lower Tier Covered Transactions

(1) The prospective lower tier participant certifies, by

submission of this proposal, that neither it nor its principals is

presently debarred, suspended, proposed for debarment, declared

ineligible, or voluntarily excluded from participation in this

transaction by any Federal department or agency.

(2) Where the prospective lower tier participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

[[Page 34476]]

Attachment F--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative

Agreements

The undersigned certifies, to the best of his or her knowledge

and belief, that:

(1) No Federal appropriated funds have been paid or will be

paid, by or on behalf of the undersigned, to any person for

influencing or attempting to influence an officer or employee of an

agency, a member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with the awarding

of any Federal contract, the making of any Federal grant, the making

of any Federal loan, the entering into of any cooperative agreement,

and the extension, continuation, renewal, amendment, or modification

of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of

Congress, an officer or employee of Congress, or an employee of a

Member of Congress in connection with this Federal contract, grant,

loan, or cooperative agreement, the undersigned shall complete and

submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,''

in accordance with its instructions.

(3) The undersigned shall require that the language of this

certification be included in the award documents for all subawards

at all tiers (including subcontracts, subgrants, and contracts under

grants, loans, and cooperative agreements) and that all

subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon

which reliance was placed when this transaction was made or entered

into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by section 1352, title 31,

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

shall be subject to a civil penalty of not less than $10,000 and not

more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and

belief, that:

If any funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of Congress, or

an employee of a Member of Congress in connection with this

commitment providing for the United States to insure or guarantee a

loan, the undersigned shall complete and submit Standard Form--LLL,

``Disclosure Form to Report Lobbying,'' in accordance with its

instructions. Submission of this statement is a prerequisite for

making or entering into this transaction imposed by section 1352,

title 31, U.S. Code. Any person who fails to file the required

statement shall be subject to a civil penalty of not less than

$10,000 and not more than $100,000 for each such failure.

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

Signature

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

Title

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

Organization

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

Date

BILLING CODE 4184-01-P

[[Page 34477]]

[GRAPHIC] [TIFF OMITTED] TN26JN97.003

BILLING CODE 4184-01-C

[[Page 34478]]

Attachment G--OMB State Single Point of Contact Listing *

January 22, 1997.

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,

Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,

FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and

Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas

72203, Telephone: (501) 682-1074, FAX: (501) 682-5206

California

Grants Coordinator, Office of Planning and Research, 1400 Tenth

Street, Room 121, Sacramento, California 95814, Telephone: (916)

323-7480, FAX: (916) 323-3018

Delaware

Francine Booth, State Single Point of Contact, Executive Department,

Office of the Budget, Thomas Collins Building, P.O. Box 1401, Dover,

Delaware 19903, Telephone: (302) 739-3326, FAX: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants

Mgmt. and Dev., 717 14th Street, NW., Suite 400, Washington, DC.

20005, Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740

Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)

922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid, III, Coordinator, Georgia State Clearinghouse, 270

Washington Street, SW.,--8th Floor, Atlanta, Georgia 30334,

Telephone: (404) 656-3855, FAX: (404) 656-3828

Illinois

Virginia Bova, State Single Point of Contact, Illinois Department of

Commerce and Community Affairs, James R. Thompson Center, 100 West

Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312)

814-6028, FAX: (312) 814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House,

Indianapolis, Indiana 46204-2796, Telephone: (317) 232-5619, FAX:

(317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department

of Economic Development, 200 East Grand Avenue, Des Moines, Iowa

50309, Telephone: (515) 242-4719 FAX: (515) 242-4859

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local

Government, 1024 Capitol Center Drive--Suite 340, Frankfort,

Kentucky 40601-8204, Telephone: (502) 573-2382, FAX: (502) 573-2512

Maine

Joyce Benson, State Planning Office, 184 State Street, 38 State

House Station, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX:

(207) 287-6489

Maryland

William G. Carroll, Manager, Plan and Project Review, Maryland

Office of Planning, 301 W. Preston Street--Room 1104, Baltimore,

Maryland 21201-2365, Staff Contact: Linda Janey, Telephone: (410)

767-4490, FAX: (410) 767-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Government, 660 Plaza

Drive--Suite 1900, Detroit, Michigan 48226, Telephone: (313) 961-

4266, FAX: (313) 961-4869

Mississippi

Cathy Mallette, Clearinghouse Officer, Department of Finance and

Administration, 455 North Lamar Street, Jackson, Mississippi 39202-

3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 760, Truman Building, Jefferson

City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex,

Carson City, Nevada 89710, Telephone: (702) 687-4065 FAX: (702) 687-

3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,

Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon

Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,

FAX: (603) 271-1728

New Mexico

Robert Peters, State Budget Division, Room 190 Bataan Memorial

Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol,

Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-

5617

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the

Secretary of Admin., 116 West Jones Street--Suite 5106, Raleigh,

North Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919)

733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental

Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-

0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse,

Office of Budget and Management, 30 East Broad Street, 34th Floor,

Columbus, Ohio 43266-0411

Please direct correspondence and questions about

intergovernmental review to:

Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400

Rhode Island

Kevin Nelson, Review Coordinator, Department of Administration,

Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode

Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

Please direct correspondence and questions to:

Office of Strategic Planning

South Carolina

Rodney Grizzle, State Single Point of Contact, Grant Services,

Office of the Governor, 1205 Pendleton Street--Room 331, Columbia,

South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356

Texas

Tom Adams, Governors Office, Director, Intergovernmental

Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)

463-1771, FAX: (512) 463-1880

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and

Budget, Room 116 State Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538-1535, FAX: (801) 538-1547

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia

Development Office, Building #6, Room 553, Charleston, West Virginia

25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Jeff Smith, Section Chief, State/Federal Relations, Wisconsin

Department of Administration, 101 East Wilson Street--6th Floor,

P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267,

FAX: (608) 267-6931

Wyoming

Matthew Jones, State Single Point of Contact, Office of the

Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne,

WY 82002, Telephone: (307) 777-7446, FAX: (307) 632-3909

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and

Management Research, Office of the Governor, P.O. Box 2950, Agana,

Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning

Board, Federal Proposals Review Office, Minillas Government Center,

PO. Box 41119, San Juan, Puerto 00940-1119, Telephone: (809)

[[Page 34479]]

727-4444, (809) 723-6190, FAX (809) 724-3270; (809) 724-3103

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, Office of Management and

Budget, Office of the Governor, Siapan, MP 96950, Telephone: (670)

664-2256, FAX: (670) 664-2272, Contact person: Ms. Jacoba T. Seman,

Federal Programs Coordinator, Telephone: (670) 664-2289, FAX: (670)

664-2272

Virgin Islands

Nellon Bowry, Director, Office of Management and Budget, #41

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

Virgin Islands 00802

Please direct all questions and correspondence about

intergovernmental review to:

Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069

If you would like a copy of this list faxed to your office,

please call our publications office at: (202) 395-9068

* In accordance with Executive Order #12372, ``Intergovernmental

Review of Federal Programs,'' this listing represents the designated

State Single Points of Contact. The jurisdictions not listed no

longer participate in the process BUT GRANT APPLICANTS ARE STILL

ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY

COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.''

STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama,

Alaska; American Samoa; Colorado; Connecticut; Kansas; Hawaii;

Idaho; Louisiana; Massachusetts, Palau; Minnesota; Montana;

Nebraska; New Jersey; Oklahoma; Oregon; Pennsylvania; South Dakota;

Tennessee; Vermont, Virginia; and Washington. This list is based on

the most current information provided by the States. Information on

any changes or apparent errors should be provided to the Office of

Management and Budget and the State in question. Changes to the list

will only be made upon formal notification by the State. Also, this

listing is published biannually in the Catalogue of Federal Domestic

Assistance.

Certification Regarding Environmental Tobacco Smoke

Public Law 103-227, Part C--Environmental Tobacco Smoke, also

known as the Pro-Children Act of 1994 (Act), requires that smoking

not be permitted in any portion of any indoor routinely owned or

leased or contracted for by an entity and used routinely or

regularly for provision of health, day care, education, or library

services to children under the age of 18, if the services are funded

by Federal programs either directly or through State or local

governments, by Federal grant, contract, loan, or loan guarantee.

The law does not apply to children's services provided in private

residences, facilities funded solely by Medicare or Medicaid funds,

and portions of facilities used for inpatient drug or alcohol

treatment. Failure to comply with the provisions of the law may

result in the imposition of a civil monetary penalty of up to $1000

per day and/or the imposition of an administrative compliance order

on the responsible entity.

By signing and submitting this application the applicant/grantee

certifies that it will comply with the requirements of the Act. The

applicant/grantee further agrees that it will require the language

of this certification be included in any subawards which contain

provisions for the children's services and that all subgrantees

shall certify accordingly.

Attachment H, DHHS Regulations Applicable to Grants

The following DHHS regulations apply to all applicants/grantees

under the Training and Technical Assistance Program

Title 45 of the Code of Federal Regulations:

Part 16--Procedures of the Departmental Grant Appeals Board

Part 74--Administration of Grants (non-governmental)

Part 74--Administration of Grants (State and local governments and

Indian Tribal affiliates):

Sections

74.26 Non-Federal Audits

74.27 Allowable Costs for Hospitals and Other Non-profit

Organizations

74.90 Final Decisions in Disputes

74.32 Real Property

74.34 Equipment and

74.35 Supplies

74.24 General Program Income

Part 74--20-28 Fiscal Management

Part 74--40-48 Procedure Standards

Part 74--50-53 Reports and Records

Part 75--Informal Grant Appeal Procedures

Part 76--Debarment and Suspension form Eligibility for Financial

Assistance

Subpart--Drug Free Workplace Requirements

Part 80--Non-discrimination

Under Programs Receiving Federal Assistance through the

Department of Health and Human Services

Effectuation of Title VI of the Civil Rights Act of 1964

Part 81--Practice and Procedures for Hearings Under Part 80 of this

Title

Part 84--Non-discrimination on the Basis of Handicap in Programs

Part 86--Nondiscrimination on the basis of sex in the admission of

individuals to training programs

Part 91--Non-discrimination on the Basis of Age in Health and Human

Services Programs or Activities Receiving Federal Financial

Assistance

Part 92--Uniform Administrative Requirements for Grants and

Cooperative Agreements to States and Local Governments (Federal

Register, March 11, 1988)

Part 93--New Restrictions on Lobbying

Part 100--Intergovernmental Review of Department of Health and Human

Services Programs and Activities

[FR Doc. 97-16774 Filed 6-25-97; 8:45 am]

BILLING CODE 4184-01-P