Request for Applications Under The Office of Community Services' Fiscal Year 1999 Assets for Independence Demonstration Program (IDA Program)

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS-99-04]

Request for Applications Under The Office of Community Services'

Fiscal Year 1999 Assets for Independence Demonstration Program (IDA

Program)

AGENCY: Office of Community Services (OCS), ACF, DHHS.

ACTION: Announcement of availability of funds and request for

competitive applications under the Office of Community Services' Assets

for Independence Demonstration Program.

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SUMMARY: The Office of Community Services (OCS) invites eligible

entities to submit competitive grant applications for new demonstration

projects that will establish, support, and participate in the

evaluation of Individual Development Accounts for lower income

individuals and families. Applications will be screened and

competitively reviewed as indicated in this Program Announcement.

Awards will be contingent on the outcome of the competition and the

availability of funds.

DATES: To be considered for funding applications must be postmarked on

or before April 27, 1999. Applications postmarked after that date will

not be accepted for consideration. See Part IV of this announcement for

more information on submitting applications.

FOR FURTHER INFORMATION CONTACT: Richard Saul (202) 401-9341 or Sheldon

Shalit (202) 401-4807, Department of Health and Human Services,

Administration for Children and Families, Office of Community Services,

370 L'Enfant Promenade, SW, Washington, DC, 20447.

In addition, this Announcement is accessible on the OCS WEBSITE for

reading or downloading at ``http://www.acf.dhhs.gov/programs/ocs''

under ``funding opportunities''.

SUPPLEMENTARY INFORMATION: This program announcement consists of seven

parts plus appendices:

PART I: BACKGROUND INFORMATION: legislative authority, program

purpose, CFDA number, and definition of terms.

PART II: PROGRAM OBJECTIVES AND REQUIREMENTS: program priority

areas, eligible applicants, project and budget periods, funds

availability and grant amounts, project eligibility and requirements,

non-Federal matching funds requirements, preferences, multiple

applications, treatment of program income, and partnership with

financial institutions.

PART III: THE PROJECT DESCRIPTION, PROGRAM PROPOSAL ELEMENTS AND

REVIEW CRITERIA: project summary; the review process, project goals,

application brevity; proposal elements and review criteria; and funding

reconsideration.

PART IV: APPLICATION PROCEDURES: application materials, application

development/availability of forms, application submission,

intergovernmental review, initial OCS screening, application

consideration.

PART V: INSTRUCTIONS FOR COMPLETING APPLICATION FORMS: SF424,

SF424A, SF424B.

PART VI: CONTENTS OF APPLICATION AND RECEIPT PROCESS: content and

order of program application, acknowledgement of receipt.

PART VII: POST AWARD INFORMATION AND REPORTING REQUIREMENTS:

notification of grant award, attendance at evaluation workshops,

reporting requirements, audit requirements, prohibitions and

requirements with regard to lobbying, applicable Federal regulations.

APPENDICES: Application forms and required attachments.

Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act of 1995, Public Law 104-13, the

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

reporting and record keeping requirements in regulations, including

Program Announcements. An agency may not conduct or sponsor, and a

person is not required to respond to, a collection of information

unless it displays a currently valid OMB control number. This Program

Announcement does not contain information collection requirements

beyond those approved for ACF grant announcements/applications under

OMB Control Number OMB-0970-0139 (expires 10/31/2000).

Part I. Background Information

A. Legislative Authority

The Assets for Independence Demonstration Program (IDA Program) was

established by the Assets for Independence Act (AFI Act), under Title

IV of the Community Opportunities, Accountability, and Training and

Educational Services Act of 1998 (P.L. 105-285, 42 U.S.C. 604 Note).

B. Program Purpose

The purpose of the program is, in the language of the AFI Act: to

provide for the establishment of demonstration projects designed to

determine:

(1) The social, civic, psychological, and economic effects of

providing to individuals and families with limited means an incentive

to accumulate assets by saving a portion of their earned income;

(2) The extent to which an asset-based policy that promotes saving

for postsecondary education, homeownership, and microenterprise

development may be used to enable individuals and families with limited

means to increase their economic self-sufficiency; and

(3) The extent to which an asset-based policy stabilizes and

improves families and the community in which the families live.

C. The Catalog of Federal Domestic Assistance (CFDA) number for

this program is 93.602. The title is Assets for Independence

Demonstration Program (IDA Program).

D. Definition of Terms

For the purposes of this Announcement:

(1) AFI Act means the Assets for Independence Act (Title IV of the

Community Opportunities, Accountability, and Training and Educational

Services Act of 1998) which authorizes this program.

(2) Eligible Individual means an individual who meets the income

and net worth requirements of the program as set forth in PART II,

Section G(2)(a).

(3) Emergency Withdrawal means a withdrawal of only those funds, or

a portion of those funds, deposited by the eligible individual (Project

Participant) in an Individual Development Account of such Individual.

Such withdrawal must be approved by the Project Grantee, must be made

for an allowable purpose as defined in the AFI Act and under the

Project Eligibility Requirements set forth in PART II of this

Announcement, and must be repaid by the individual Project Participant

within 12 months of the withdrawal. [See PART II, Section G(6)(b)]

(4) Household means all individuals who share use of a dwelling

unit as primary quarters for living and eating separate from other

individuals.

(5) Individual Development Account means a trust created or

organized in the United States exclusively for the purpose of paying

the qualified expenses of an eligible individual, or enabling the

eligible individual to make an emergency withdrawal, but only if the

written governing instrument creating the trust meets the requirements

of the AFI Act and of the Project Eligibility and Requirements set

[[Page 4259]]

forth in this Announcement. [See PART II, Section G(3)]

(6) Net Worth of a Household means the aggregate market value of

all assets that are owned in whole or in part by any member of the

household, exclusive of the primary dwelling unit and one motor vehicle

owned by a member of the household, minus the obligations or debts of

any member of the household.

(7) Project Grantee means a Qualified Entity as defined in

paragraph (10) below, which receives a grant pursuant to this

Announcement.

(8) Project Participant means an Eligible Individual as defined in

paragraph (2) above who is selected to participate in a demonstration

project by a qualified entity.

(9) Project Year means, with respect to a funded demonstration

project, any of the 5 consecutive 12-month periods beginning on the

date the project is originally awarded a grant by ACF.

(10) Qualified Entity means an entity eligible to apply for and

operate an assets for independence demonstration project, under

Priority Area 1.0, as one or more not-for-profit 501(c)(3) tax exempt

organizations, or a State or local government agency, or a tribal

government, submitting an application jointly with such a not-for-

profit organization. States eligible to apply under Priority Area 2.0

are deemed to be Qualified Entities.

(11) Qualified Expenses means one or more of the expenses for which

payment may be made from an individual development account by a project

grantee on behalf of the eligible individual in whose name the account

is held, and is limited to expenses of (A) post-secondary education,

(B) first home purchase, and/or (C) business capitalization, as defined

below:

(A) Post-Secondary Educational Expenses means post-secondary

educational expenses paid from an individual development account

directly to an eligible educational institution, and includes:

(i) Tuition and Fees required for the enrollment or attendance of a

student at an eligible educational institution.

(ii) Fees, Books, Supplies, and Equipment required for courses of

instruction at an eligible educational institution.

(iii) Eligible Educational Institution means the following:

(I) Institution of Higher Education.--An institution described in

Section 101 or 102 of the Higher Education Act of 1965.

(II) Post-Secondary Vocational Education School.--An area

vocational education school (as defined in subparagraph (C) or (D) of

section 521(4) of the Carl D. Perkins Vocational and Applied Technology

Education Act (20 U.S.C. 2471(4)) which is in any State (as defined in

section 521(33) of such Act) as such sections are in effect on the date

of enactment of this title.

(B) First-Home Purchase means qualified acquisition costs with

respect to a principal residence for a qualified first-time homebuyer,

if paid from an individual development account directly to the persons

to whom the amounts are due. Within this definition:

(i) Principal Residence means a main residence, the qualified

acquisition costs of which do not exceed 100 percent of the average

purchase price applicable to a comparable residence in the area.

(ii) Qualified Acquisition Costs means the cost of acquiring,

constructing, or reconstructing a residence, including usual or

reasonable settlement, financing, or other closing costs.

(iii) Qualified First-Time Homebuyer means an individual

participating in the project involved (and, if married, the

individual's spouse) who has no present ownership interest in a

principal residence during the 3-year period ending on the date on

which a binding contract is entered into for purchase of the principal

residence to which this subparagraph applies.

(C) Business Capitalization means amounts paid from an individual

development account directly to a business capitalization account that

is established in a Qualified Financial Institution and is restricted

to use solely for qualified business capitalization expenses of the

eligible individual in whose name the account is held. Within this

definition:

(i) Qualified Business Capitalization Expenses means qualified

expenditures for the capitalization of a qualified business pursuant to

a qualified plan.

(ii) Qualified Expenditures means expenditures included in a

qualified plan, including but not limited to capital, plant, equipment,

working capital, and inventory expenses.

(iii) Qualified Business means any business that does not

contravene any law or public policy (as determined by the Secretary).

(iv) Qualified Plan means a business plan, or a plan to use a

business asset purchased, which--

(I) Is approved by a financial institution, a microenterprise

development organization, or a nonprofit loan fund having demonstrated

fiduciary integrity;

(II) Includes a description of services or goods to be sold, a

marketing plan, and projected financial statements; and

(III) may require the eligible individual to obtain the assistance

of an experienced entrepreneurial advisor.

(12) Qualified Financial Institution means a Federally insured

Financial Institution, or a State insured Financial Institution if no

Federally insured Financial Institution is available.

(13) Qualified Savings of the Individual for the Period means the

aggregate of the amounts contributed by an eligible individual to the

individual development account of the individual during the period.

(14) Secretary means the Secretary of Health and Human Services,

acting through the Director of the Office of Community Services.

(15) Tribal Government means a tribal organization, as defined in

section 4 of the Indian Self-Determination and Education Assistance Act

(24 U.S.C. 450b) or a Native Hawaiian organization, as defined in

section 9212 of the Native Hawaiian Education Act (20 U.S.C. 7912).

(16) Trust Agreement means the instrument by which an Individual

Development Account is established in the partnering Financial

Institution as required in PART II Section G(3).

(17) Trustee means the Qualified Financial Institution responsible

for management of the Individual Development Account pursuant to the

Trust Agreement.

Part II. Program Objectives and Requirements

The Office of Community Services (OCS) invites qualified entities

to submit competing grant applications for new demonstration projects

that will establish, support, manage, and participate in the evaluation

of Individual Development Accounts for eligible participants among

lower income individuals and families.

A. Program Priority Areas

There are two Program Priority Areas under this program: Priority

Area 1.0, under which OCS will accept applications from Qualified

Entities as described below and in Section G; and Priority Area 2.0,

under which OCS will accept applications from States for eligible

statewide individual asset-building programs carried out in a manner

consistent with the purposes of the Assets for Independence Act, that

were established under State law as of the date of enactment of that

act [October 27, 1998], and that as of such date were operating with an

annual State appropriation of not less than $1,000,000 in non-Federal

funds.

[[Page 4260]]

B. Eligible Applicants

Eligible applicants for the Assets for Independence Demonstration

Program Priority Area 1.0 are one or more not-for-profit 501(c)(3) tax

exempt organizations, or a State or local government agency, or a

tribal government, submitting an application jointly with such a not-

for-profit organization. Applicants must provide documentation of their

tax exempt status. The applicant can accomplish this by providing a

copy of the applicant's listing in the Internal Revenue Service's (IRS)

most recent list of tax-exempt organizations described in Section

501(c)(3) of the IRS code or by providing a copy of their currently

valid IRS tax exemption certificate. Failure to provide evidence of

Section 501(c)(3) tax exempt status will result in rejection of the

application.

For Priority Area 2.0 eligible applicants are States which are

carrying out any statewide individual asset-building program that is

carried out in a manner consistent with the purposes of the Assets for

Independence Act, and which was established under State law as of the

date of enactment of that act [October 27, 1998], and that as of such

date was operating with an annual State appropriation of not less than

$1,000,000 in non-Federal funds. Applicants under Priority Area 2.0

must provide documentation that their program meets these requirements.

C. Project and Budget Periods for Projects under Priority Area 1.0

This announcement is inviting applications under Priority Area 1.0

for project and budget periods of five (5) years. Grant actions, on a

competitive basis, will award funds for the full five year project and

budget period. As noted below in Section E., subject to the

availability of funds, grantees may be offered the opportunity to

compete for supplementary funding in later years during the five-year

project.

Note: Applicants should be aware that OCS funds awarded pursuant

to this Announcement will be from FY 1999 funds and may not be

expended after the end of the five-year Project/Budget Period to

support administration of the project or matching contributions to

Individual Development Accounts which may be open at that time.

D. Project and Budget Periods for Projects Under Priority Area 2.0

This announcement is inviting applications from eligible States

under Priority Area 2.0 for project periods of five (5) years. Awards

will be for an initial one-year budget period. Applications for

continuation grants funded under these awards beyond the one-year

budget period but within the five (5) year project period will be

entertained in subsequent years on a noncompetitive basis, subject to

satisfactory progress of the grantee, availability of funds, and a

determination that continued funding would be in the best interest of

the Government.

E. Funds Availability and Grant Amounts Under Priority Area 1.0

In Fiscal Year 1999 approximately $7.44 million is available under

Priority Area 1.0 for funding commitments to approximately 30 projects,

not to exceed $500,000 and averaging a total of approximately $250,000

for the five-year project and budget periods. Applicants are reminded

that grant awards are limited to the amount of committed non-Federal

cash matching contributions, and are urged to make realistic

projections of project needs over the five year project and propose

project budgets accordingly. Draw-down of grant funds over the five-

year budget period will be permitted in amounts that will match non-

Federal deposits into the Project Reserve Fund. (See PART II Section

I.) As noted above, subject to availability of funds and the progress

of individual demonstration projects, grantees may be offered the

opportunity to compete for supplementary funding in later years during

the five-year project, if there were a determination that this would be

in the best interest of the government.

F. Funds Availability and Grant Amounts Under Priority Area 2.0

In Fiscal Year 1999 up to approximately $1.86 million is available

under Priority Area 2.0 for up to two grants of up to approximately

$930,000 each for the first budget year of a five-year State project.

Any funds not awarded in FY 1999 under Priority Area 2.0 will be

available for project grants under Priority Area 1.0.

G. Project Eligibility and Requirements Under Priority Area 1.0

To be eligible for funding under Priority Area 1.0, projects must

be sponsored and managed by Qualified Entities and must meet the

following requirements:

(1) Reserve Fund. A grantee, other than a State or local government

agency or tribal government, must establish a Reserve Fund and maintain

it in accordance with accounting regulations prescribed by the

Secretary. (Note: Such regulations will be issued prior to grant awards

and made available to grantees at the time of the award.)

(a) Amounts in the Reserve Fund. As soon after receipt as is

practicable, such grantees shall deposit in such Reserve Fund the non-

Federal matching contributions received pursuant to the ``Non-Federal

Share Agreement'' or Agreements reached with the provider(s) of non-

Federal matching contributions. Once such non-Federal funds are

deposited in the Reserve Fund, grantees may draw down OCS grant funds

in amounts equal to such deposits. Similarly, as soon after receipt as

practical, such grantees shall deposit the income received from any

investment made of those funds (see below).

(b) Use of Amounts in the Reserve Fund. Grantees shall use the

amounts in such Reserve Fund as follows:

(A) At least 90.5% of the funds shall be used as matching

contributions, equally divided between federal and non-federal monies,

to individual development accounts for project participants, in an

agreed upon ratio to deposits made in those accounts by project

participants from earned income.

(B) At least 2% but no more than 9.5% of the Federal grant funds

shall be used toward the expense of collecting and providing to the

research organization evaluating the demonstration project the data and

information required for the evaluation.

(C) Up to 7.5% of the Federal grant funds may be used for

administration of the demonstration project and toward expenses of

assisting project participants to obtain the skills (including economic

literacy, budgeting, and business management skills), training, and

information necessary to achieve economic self-sufficiency through

activities requiring qualified expenses.

(D) Up to 9.5% of the required matching non-Federal funds may be

used for expenses outlined in Paragraphs (B) and (C), above, or other

project-related expenses as agreed by the Applicant and the providing

entity.

Note: If a grantee mobilizes matching non-Federal contributions

in excess of the required 100 percent match, such non-Federal funds

may be used however the grantee and provider of the funds may agree.

(c) Authority to Invest Funds. A grantee shall invest the amounts

in its Reserve Fund that are not immediately needed for payment under

paragraph (b), in a manner that provides an appropriate balance between

return, liquidity, and risk, and in accordance with Guidelines which

will be issued by the Secretary prior to making of grant awards and

provided to grantees at the time of grant award.

[[Page 4261]]

(d) Use of Investment Income. Income generated from investment of

Reserve Fund monies that are not allocated to existing Individual

Development Accounts may be added by grantees to the funds committed to

program administration, participant support, or evaluation data

collection. As noted in Paragraph M, below, once funds have been

committed as matching contributions to Individual Development Accounts,

then any income subsequently generated by such funds must be deposited/

credited to the credit of such accounts.

Note: No part of such income is to be considered as a Federal

funds contribution subject to the $2000/$4000 limitations under

Paragraph (5)(b), below.

(e) Joint Project Administration. If two or more qualified entities

are jointly administering a project, none shall use more than its

proportional share for the purposes described in subparagraphs (B) and

(C), of paragraph (b).

(2) Eligibility and Selection of Project Participants.

(a) Participant Eligibility. Eligibility for participation in the

demonstration projects is limited to individuals who are members of

households eligible for assistance under TANF or of households whose

adjusted gross income does not exceed the earned income amount

described in Section 32 of the Internal Revenue Code of 1986 (taking

into account the size of the household), and whose net worth as of the

end of the calendar year preceding the determination of eligibility

does not exceed $10,000, excluding the primary dwelling unit and one

motor vehicle owned by a member of the household.

(b) Participant Selection. In keeping with the statutory preference

in Section 405(d)(3) of the AFI Act for applications that target

individuals from neighborhoods or communities that experience high

rates of poverty or unemployment, grantees under Priority Area 1.0

only, in their selection of Project Participants, may restrict

participation in such neighborhoods or communities targeted by their

demonstration projects to individuals and households with lower incomes

and net worth than set forth above, provided that they shall

nonetheless select individuals that they determine to be best suited to

participate in the demonstration project.

(3) Establishment of Individual Development Accounts. Grantees must

create, through written governing instruments, trusts which will be

Individual Development Accounts on behalf of Project Participants.

Trustees must be Qualified Financial Institutions. The written

governing instruments of the trusts must contain the following

requirements:

(a) No contribution will be accepted unless in cash or by check.

Note: In accordance with U.S. Treasury Regulations and accepted

commercial practice, electronic transfer of funds will be considered

a cash payment for purposes of this Announcement.

(b) The assets of the trust will be invested in accordance with the

direction of the Project Participant after consultation with the

grantee and pursuant to the guidelines of the Secretary (which will be

issued prior to the making of grant awards and made available to

grantees at the time of grant award).

(c) The assets of the trust will not be commingled with other

property except in a common trust fund or common investment fund.

(d) In the event of the death of the Project Participant, any

balance remaining in the trust shall be distributed within 30 days of

the date of death to another Individual Development Account established

for the benefit of an eligible individual as directed by the

Participant in the Savings Plan Agreement under sub-paragraph (h),

below; provided, that the Participant may at their option direct the

disposition of any funds in the trust which were deposited in the trust

by the Participant.

(e) Except in the case of the death of the Project Participant,

amounts in the trust attributable to deposits by the grantee from grant

funds and matching non-federal contributions, and any interest thereon,

may be paid, withdrawn or distributed out of the trust only for the

purpose of paying qualified expenses of the Project Participant (i.e.

for post-secondary education expenses, first-home purchase, or business

capitalization. See PART I Section D(11))

(f) The procedures governing the withdrawal of funds from the

Individual Development Account, for both Qualified Expenses and

Emergency Withdrawals, which comply with the provisions of Paragraph

(6) Withdrawals from Individual Development Accounts, below.

(g) A provision, in accordance with the direction of the Project

Participant, for the distribution within 30 days of any balance in the

trust on the day following the death of such Participant, to another

individual development account established for the benefit of an

eligible individual.

[Note that this will mean that each Project Participant must

provide such direction at the time the Individual Development

Account is established. Provision should be made by grantees for

modification of such directions during the course of the project, in

the event of changing circumstances.]

(h) a ``Savings Plan Agreement'' between the grantee and the

Project Participant, which should include: (1) savings goals (including

a proposed schedule of savings deposits by the Participant from earned

income, which may be for a period of less than five years); (2) the

rate at which participant savings will be matched (from one dollar to

eight dollars for each dollar in savings deposited by Participant, up

to a total of $2000 during the five-year project period); (3) the

proposed qualified expense for which the Account is maintained, (4) any

training or education related to the qualified expense which the

Grantee agrees to provide and of which the Participant agrees to

partake, (5) contingency plans in the event that the Participant

exceeds or fails to meet projected savings goals or schedules, (6) any

agreement as to investments of assets described in subparagraph (c),

above, (7) provision for disposition of the funds in the trust

(account) in the event of the Participant's death (see sub-Paragraph

(d), above; and (8) provision for amendment of the Agreement with the

concurrence of both Grantee and Participant.

(4) Custodial Accounts. Grantees may establish Custodial Accounts

on behalf of minor children of Eligible Individuals, or up to age 24 in

the case of students, of disabled dependents of Eligible Individuals,

or of Eligible Individuals who are disabled. Such a Custodial Account

shall be treated as a trust if the assets of the custodial account are

held by a bank (as defined in section 408(n) of the Internal Revenue

Code of 1986) or another person who demonstrates, to the satisfaction

of the Secretary, that the manner in which such person will administer

the custodial account will be consistent with the requirements of the

AFI Act and paragraph (3), above, and if the custodial account would,

except for the fact that it is not a trust, constitute an individual

development account described above. In the case of a custodial account

treated as a trust by reason of the preceding sentence, the custodian

of that custodial account shall be treated as the trustee of the

account. Grantees are reminded that (1) the savings deposits into such

Custodial Accounts can be made only from earned income of the Eligible

Individual, and (2) there is a limitation of $2000 per individual and

$4000 per household on matching contributions from OCS grant funds.

[[Page 4262]]

(5) Deposits in Individual Development Accounts.

(a) Matching Contributions. Not less than once every three months

during the demonstration project grantees will make deposits into

Individual Development Accounts, or into a parallel account maintained

by the grantee, as matching contributions to deposits made by Project

Participants during the period since the previous deposit, from earned

income.

Note: Deposits made by Project Participants shall be deemed to

have been made from earned income so long as the Participant's

earned income (as defined in Section 911(d)(2) of the Internal

Revenue Code of 1986) during the period since the Participant's

previous deposit in the account is greater than the amount of the

current deposit.

Matching contributions must be made in equal amounts from Federal

grant funds and non-Federal public and private funds committed to the

project as matching contributions. Matching contribution deposits by

grantees (Federal plus non-Federal) may be from $1 to $8 for each

dollar of earned income deposited in the account by the Project

Participant in whose name the account is established. At the time such

deposits are made, the grantee will also deposit into the Individual

Development Account (or the parallel account) any interest or income

that has accrued since the previous deposit on amounts previously

deposited in or credited to that account.

(b) Limitations on Matching Contributions. Over the course of the

five year demonstration, not more than $2,000 in Federal grant funds

shall be provided through matching contributions to any one individual;

and not more than $4,000 shall be provided to any one household.

(6) Withdrawals from Individual Development Accounts.

(a) Limitations. No earlier than six months after the initial

deposit by a Project Participant in an Individual Development Account,

funds may be withdrawn from such account, but only upon written

approval of the Project Participant and of a responsible official of

the project grantee, and only for one or more Qualified Expenses (as

defined in Part I) or for an Emergency Withdrawal.

(b) Emergency Withdrawals. An Emergency Withdrawal may only be of

those funds, or a portion of those funds, deposited in the account by

the Project Participant, and for the following purposes:

(i) Expenses for medical care or necessary to obtain medical care

for the Project Participant or a spouse or dependent of the

Participant;

(ii) Payments necessary to prevent eviction of the Project

Participant from, or foreclosure on the mortgage for, the principal

residence of the Participant;

(iii) Payments necessary to enable the Project Participant to meet

necessary living expenses (food, clothing, shelter--including utilities

and heating fuel) following loss of employment.

(c) Reimbursement of Emergency Withdrawals. A Project Participant

shall reimburse an Individual Development Account for any funds

withdrawn from the account for an Emergency Withdrawal, not later than

12 months after the date of the withdrawal. If the Participant fails to

make the reimbursement, the Project Grantee must transfer the funds

deposited into the account or a parallel account from Federal and non-

Federal matching contributions, and any income generated thereby, back

to the Reserve Fund of the grantee, and use the funds to benefit other

individuals participating in the demonstration project involved. Any

remaining funds deposited by the Project Participant (plus any income

generated thereby) shall be returned to such Project Participant.

(d) Transfers to Individual Development Accounts of Family Members.

At the request of a Project Participant, and with the written approval

of a responsible official of the grantee, amounts may be paid from an

individual development account directly into another such account

established for the benefit of an eligible individual who is--

(i) The Participant's spouse, or

(ii) Any dependent of the Participant with respect to whom the

Participant is allowed a deduction under section 151 of the Internal

Revenue Code of 1986.

H. Project Eligibility and Requirements under Priority Area 2.0

State applicants which are eligible under Priority Area 2.0 (see

PART II Sections A and B) are subject to the same Project Eligibility

standards and Requirements as grantees under Priority Area 1.0 except

that where such standards or requirements are inconsistent with State

statutory requirements in effect as of the date of enactment of the AFI

Act (October 27, 1998), governing such statewide program, they shall

not apply to the program.

I. Non-Federal Matching Funds Requirements

Grantees must provide at least one hundred percent of the OCS grant

amount in cash non-Federal share for deposit to the Reserve Fund as

matching contribution. Public sector resources that can be counted

toward the minimum required match include funds from State and local

governments, and funds from various block grants allocated to the

States by the Federal Government providing the authorizing legislation

for these grants permits such use. (Note, for example, that Community

Development Block Grant (CDBG) funds may be counted as matching funds;

CSBG FUNDS MAY NOT.) To be considered for funding an Application must

include a copy of a ``Non-Federal Share Agreement'' or Agreements in

writing executed with the entity or entities providing the required

non-Federal matching contributions, on letterhead of the entity and

signed by a person authorized to make a commitment on behalf of the

entity. Such Agreement(s) must include: (1) a commitment to provide the

non-Federal funds contingent only on the grant award; (2) a schedule of

deposits to the project's Reserve Fund of at least ten percent of the

total committed for the entire project at the start of each of the five

Project Years, plus any additional amounts needed to assure that there

is at least $2000 of non-Federal matching contribution funds in the

Reserve Fund for each Individual Development Account that has been

opened; and (3) a statement that up to 9.5 percent of the required non-

Federal matching contribution funds it provides may be allocated from

the Reserve Fund to the support of project administration, Participant

support, data collection or other project-related expenses. (See

Section G(1)(b), above, and PART IV, Section D(5)) Grantees are

encouraged to mobilize additional resources, which may be cash or in-

kind contributions, Federal or non-Federal, for support of project

administration and assistance to Project Participants in obtaining

skills, knowledge, and needed support services. (See PART III, Element

IV)

Note: If a grantee mobilizes matching non-Federal contributions

in excess of the required 100 percent match, such non-Federal funds

may be used however the grantee and provider of the funds may agree.

Grantees will be held accountable for commitments of such excess

matching funds and additional resources proposed or pledged as part

of an approved application even if over the amount of the required

match.

J. Preferences

In accordance with the provisions of the AFI Act, in considering an

application to conduct a demonstration project under Priority Area 1.0,

OCS

[[Page 4263]]

will give preference to an application that

(1) Demonstrates the willingness and ability of the applicant to

select individuals for participation in the project who are

predominantly from households in which a child (or children) is living

with the child's biological or adoptive mother or father, or with the

child's legal guardians;

(2) Provides a commitment of non-Federal funds with a

proportionately greater amount of such funds committed from private

sector sources; and

(3) Targets individuals residing within one or more relatively

well-defined neighborhoods or communities (including rural communities,

public housing developments, Empowerment Zones and Enterprise

Communities) that experience high rates of poverty or unemployment.

K. Multiple Applications

Qualified Entities may submit more than one application for

different demonstration projects, but no more than one such application

will be funded to the same Qualified Entity.

L. Treatment of Program Income

As noted in Section G(1)(d), above, income generated from

investment of unallocated funds in the Reserve Fund may be added to the

funds already committed from the Reserve Fund to program

administration, participant support, or evaluation data collection.

However, once funds have been committed as matching contributions to

Individual Development Accounts, then any income generated by such

funds must be deposited proportionately to the credit of such accounts.

Note: No part of such income is to be considered as a Federal

funds contribution subject to the $2000/$4000 limitations under

Section G(5)(b), above. (See also Sections G(1)(d) and G(5)(a),

above).

M. Agreements With Qualified Financial Institutions

All applicants under Priority Area 1.0 must enter into agreements

with one or more Qualified Financial Institutions, under which Reserve

Funds and Individual Development Accounts will be established and

maintained. To be considered for funding, an Application under Priority

Area 1.0 must include a copy of an Agreement or Agreements with one or

more partnering Qualified Financial Institutions, which state(s) that

the accounting procedures to be followed in account management will

conform to Guidelines established by the Secretary (which will be

issued prior to grant awards and made available to grantees at time of

award), and under which the partnering Financial Institution agrees to

provide data and reports as requested by the applicant. The Agreement

may also include other services to be provided by the partnering

Financial Institution that could strengthen the program, such as

Financial Education Seminars, favorable pricing or matching

contributions provided by the Financial Institution, and assistance in

recruitment of Project Participants.

Part III. The Project Description, Program Proposal Elements and

Review Criteria

The project description provides a major means by which an

application is evaluated and ranked to compete with other applications

for available assistance. The project description should be concise and

complete and should address the activity for which Federal funds are

being requested. Supporting documents should be included where they can

present information clearly and succinctly. Cross-referencing should be

used rather than repetition. OCS is particularly interested in specific

factual information and statements of measurable goals in quantitative

terms. Project descriptions are evaluated on the basis of substance,

not length. Extensive exhibits are not required. (Supporting

information concerning activities that will not be directly funded by

the grant or information that does not directly pertain to an integral

part of the grant funded activity should be placed in an appendix.)

Pages should be numbered and a table of contents should be included for

easy reference.

A. Project Summary

Applicants should provide a Project Summary of not more than one

page which should be page 1 of the Project Narrative-/Description.

B. Project Goals, Application Brevity

The ultimate goals of the projects to be funded under the Assets

for Independence Demonstration Program are: (1) to achieve, through

project activities and interventions, the creation of asset

accumulation opportunities for recipients of Temporary Assistance for

Needy Families (TANF) and other eligible individuals and families that

can lead to economic self-sufficiency of members of the communities

served through activities requiring one or more qualified expenses; (2)

to support and make possible the evaluation of the effectiveness of

these interventions and of the project design through which they were

implemented; and (3) thus to make possible the replication of

successful programs. As noted here, OCS intends to make the awards of

all the above grants on the basis of brief, concise narrative project

descriptions. The elements and format of these project descriptions,

along with the review criteria that will be used to evaluate them, will

be outlined in this Part.

In order to simplify the application preparation and review

process, OCS seeks to keep grant proposals cogent and brief.

Applications with project narratives (excluding appendices) of more

than 30 letter-sized pages of 12 c.p.i. type or equivalent on a single

side will not be reviewed for funding. Applicants should prepare and

assemble their project description using the following outline of

required project elements. They should, furthermore, build their

project concept, plans, and application description upon the guidelines

set forth for each of the project elements.

C. Proposal Elements and Review Criteria for Applications Under

Priority Area 1.0

Applications which pass the initial screening will be assessed and

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

application reviewed. These numerical scores will be supported by

explanatory statements on a formal rating form describing major

strengths and weaknesses under each applicable criterion published in

the Announcement. Scoring will be based on a total of 100 points.

The competitive review of proposals will be based on the degree to

which applicants:

(1) Adhere to the requirements in PART II and incorporate each of

the Elements and Sub-Elements below into their proposals, so as to:

(2) Describe convincingly a project that will develop new asset

accumulation opportunities for TANF recipients and other eligible

individuals and families that can lead to a transition from dependency

to economic self-sufficiency through activities requiring one or more

qualified expenses; and

(3) Provide for the collection of relevant data to support the

testing and evaluation of the project design, implementation, and

outcomes so as to make possible replication of a successful program.

For each of the Project Elements or Sub-Elements below there is at

the end of the discussion a suggested number of pages to be devoted to

the particular element or sub-element. These are suggestions only; but

the applicant must remember that the overall Project Narrative must not

be longer than 30 pages.

[[Page 4264]]

Element I. Organizational Experience and Administrative Capability.

(Total Weight of 0 to 20 Points

Sub-Element I(a) Experience and Staffing. (Weight of 0-10 Points)

The applicant should cite its capability and relevant experience in

developing and operating programs which deal with poverty problems

similar to those to be addressed by the proposed project, including the

provision of supportive services to TANF recipients and other low

income individuals and families seeking to achieve economic stability

and self-sufficiency, as well as with evaluations and data collection.

Applications should identify applicant agency executive leadership in

this section and briefly describe their involvement in the proposed

project and provide assurance of their commitment to its successful

implementation. The application should note and justify the priority

that this project will have within the agency including the facilities

and resources that it has available to carry it out.

Finally, the application must identify the two or three individual

staff persons who will have the most responsibility for managing the

project, coordinating services and activities for participants and

partners, and for achieving performance targets. The focus should be on

the qualifications, experience, capacity and commitment to the program

of the key staff persons who will administer and implement the project.

The person identified as Project Director should have supervisory

experience, experience in working with financial institutions and

budget related problems of the poor, and experience with the target

population. Because this is a demonstration project within an already-

established agency, OCS expects that the key staff person(s) would be

identified, if not hired.

It is suggested that applicants use no more than 3 pages for this

sub-Element, not counting actual resumes or position descriptions,

which should be included in an Appendix to the proposal.

Sub-Element I(b) Ability to Assist Participants. (Weight of 0-10

Points)

The experience and ability of the applicant in recruiting,

educating, and assisting project participants to increase their

economic independence and general well-being through the development of

assets. The application should cite the organization's experience in

collaborative programming and operations which involve financial

institutions and financial planning, budget counseling, educational

guidance, preparation for home ownership, and self-employment training.

The application should also cite the roles, responsibilities, and

experience of any other organizations that will be collaborating with

the Applicant to assist and support Project Participants in the pursuit

of their goals under the project.

It is suggested that applicants use no more than 3 pages for this

sub-Element. Any supportive materials or reports should be included in

the Appendix to the proposal.

Element II. Sufficiency of the Project Theory, Design, and Plan (Total

Weight of 0-40 Points)

The degree to which the project described in the application

appears likely to aid project participants in achieving economic self-

sufficiency through activities requiring one or more qualified

expenses.

OCS seeks to learn from the application why and how the project as

proposed is expected to establish the creation of new opportunities for

asset accumulation by eligible individuals and families that can lead

to significant improvements in individual and family self-sufficiency

through activities requiring one or more qualified expenses: for post-

secondary education, home ownership, and/or qualified business

capitalization.

Applicants are urged to design and present their project in terms

of a conceptual cause-effect framework that makes clear the

relationship between what the project plans to do and the results it

expects to achieve.

Sub-Element II(a). Description of Target Population, Analysis of Need,

and Project Assumptions (Weight of 0-15 Points)

The project design or plan should begin with identifying the

underlying assumptions about the program. These are the beliefs on

which the proposed program is built. They should begin with assumptions

about the strengths and needs of the population to be served; about how

the accumulation of assets will enable project participants to build on

those strengths in their quest to achieve self-sufficiency; about what

anticipated needs of the participants could be barriers to that

achievement, and why and how the services or interventions proposed by

the applicant are appropriate and will meet those needs and remove such

barriers; and about the impact the proposed interventions will have on

the project participants.

In other words, the underlying assumptions of the program are the

applicant's analysis of the participant strengths and potential to be

supported and their needs and problems to be addressed by the project,

and the applicant's theory of how its proposed interventions will

address those strengths and needs to achieve the desired result. Thus a

strong application is based upon a clear description of the needs and

problems to be addressed and a persuasive understanding of the causes

of those problems.

In this sub-element of the proposal the applicant must precisely

identify the target population to be served. The geographic area to be

impacted should then be briefly described, citing the percentage of

residents who are low-income individuals and TANF recipients, as well

as the unemployment rate, and other data that are relevant to the

project design.

The application should include an analysis of the identified

personal barriers to employment, job retention and greater self-

sufficiency faced by the population to be targeted by the project.

(These might include such problems as illiteracy, substance abuse,

family violence, lack of skills training, health or medical problems,

need for childcare, lack of suitable clothing or equipment, or poor

self-image.) The application should also include an analysis of the

identified community systemic barriers which the project will seek to

overcome. These might include lack of public transportation; lack of

markets; unavailability of financing, insurance or bonding; inadequate

social services (employment service, child care, job training); high

incidence of crime; inadequate health care; or environmental hazards.

Applicants should be sure not to overlook the personal and family

services and support needed by project participants after they are on

the job which will enhance job retention and advancement, and help to

assure that benefits attainable through asset accumulation are not

wasted by crises beyond the participants' control.

Note: In accordance with the legislative preferences set forth

in Part III Section J, above, the maximum score for this sub-Element

in the review of applications under Priority Area 1.0 will only be

given to applications which--

(1) Demonstrate the willingness and ability of the applicant to

select individuals for participation in the project who are

predominantly from households in which a child (or children) is

living with the child's biological or adoptive mother or father, or

with the child's legal guardians; and

(2) Target individuals residing within one or more relatively

well-defined neighborhoods or communities (including rural

communities, public housing developments, Empowerment Zones and

[[Page 4265]]

Enterprise Communities) that experience high rates of poverty or

unemployment.

Each of these preferences will be valued at 2 points in the

proposal review, so that the absence of one will reduce the review

score for the sub-Element by 2 points; the absence of both will

reduce the review score by 4 points.

It is suggested that applicants use no more than 5 pages for this

Sub-Element.

Sub-Element II(b). Project Approach and Design: Interventions,

Outcomes, and Goals (Weight of 0-20 Points)

The Application should outline a plan of action which describes the

scope and detail of how the proposed work will be accomplished and

result in outcomes which will build on the strengths of the Program

Participants and assist them to overcome the identified personal and

systemic barriers to achieving self-sufficiency. In other words, what

will the project staff do with the resources provided to the project

and how will what they do (interventions) assist project participants

to accumulate assets in Individual Development Accounts and use those

assets for qualified expenses in a manner that will lead them to self-

sufficiency?

In this sub-element the applicant should discuss all of the planned

activities and interventions and should explain the reasons for taking

the approaches proposed.

The application should include here a brief discussion of the

following aspects of the proposed project:

(1) Plans for recruitment of participants into the program;

(2) Criteria for selection of participants from among the eligible

target population;

(3) The proposed rate(s) for matching contributions to Individual

Development Accounts. (If more than one rate project-wide is proposed,

the rationale should be provided);

(4) The provisions of the ``Savings Plan Agreements'' proposed to

be made with Project Participants and included in the Trust Agreements

establishing Individual Development Accounts. (A sample Savings Plan

Agreement may be provided to satisfy this criterion.) [See PART II,

Section G(3)(g) of this Announcement]

(5) The role of partnering financial institutions in account

management and data collection and reporting;

(6) The role of the applicant and partners in providing training,

counseling, and other types of support to participants, including those

activities documented as in-kind contributions to the project under

Element IV, below; and

(7) Any plans included in the proposed project for crisis

intervention activities that will be able to provide assistance to

participants so as to avoid emergency withdrawals which might

jeopardize continued participation in the project.

It is suggested that applicants use no more than 9 pages for this

Sub-Element, not including any sample ``Savings Plan Agreement'', which

if provided should be included in an Appendix.

Sub-Element II(c). Work Plan, Projections, Time Lines. (Weight of

0-5 Points)

Applicant should provide quantitative quarterly projections of the

activities to be carried out and such information as the projected

number of participants to be enrolled, the number of Individual

Development Accounts to be opened, the number and amount of deposits,

and the number and types of services provided to participants. The plan

should briefly describe the key project tasks, and show the timelines

and major milestones for their implementation. Applicant may be able to

use a simple Gantt or time line chart to convey the work plan in

minimal space.

It is suggested that applicants use no more than 2 pages for this

Sub-Element.

Element III. Evaluation Data: Adequacy of Plan for Providing

Information for Evaluation (Weight of 0-15 Points)

Applicant should identify the kinds of data to be collected,

maintained, and/or disseminated. The AFI Act makes provision for a

national evaluation of the demonstration program as a whole, and sets

aside 2% of the appropriated funds for its support. In addition, each

grantee must spend at least 2% of its grant funds (but not more than

9.5%) for the collection of data needed to support the evaluation. This

Element of the application will be judged on the adequacy of the plan

for providing information relevant to an evaluation of the project.

Note: The maximum score for this Element will be awarded in the

review process to applications that include a statement that the

applicant agrees to use the ``MIS IDA'' information system software

developed by the Center for Social Development, or a comparable and

compatible system, for the maintenance, collection, and transmission

of data from the proposed project.

It is suggested that applicants use no more than 2 pages for this

Element.

Element IV. Commitment of Non-Federal Funds and Additional Resources.

(Weight of 0-15 Points)

The aggregate amount of direct funds from non-federal public sector

and from private sources that are formally committed to the project as

matching contributions; and the mobilization of additional resources in

support of project .

As noted below in Part IV, Paragraph D Initial OCS Screening, only

applications which include written documentation of a commitment to the

provision of a non-Federal share, in cash as distinguished from in-

kind, of at least the amount of the total federal budget for the

project will be considered for competitive review.

At the same time, OCS has determined that the strict legislative

limitations on the use of Federal grant funds and of the minimum

required non-Federal match (at least 90.5% of each must go toward

matching deposits in Individual Development Accounts) mean that

important training, counseling and support activities, critical to the

success of a project, can only be supported by additional resources,

both of the applicant itself and mobilized by the applicant in the

community.

Consequently, applicants documenting only the required non-Federal

100% cash matching contributions to the project will receive no more

than 8 points for this Element, subject to the Notation below regarding

legislative preferences.

In this section the applicant should identify those additional

resources, cash and in-kind, which will be dedicated to support of

those activities and interventions identified in sub-Element II(b),

such as training, counseling, and crisis intervention; and any staff

activities described in Element III. Such resources may be existing

programs of the applicant or a project partner, such as Family

Development, Literacy classes, or Small Business Training, in which

Project Participants will be enrolled as part of their efforts to

achieve self-sufficiency. This Element will be judged in the review

process on the adequacy of the mobilized resources to support the

activities and interventions described in sub-Element II(b). The

commitment of such resources to the project must be documented in

writing and submitted as an Appendix to the Application. Because such

additional resources are not part of the legislatively mandated non-

Federal matching requirement, these additional resources may be of

Federal or non-Federal origin, public or private, in cash or in-kind.

Applicants are reminded that they will be held accountable for

commitments of such additional resources even if over the amount of the

required match.

Note: In accordance with the legislative preferences set forth

in Part III Section J,

[[Page 4266]]

above, the maximum score for this Element, in the review of

applications under Priority Area 1.0 only, will only be given to

applications which provide a commitment of required non-Federal cash

matching contributions with a proportionately greater amount of such

funds committed from private sector as opposed to public sources.

This preference will be valued at 2 points in the proposal review,

so that the absence of such a commitment will reduce the review

score for the Element by 2 points.

It is suggested that no more than 3 pages be used for this Element,

not including any letters of commitment or partnership agreements,

which should be put in an Appendix to the proposal.

Element V. Results or Benefits Expected: Significant and Beneficial

Impacts. (Weight of 0-10 Points)

The proposed project is expected to produce permanent and

measurable results that will reduce the incidence of poverty in the

community and lead TANF recipients and other eligible individuals and

families toward economic self-sufficiency. Results are expected to be

quantifiable in terms of the number of Individual Development Accounts

opened, their rate of growth, the number and size of withdrawals for

each of the three qualified expenses, and the impact of the payment of

those expenses on the participants' movement toward self-sufficiency.

Applicants should set forth their realistic goals and projections

for attainment of these and other beneficial impacts of the proposed

project.

Critical issues or potential problems that might affect the

achievement of project objectives should be explicitly addressed, with

an explanation of how they would be overcome, and how the objectives

will be achieved notwithstanding any such problems.

It is suggested that no more than 3 pages be used for this Element.

D. Proposal Elements and Review Criteria for Application Under Priority

Area 2.0.

Applications under Priority area 2.0 will be reviewed by OCS staff

for their satisfactory adherence to the following criteria. These

criteria will be considered thresholds for eligible State Applicants to

receive grants and participate in the IDA Program. Consequently, rather

than a rating score in points, reviewers will rate the Applications as

having met the criterion satisfactorily or not. To be recommended for

funding Applications under Priority Area 2.0 must satisfactorily meet

all of the following criteria:

Element I: Sufficiency of the Project

Applicants should describe the project to be carried out, including

participant recruitment, criteria for participant selection, the

rate(s) by which participant savings will be matched, the role of the

State and local project administrators in providing training,

counseling, and other types of support to participants designed to help

them achieve economic self-sufficiency. The Application will be

reviewed on the degree to which the project described in the

application appears likely to aid project participants in achieving

economic self-sufficiency through activities requiring one or more

qualified expenses.

Element II: Administrative Ability

The Application will be reviewed on the experience and ability of

the applicant to responsibly administer the project. The application

should describe how the applicant proposes to administer the project,

what collaboration exists or is proposed with financial institutions

for management of Individual Development Accounts, and the type of

agreement reached with Project Participants with regard to planned

savings and the goal or goals to be pursued in achieving one or more

the Qualified Expenses. The Application should include a statement that

the accounting procedures to be followed in account management will

conform to Guidelines established by the Secretary (which will be

issued prior to grant awards and made available to grantees at time of

the award), and that any partnering financial institution agrees to

provide data and reports as requested by the applicant.

Element III: Ability to Assist Participants

The application should document the experience and ability of the

applicant in recruiting, educating, and assisting project participants

to increase their economic independence and general well-being through

the development of assets.

Element IV: Commitment of Non-Federal Funds

The aggregate amount of direct funds from non-federal public sector

and from private sources that are formally committed to the project as

matching contributions to Individual Development Accounts. The

application must contain documentation of commitment of non-Federal

matching cash contribution to the project in an amount equal to the

grant requested, which will be available to the project during the

Budget Period of the grant.

Element V: Adequacy of Plan for Providing Information for Evaluation

The adequacy of the plan for providing information relevant to an

evaluation of the project. Applications that include a statement that

the applicant agrees to use the ``MIS IDA'' information system software

developed by the Center for Social Development, or a comparable and

compatible system, for the maintenance, collection, and transmission of

data from the proposed project will be deemed to have satisfactorily

met this Criterion.

D. Funding Reconsideration

After Federal funds are exhausted for this grant competition,

applications which have been independently reviewed and ranked but have

no final disposition (neither approved nor disapproved for funding) may

again be considered for funding. Reconsideration may occur at any time

funds become available within twelve (12) months following ranking. ACF

does not select from multiple ranking lists for a program. Therefore,

should a new competition based on the same review criteria be scheduled

and applications remain ranked without final disposition, such

applications will be entered into the rank order list for the new

competition in accordance with their previous score. At the same time,

such applicants will be informed of their opportunity instead to

reapply for the new competition, if they so choose, and to the extent

practical, in which case the previous application will be disregarded.

Part IV. Application Procedures

A. Application Development/Availability of Forms

In order to be considered for a grant under this program

announcement, an application must conform to the Program Requirements

set out in Part II and be prepared in accordance with the guidelines

set out in Part III, above. It must be submitted on the forms supplied

in the attachments to this Announcement and in the manner prescribed

below. Attachments A through I contain all of the standard forms

necessary for the application for awards under this OCS program. These

attachments and Parts IV and V of this Announcement contain all the

instructions required for submittal of applications.

Additional copies may be obtained by writing or telephoning the

office listed under the section entitled FOR FURTHER INFORMATION

CONTACT at the beginning of this announcement. In addition, this

Announcement is accessible on the

[[Page 4267]]

Internet through the OCS WEBSITE for reading or downloading at ``http:/

/www.acf.dhhs.gov/programs/ocs'' under ``funding opportunities''.

The applicant must be aware that in signing and submitting the

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

the Federal requirements concerning the drug-free workplace, debarment

regulations and the Certification Regarding Environmental Tobacco

Smoke, set forth in Attachments G, I and H.

PART III contains instructions for the substance and development of

the project narrative. PART V contains instructions for completing

application forms. PART VI, Section A describes the contents and format

of the application as a whole.

B. Application Submission

(1) Number of Copies Required. One signed original application and

four copies should be submitted at the time of initial submission. (OMB

0970-0139)

(2) Deadline. Mailed applications shall be considered as meeting

the announced deadline of April 27, 1999 if they are either received on

or before the deadline date or postmarked on or before the deadline

date and received by ACF in time for the independent review. Mailed

applications must be sent to: U.S. Department of Health and Human

Services, Administration for Children and Families, Office of grants

Management, Office of Child Support Enforcement, ``Attention: IDA

Program'', 370 L'Enfant Promenade, S.W., Washington, D.C. 20447.

Applicants must ensure that a legibly dated U.S. Postal Service

postmark or a legibly dated machine produced postmark of a commercial

mail service is affixed to the envelope/package containing the

application(s). To be acceptable as proof of timely mailing, a postmark

from a commercial mail service must include the logo/emblem of the

commercial mail service company and must reflect the date the package

was received by the commercial mail service company from the applicant.

Private Metered postmarks shall not be acceptable as proof of timely

mailing.

Applications handcarried by applicants, applicant couriers,

overnight/express delivery services, or by other representatives of the

applicant shall be considered as meeting an announced deadline if they

are received on or before the deadline date, between the hours of 8:00

a.m. and 4:30 p.m., EST, at the U.S. Department of Health and Human

Services, Administration for Children and Families, Office of grants

Management, Office of Child Support Enforcement, Mailroom, 2nd Floor

(near loading dock), Aerospace Center, 901 D Street, S.W., Washington,

D.C. 20024, between Monday and Friday (excluding Federal holidays). The

address must appear on the envelope/package containing the application

with the note ``Attention: IDA Program''. (Applicants are cautioned

that express/overnight mail services do not always deliver as agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

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

submission and time of receipt.

(3) Late applications. Applications which do not meet the criteria

above are considered late applications. ACF shall notify each late

applicant that its application will not be considered in the current

competition.

(4) Extension of deadlines. ACF may extend an application deadline

when circumstances such as acts of God (floods, hurricanes, etc.)

occur, or when there are widespread disruption of the mail service, or

in other rare cases. Determinations to extend or waive deadline

requirements rest with ACF's Chief Grants Management Officer.

C. Intergovernmental Review

This program is covered under Executive Order 12372,

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

``Intergovernmental Review of Department of Health and Human Services

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

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

Note: STATE/TERRITORY PARTICIPATION IN THE INTERGOVERNMENTAL

REVIEW PROCESS DOES NOT SIGNIFY APPLICANT ELIGIBILITY FOR FINANCIAL

ASSISTANCE UNDER A PROGRAM. A POTENTIAL APPLICANT MUST MEET THE

ELIGIBILITY REQUIREMENTS OF THE PROGRAM FOR WHICH IT IS APPLYING

PRIOR TO SUBMITTING AN APPLICATION TO ITS SPOC, IF APPLICABLE, OR TO

ACF.

Attachment J is a Single Point of Contact List for participating

jurisdictions. The following jurisdictions have elected not to

participate in the Executive Order process: Alabama, Alaska, American

Samoa, Colorado, Connecticut, Kansas, Hawaii, Idaho, Louisiana,

Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Oklahoma,

Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont,

Virginia, and Washington. Applicants from these jurisdictions, for

projects administered by federally recognized Indian Tribes, or which

are States (under Priority Area 2.0) need take no action in regard to

E.O. 12372. All remaining jurisdictions participate in the Executive

Order process and have established SPOCs. Applicants from participating

jurisdictions should contact their SPOCs as soon as possible to alert

them of the prospective applications and receive instructions.

Applicants must submit any required material to the SPOCs as soon as

possible so that the program office can obtain and review SPOC comments

as part of the award process. The applicant must submit all required

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

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

Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from

the application deadline to comment on proposed awards. SPOCs are

encouraged to eliminate the submission of routine endorsements as

official recommendations. Additionally, SPOCs are requested to clearly

differentiate between mere advisory comments and those official State

process recommendations which may trigger the ``accommodate or

explain'' rule. When comments are submitted directly to ACF, they

should be addressed to: Department of Health and Human Services,

Administration for Children and Families, Office of Grants Management,

Office of Child Support Enforcement, 370 L'Enfant Promenade, S.W., Mail

Stop 6C-462, Washington, D.C. 20447.

D. Initial OCS Screening

Each application submitted under this program announcement will

undergo a pre-review to determine that the application was postmarked

by the closing date and submitted in accordance with the instructions

in this announcement.

All applications that meet the published deadline requirements as

provided in this Program Announcement will be screened for completeness

and conformity with the following requirements. Only complete

applications that meet the requirements listed below will be reviewed

and evaluated competitively. Other applications will be returned to the

applicants with a notation that they were unacceptable and will not be

reviewed.

The following requirements must be met by all applicants except as

noted:

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

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

[[Page 4268]]

(SF-424A), and signed ``Assurances'' (SF 424B) completed according to

instructions published in Part V and Attachments A, B, and C of this

Program Announcement.

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

requires that the narrative portion of the application be limited to 30

pages, typewritten on one side of the paper only with one-inch margins

and type face no smaller than 12 characters per inch (cpi) or

equivalent. The Budget Narrative, Charts, exhibits, resumes, position

descriptions, letters of support or commitment, Agreements with

partnering organizations, and Business Plans (where required) are not

counted against this page limit. IT IS STRONGLY RECOMMENDED THAT

APPLICANTS FOLLOW THE FORMAT AND CONTENT FOR THE NARRATIVE DESCRIBED IN

THE PROGRAM ELEMENTS SET OUT IN PART III.

(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. Applicants must also be aware that the

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

that listed as corresponding to the Employer Identification Number

(Item 6).

(4) In the case of applications under Priority Area 1.0 only,

application must contain documentation of the applicant's tax exempt

status as required under Part II, Section A.

(5) In the case of Application under Priority Area 1.0 only, the

Application must include a copy of a ``Non-Federal Share Agreement'' or

Agreements in writing executed with the entity or entities providing

the required non-Federal matching contributions, on letterhead of the

entity and signed by a person authorized to make a commitment on behalf

of the entity. Such Agreement(s) must include: (1) a commitment to

provide the non-Federal funds contingent only on the grant award; (2) a

schedule of deposits to the project's Reserve Fund of at least ten

percent of the total committed for the entire project at the start of

each of the five Project Years, plus any additional amounts needed to

assure that there is at least $2000 of non-Federal matching

contribution funds in the Reserve Fund for each Individual Development

Account that as been opened; and (3) a statement that up to 9.5 percent

of the required non-Federal matching contribution funds it provides may

be allocated from the Reserve Fund to the support of project

administration, Participant support, data collection or other project-

related expenses. (See PART II Sections G(1)(b) and I.) Grantees are

encouraged to mobilize additional resources, which may be cash or in-

kind contributions, Federal or non-Federal, for support of project

administration and assistance to Project Participants in obtaining

skills, knowledge, and needed support services. (See PART III, Element

IV.)

Note: If a grantee mobilizes matching non-Federal contributions

in excess of the required 100 percent match, such non-Federal funds

may be used however the grantee and provider of the funds may agree.

(See also PART II, Section J.)

(6) In the case of Application under Priority Area 1.0 only, the

Application must include a copy of an Agreement between the Applicant

and one or more Qualified Financial Institution(s), which states that

the accounting procedures to be followed in account management will

conform to Guidelines established by the Secretary (which will be

issued prior to grant awards and provided to grantees at time of

award), and under which the partnering financial institution will agree

to provide data and reports as requested by the applicant.

E. Consideration of Applications under Priority Area 1.0

Applications which pass the initial OCS screening will be reviewed

and rated by an independent review panel on the basis of the specific

review criteria described in Part III, above. The review criteria were

designed to assess the quality of a proposed project, and to determine

the likelihood of its success. The evaluation criteria are closely

related and are considered as a whole in judging the overall quality of

an application. Points are awarded only to applications which are

responsive to the review criteria within the context of this program

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

OCS program staff in considering competing applications. Reviewers'

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

only factors considered.

Applications generally will be considered in order of the average

scores assigned by reviewers. However, highly ranked applications are

not guaranteed funding since other factors are taken into

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

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

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

evaluation and input; the amount and duration of the grant requested

and the proposed project's consistency and harmony with OCS goals and

policy; geographic distribution of applications; previous program

performance of applicants; compliance with grant terms under previous

HHS grants, including the actual dedication to program of mobilized

resources as set forth in project applications; audit reports;

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

audit disallowances on previous OCS or other Federal agency grants.

Since non-Federal reviewers will be used for review of applications

under Priority Area 1.0, applicants may omit from the application

copies (under Priority Area 1.0 only) which will be made available to

the non-Federal reviewers, the specific salary rates or amounts for

individuals identified in the application budget. Rather, only summary

information is required.

OCS reserves the right to discuss applications with other Federal

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

record and the documents submitted.

F. Consideration of Applications under Priority Area 2.0

Applications under Priority Area 2.0 will be reviewed by OCS staff

for eligibility under the criteria set out in PART II, Section B, and

for compliance with the threshold criteria listed in PART III, Section

D. Those meeting the criteria will be recommended for funding to the

Director of OCS for his consideration.

Part V. Instructions for Completing Application Forms

The standard forms attached to this announcement shall be used to

apply for funds under this program announcement.

It is suggested that you reproduce single-sided copies of the SF-

424 and SF-424A, and type your application on the copies. Please

prepare your application in accordance with instructions provided on

the forms (Attachments A and B) as modified by the OCS specific

instructions set forth below:

Provide line item detail and detailed calculations for each budget

object class identified on the Budget Information form. Detailed

calculations must include estimation methods, quantities, unit costs,

and other similar quantitative detail sufficient for the calculation to

be duplicated. The detailed budget must also include a breakout by the

funding sources identified in Block 15 of the SF-424.

Provide a narrative budget justification which describes how the

categorical costs are derived. Discuss

[[Page 4269]]

the necessity, reasonableness, and allocability of the proposed costs.

A. SF-424--Application for Federal Assistance (Attachment A)

Top of Page

Where the applicant is a previous Department of Health and Human

Services grantee, enter the Central Registry System Employee

Identification Number (CRS/EIN) and the Payment Identifying Number, if

one has been assigned, in the Block entitled Federal Identifier located

at the top right hand corner of the form (third line from the top).

Item 1. For the purposes of this announcement, all projects are

considered Applications; there are no Pre-Applications.

Item 7. If applicant is a State, enter ``A'' in the box. If

applicant is an Indian Tribe enter ``K'' in the box. If applicant is a

non-profit organization enter ``N'' in the box.

Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.

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

programs covered under this announcement is 93.602. The title is ``IDA

Program''.

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

indicate the priority area for which funds are being requested. Use the

following letter designations:

I--Individual projects under Priority Area 1.0

S--Statewide projects under Priority Area 2.0

Item 13. Proposed Project--The project start date must begin on or

before September 30, 1999; the ending date should be calculated on the

basis of 60-month Project Period.

Item 15a. This amount should be no greater than $500,000 for

applications under Priority Area 1.0; no greater than $1,000,000 for

applications under Priority Area 2.0.

Item 15b-e. These items should reflect both cash and third-party,

in-kind contributions for the Project Period.

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

(Attachment B)

In completing these sections, the Federal Funds budget entries will

relate to the requested OCS funds only, and Non-Federal will include

mobilized funds from all other sources--applicant, state, local, and

other. Federal funds other than requested OCS funding should be

included in Non-Federal entries.

Sections A, B, and C of SF-424A should reflect budget estimates for

each year of the Project Period.

Section A--Budget Summary

You need only fill in lines 1 and 5 (with the same amounts):

Col. (a): Enter ``IDA Program'' as Item number 1. (Items 2, 3, 4,

and 5 should be left blank.)

Col.(b): Catalog of Federal Domestic Assistance number is 93.602.

Col.

(c) and (d): not relevant to this program.

Column (e)-(g): enter the appropriate amounts in items 1. and 5.

(Totals) Column e should not be more than $500,000 for applications

under Priority Area 1.0; or more than $1,000,000 for applications under

Priority Area 2.0 (although as noted in Part II grants are expected to

be of approximately $930,000); and in no case can it be more than the

committed non-Federal matching cash contribution.

Section B--Budget Categories

(Note that the following information supersedes the instructions

provided with the Form in Attachment C)

Columns (1)-(5): For each of the relevant Object Class Categories:

Column 1: Enter the OCS grant funds for the full 5-year budget

period. With regard to Class Categories, at least 90.5 percent of OCS

grant funds should be entered in ``h. Other'', representing the funds

to be deposited in the Reserve Fund. At least 2 percent of OCS grant

funds, for data collection, should be entered under ``Other'',

``Contractual'', and/or ``Personnel'' as appropriate. Up to 7.5 percent

of OCS grant funds, which may be for project administration and

support, should be entered in Class Categories as appropriate.

Columns 2, 3 and 4 are not relevant to this program.

Column 5: Enter the total federal OCS grant funds for the five year

budget by Class Categories, showing a total of not more than $500,000

(or $1,000,000 Priority Area 2.0).

Note: Only out-of-town travel should be entered under Category

c. Travel. Local travel costs should be entered under Category h.

Other. Costs of supplies should be included under Category e.

``Supplies'' is tangible personal property other than ``equipment''.

``Equipment'' means an article of nonexpendable, tangible personal

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

acquisition cost which equals or exceeds the lesser of (a) the

capitalization level established by the organization for financial

statement purposes, or (b) $5,000. Articles costing less should be

included in ``Supplies''.

Section C--Non Federal Resources

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

that will be used to support the project. In this context, ``Non-

Federal'' resources mean other than the OCS funds for which the

applicant is applying. Therefore, mobilized funds from other Federal

programs, such as the Job Training Partnership Act program or the

Welfare-to-Work program, should be entered on these lines. Provide a

brief listing of these ``non-Federal'' resources on a separate sheet

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

cash or in-kind contribution. The firm commitment of these resources

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

given credit in the review process under the Non-Federal Resources

program element.

(Note: Even though non-Federal resources mobilized may go beyond

the amount required as match under the IDA Program, grantees will be

held accountable for any such cash or in-kind contribution proposed

or pledged as part of an approved application. (See PART II, Section

I. and PART III, Element IV.)

Sections D, E, and F may be left blank by Applicants under Priority

Area 1.0. State Applicants under Priority Area 2.0 must complete

Section E. Estimates of OCS funds needed for the subsequent four years

of the five-year Project Period (not to exceed $1,000,000 per year)

should be entered on line 16 under columns (b), (c), (d), and (e).

As noted in Part VI, a supporting Budget Justification must be

submitted providing details of expenditures under each budget category,

with justification of dollar amounts which relate the proposed

expenditures to the work program and goals of the project.

C. SF-424B Assurances: Non-Construction Programs

Applicants requesting financial assistance for a non construction

project must file the Standard Form 424B, ``Assurances: Non-

Construction Programs.'' (Attachment C) Applicants must sign and return

the Standard Form 424B with their applications.

Applicants must provide a certification concerning Lobbying. Prior

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

an executed copy of the lobbying certification. (See Attachments D and

E) Applicants must sign and return the certification with their

applications. Applicants should note that the Lobbying Disclosure Act

of 1995 has simplified the lobbying information required to be

disclosed under 31 USC 1352.

[[Page 4270]]

Applicants must make the appropriate certification on their

compliance with the Drug-Free Workplace Act of 1988 and the Pro-

Children Act of 1994 (Certification Regarding Smoke Free Environment).

(See Attachments G and H) By signing and submitting the applications,

applicants are attesting to their intent to comply with these

requirements and need not mail back the certification with the

applications.

Applicants must make the appropriate certification that they are

not presently debarred, suspended or otherwise ineligible for award.

(See Attachment I) By signing and submitting the applications,

applicants are providing the certification and need not mail back the

certification with the applications. Copies of the certifications and

assurances are located at the end of this announcement.

Part VI. Contents of Application and Receipt Process

Application pages should be numbered sequentially throughout the

application package, beginning with an Abstract of the proposed project

as page number one; and each application must include all of the

following, in the order listed below:

A. Content and Order of IDA Program Application

1. Table of Contents;

2. An Abstract of the project--very brief, not to exceed 300 words,

that would be suitable for use in an announcement that the application

has been selected for a grant award; which identifies the type of

project(s), the target population, the applicant, partners, and the

major elements of the work plan.

3. A completed Standard Form 424 (Attachment A) which has been

signed by an official of the organization applying for the grant who

has authority to obligate the organization legally; [Note: The original

SF-424 must bear the original signature of the authorizing

representative of the applicant organization];

4. A completed Budget Information-Non-Construction Programs (SF-

424A) (Attachment B);

5. A narrative budget justification for each object class category

included under Section B;

6. Proof of tax-exempt status (in the case of Applications under

Priority Area 1.0 only); in the case of Applications under Priority

Area 2.0, evidence of eligibility as required by PART II Section C;

7. A project narrative, limited to the number of pages specified

below, which includes all of the required elements described in Part

III. [Specific information/data required under each component is

described in Part III Sections C and D, Application Elements and Review

Criteria.]

8. Appendices, which should include the following:

a. Filled out, signed and dated Assurances--Non-Construction

Programs (SF-424B), Attachment C;

b. Restrictions on Lobbying--Certification for Contracts, Grants,

Loans, and Cooperative Agreements: filled out, signed and dated form

found at Attachment D;

d. Disclosure of Lobbying Activities, SF-LLL: Filled out, signed

and dated form found at Attachment E, if appropriate (omit Items 11-15

on the SF LLL and ignore references to continuation sheet SF-LLL-A)

e. Maintenance of Effort Certification (See Attachment F);

f. signed Agreement with partnering Financial Institution(s) (in

the case of Application under Priority Area 1.0 only);

g. signed Agreements with providers of Required non-Federal

matching contributions;

h. resumes and/or position descriptions (see Program Element IV);

i. any letters from cooperating or partnering agencies in target

communities. [Such letters are not part of the Narrative and should be

included in the Appendices. These letters are therefore not counted

against the page limitations of the Narrative.]; and

j. single points of contact comments, if applicable.

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. The applications should be two-hole punched at the top center

and fastened separately with a compressor slide paper fastener, or a

binder clip. The submission of bound plans, or plans enclosed in

binders is specifically discouraged.

B. Acknowledgement of Receipt

Acknowledgment of Receipt--All applicants will receive an

acknowledgement with an assigned identification number. Applicants are

requested to supply a self-addressed mailing label with their

Application, or a FAX number or e-mail address which can be used for

acknowledgement. The assigned identification number, along with any

other identifying codes, must be referenced in all subsequent

communications concerning the Application. If an acknowledgement is not

received within three weeks after the deadline date, please notify ACF

by telephone at (202) 205-5082.

Part VII. Post Award Information and Reporting Requirements

A. Notification of Grant Award

Following approval of the applications selected for funding, notice

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

made in writing. The official award document is the Financial

Assistance Award which provides the amount of Federal funds approved

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

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

project period for which support is contemplated.

B. Attendance at Evaluation Workshops

OCS hopes to sponsor one or more national evaluation workshops in

Washington, D.C. or in other locations during the course of the five-

year project. Project Directors will be expected to attend such

workshops provided funds can be made available by OCS for expenses of

attending.

C. Reporting Requirements

Grantees will be required to submit a semi-annual program progress

and financial report (SF 269) covering the six months after grant

award, and similar reports after conclusion of the first Project Year.

Such reports will be due 60 days after the reporting period. Thereafter

grantees will be required to submit annual program progress and

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

financial report within 90 days of the expiration of the grant.

D. Audit Requirements

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

(non-profit organization) and OMB Circular A-133.

E. Prohibitions and Requirements With Regard to Lobbying

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

1989, imposes prohibitions and requirements for disclosure and

certification related to lobbying on recipients of Federal contracts,

grants, cooperative agreements, and loans. It provides limited

exemptions for Indian tribes and tribal organizations. Current and

prospective recipients (and their subtier

[[Page 4271]]

contractors and/or grantees) are prohibited from using appropriated

funds for lobbying Congress or any Federal agency in connection with

the award of a contract, grant, cooperative agreement or loan. In

addition, for each award action in excess of $100,000 (or $150,000 for

loans) the law requires recipients and their subtier contractors and/or

subgrantees (1) to certify that they have neither used nor will use any

appropriated funds for payment to lobbyists, (2) to submit a

declaration setting forth whether payments to lobbyists have been or

will be made out of non-appropriated funds and, if so, the name,

address, payment details, and purpose of any agreements with such

lobbyists whom recipients or their subtier contractors or subgrantees

will pay with the non-appropriated funds and (3) to file quarterly up-

dates about the use of lobbyists if an event occurs that materially

affects the accuracy of the information submitted by way of declaration

and certification.

The law establishes civil penalties for noncompliance and is

effective with respect to contracts, grants, cooperative agreements and

loans entered into or made on or after December 23, 1989. See

Attachment H, for certification and disclosure forms to be submitted

with the applications for this program.

F. Applicable Federal Regulations

Attachment K indicates the regulations which apply to all

applicants/grantees under the Assets for Independence Demonstration

Program.

Dated: January 22, 1999.

Donald Sykes,

Director, Office of Community Services.

BILLING CODE 4184-01-P

[[Page 4272]]

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BILLING CODE 4184-01-C

[[Page 4273]]

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) and applicant's control number (if applicable).

3. Stat 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 or 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 required.

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 Stat Single Point of Contact

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

application is subject to the State intergovernmental review

process.

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

person who signs as the authorized representative. Categories of

debt include delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the

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

sign this application as official representative must be on file in

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

this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 4274]]

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[[Page 4275]]

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BILLING CODE 4184-01-C

[[Page 4276]]

INSTRUCTIONS FOR THE SF-424A

Public reporting burden for this collection of information is

estimated to average 180 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0044),

Washington, DC 20503.

Please do not return your completed form to the office of

Management and Budget. Send it to the address provided by the

sponsoring agency.

General Instructions

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

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

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

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

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

and D should include budget estimates for the whole project except

when apply 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 Liens 1-4

Columns (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

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

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

For applications pertaining to a single program requiring budget

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

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

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

multiple programs where none of the programs require a breakdown by

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

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

Column (b).

For applications pertaining to multiple programs where one or

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

separate sheet for each program requiring the breakdown. Additional

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

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

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

programs.

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

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

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

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

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

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

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

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

only if the Federal grantor agency instructions provide for this.

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

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

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

For supplemental grants and changes, to existing grants, do not

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

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

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

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

which includes the total previous authorized budgeted amounts plus

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

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

Columns (e) and (f).

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

Section B. Budget Categories

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

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

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

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

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

Federal and non-Federal) by object class categories.

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

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

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

applications for new grants and continuation grants the total amount

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

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

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

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

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

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

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

amount from the total project amount. Show under the program

narrative statement the narrative statement the nature and source of

income. The estimated amount of program income may be considered by

the Federal grantor agency in determining the total amount of the

grant.

Section C. Non-Federal Resources

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

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

brief explanation on a separate sheet.

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

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

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

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

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

Applicants which are a State or State agencies should leave this

column blank.

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

to be made from all other sources.

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

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

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

Section A.

Section D. Forecasted Cash Needs

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

grantor agency during the first year.

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

by quarter during the first year.

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

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

the Project

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

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

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

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

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

be completed for revisions (amendments, changes, or supplement) or

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 4277]]

data needed, and completing and reviewing the collection of

information. Send comments regarding the burden estimate or any

other aspect of this collection of information, including

suggestions for reducing this burden, to the Office of Management

and Budget, Paperwork Reduction Project (0348-0040), Washington, DC

20503.

Please do not return your completed form to the Office of

Management and Budget. Send it to the address provided by the

sponsoring agency.

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

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

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duty authorized representative of the applicant, I

certify that the applicant:

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

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share or project cost) to

ensure proper planning, management and completion of the project

described in this application.

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

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

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

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

a proper accounting system in accordance with generally accepted

accounting standard 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. 4728-4763) relating to prescribed standards for merit

systems for programs funded under one of the 19 statutes or

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

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

6. Will comply with all Federal statutes relating to

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

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

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

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

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. 794), which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act of 1975, as amended (42

U.S.C. 6105-6107), 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) sections 523 and 527 of the Public Health

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

3601 et seq.), as amended, relating to nondiscrimination in the

sale, rental or financing of housing; (i) any other

nondiscrimination provisions in the specific statute(s) under which

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

requirements of any other nondiscrimination statute(s) which may

apply to the application.

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

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

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

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally-

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

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

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

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

Standards Act (40 U.S.C. 327-333), regarding labor standards for

federally-assisted construction subagreements.

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

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

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

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition in $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) Institution of

environmental quality control measures under the National

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

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

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

evaluation of flood hazards in floodplains in accordance with EO

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

management program developed under the Coastal Zone Management Act

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

to State (Clean Air) Implementation Plans under Section 176(c) of

the Clean Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g)

protection of underground sources of drinking water under the Safety

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. 92-205).

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

U.S.C. 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. 4801 et seq.) which prohibits the use of lead-based

paint in construction or rehabilitation of residence structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act Amendments

of 1996 and OMB Circular No. A-133, ``Audits of States, Local

Governments, and Non-Profit Organization.''

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--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,

[[Page 4278]]

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

BILLING CODE 4184-01-P

[[Page 4279]]

[GRAPHIC] [TIFF OMITTED] TN27JA99.058

BILLING CODE 4184-01-C

[[Page 4280]]

Instructions for Completion of SF-LLL, Disclosure of Lobbying

Activities

This disclosure form shall be completed by the reporting entity,

whether subawardee or prime Federal recipient, at the initiation or

receipt of a covered Federal action, or a material change to a

previous filing, pursuant to title 31 U.S.C. section 1352. The

filing of a form is required for each payment or agreement to make

payment to any lobbying entity for influencing or attempting to

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

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

Member of Congress in connection with a covered Federal action.

Complete all items that apply for both the initial filing and

material change report. Refer to the implementing guidance published

by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which

lobbying activity is and/or has been secured to influence the

outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If

this is a followup report caused by a material change to the

information previously reported, enter the year and quarter in which

the change occurred. Enter the date of the last previously submitted

report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the

reporting entity. Include Congressional District, if known. Check

the appropriate classification of the reporting entity that

designates if it is, or expects to be, a prime or subaward

recipient. Identify the tier of the subawardee, e.g., the first

subawardee of the prime is the 1st tier. Subawards include but are

not limited to subcontracts, subgrants and contract awards under

grants.

5. If the organization filing the report in item 4 checks

``Subawardee,'' then enter the full name, address, city, State and

zip code of the prime Federal recipient. Include Congressional

District, if known.

6. Enter the name of the Federal agency making the award or loan

commitment. Include at least one organizational level below agency

name, if known. For example, Department of Transportation, United

States Coast Guard.

7. Enter the Federal program name or description for the covered

Federal action (item 1). If known, enter the full Catalog of Federal

Domestic Assistance (CFDA) number for grants, cooperative

agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number

available for the Federal action identified in item 1 (e.g., Request

for Proposal (RFP) number; Invitation for bid (IFB) number; grant

announcement number; the contract, grant, or loan award number; the

application/proposal control number assigned by the Federal agency).

Include prefixes, e.g., ``RFP-DE-90-001.''

9. For a covered Federal action where there has been an award or

loan commitment by the Federal agency, enter the Federal amount of

the award/loan commitment for the prime entity identified in item 4

or 5.

10. (a) Enter the full name, address, city, State and zip code

of the lobbying registrant under the Lobbying Disclosure Act of 1995

engaged by the reporting entity identified in item 4 to influence

the covered Federal action.

(b) Enter the full names of the individual(s) performing

services, and include full address if different from 10(a). Enter

Last Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print

his/her name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons

are required to respond to a collection of information unless it

displays a valid OMB Control Number. The valid OMB control number

for this information collection is OMB No. 0348-0046. Public

reporting burden for this collection of information is estimated to

average 10 minutes per response, including time for reviewing

instructions, searching existing data sources, gathering and

maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management Budget, Paperwork Reduction Project (0348-0046),

Washington, DC 20503.

Attachment F--Certification Regarding Maintenance of Effort

In accordance with the applicable program statute(s) and

regulation(s), the undersigned certifies that financial assistance

provided by the Administration for Children and Families, for the

specified activities to be performed under the ________________

Program by ________________ (Applicant Organization), will be in

addition to, and not in substitution for, comparable activities

previously carried on without Federal assistance.

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

Signature of Authorized Certifying Official

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

Title

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

Date

Attachment G--Certification Regarding Drug-Free Workplace Requirements

This certification is required by the regulations implementing

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

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

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

WIDE AND STATE AGENCY-WIDE certifications, and for notification of

criminal drug convictions. For the Department of Health and Human

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

Oversight, Office of Management and Acquisition, Department of

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

Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)

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

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

2. The certification set out below is a material representation

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

grant. If it is later determined that the grantee knowingly rendered

a false certification, or otherwise violates the requirements of the

Drug-Free Workplace Act, the agency, in addition to any other

remedies available to the Federal Government, may take action

authorized under the Drug-Free Workplace Act.

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

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

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

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

identified in the grant application. If the grantee does not

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

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

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

available for Federal inspection. Failure to identify all known

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

workplace requirements.

6. Workplace identifications must include the actual address of

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

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

all vehicles of a mass transit authority or State highway department

while in operation, State employees in each local unemployment

office, performers in concert halls or radio studios).

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

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

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

(see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and

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

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

the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I

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

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

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

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

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal

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

possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the

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

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

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

(iii) Temporary personnel and consultants who are directly engaged

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

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

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

matching requirement;

[[Page 4281]]

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. (Grantees Other Than Individuals).

The grantee certifies that it will or will continue to provide a

drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful

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

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

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

inform employees about--

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

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

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

assistance programs; and

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

abuse violations occurring in the workplace;

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

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

required by paragraph (a);

(d) Notifying the employee in the statement required by

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

the employee will--

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

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

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

later than five calendar days after such conviction;

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

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

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

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

convicted employee was working, unless the Federal agency has

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

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

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

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

employee who is so convicted--

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

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

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance 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, county, state, zip

code)

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

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

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

identified here.

Altrnate II. (Grantees Who Are Individuals)

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

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

dispensing, possession, or use of a controlled substance in

conducting any activity with the grant:

(b) If convicted 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 H

Administration for Children and Families U.S. Department of Health and

Human Services

CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO SMOKE

Public Law 103227, Part C Environmental Tobacco Smoke, also

known as the Pro Children Act of 1994, requires that smoking not be

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

contracted for by an entity and used routinely or regularly for

provision of health, day care, education, 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 residence,

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 I

CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY

MATTERS

Certification Regarding Debarment, Suspension and Other Responsibility

Matters--Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

primary participant is providing the certification set out below.

2. The inability of a person to provide the certification

required below will not necessarily result in denial of

participation in this covered transaction. The prospective

participant shall submit an explanation of why it cannot provide the

certification set out below. The certification or explanation will

be considered in connection with the department or agency's

determination whether to enter into this transaction. However,

failure of the prospective primary participant to furnish a

certification or an explanation shall disqualify such person from

participation in this transaction.

3. The certification in this clause is a material representation

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

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

that the prospective primary participant knowingly rendered an

erroneous certification, in addition to other remedies available to

the Federal Government, the department or agency may terminate this

transaction for cause or default.

4. The prospective primary participant shall provide immediate

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

submitted if at any time the prospective primary participant learns

that its certification was erroneous when submitted or has become

erroneous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntary

excluded, as used in this clause, 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 person who is proposed for debarment under 48 CFR

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

voluntarily excluded from participation in this covered transaction,

unless authorized by the department or agency entering into this

transaction.

7. The prospective primary participant further agrees by

submitting this proposal that it will include the clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,''

[[Page 4282]]

provided by the department or agency entering into this covered

transaction, without modification, in all lower tier covered

transactions and in all solicitations for lower tier covered

transactions.

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

certification of a prospective participant in a lower tier covered

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

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

excluded from the covered transaction, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

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

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall be construed to

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

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally 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 government 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 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 the 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 Transactions,'' 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 and

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.

E.O. 12372 State Single Point of Contact List

Arizona

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

Fourteenth Floor, Phoenix, AZ 85012, (602) 280-1315, FAX (602) 280-

8144

Arkansas

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

Intergovernmental Services, Department of Finance and

Administration, 1515 W. 7th St., Room 412, Little Rock, AK 72203,

(501) 682-1074, FAX (501) 682-5206, [email protected]

California

Grants Coordinator, Office of Planning and Research, 1400 Tenth

Street, Room 121, Sacramento, CA 95814, (916) 323-7480, FAX (916)

323-3018

Delaware

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

Office of the Budget, 540 S. Dupont Highway, Suite 5, Dover, DE

19901, (302) 739-3326, FAX (302) 739-5561, [email protected]

District of Columbia

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

Management and Development, 717 14th Street, N.W., Suite 400,

Washington, DC 20005, (202) 727-

[[Page 4283]]

1700 (direct), (202) 727-6537 (secretary), FAX (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 22740

Centerview Drive, Tallahassee, FL 32399-2100, FAX (850) 414-0479,

Contact: Cherie Trainor, (850) 414-5495,

[email protected]

Georgia

Deborah Stephens, Administrator, Georgia State Clearinghouse, 270

Washington Street, S.W., #710, Marietta, GA 30067, (404) 656-3855,

FAX (404) 656-7901, [email protected]

Illinois

Virginia Bova, Single Point of Contact, Illinois Department of

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

Randolph, Suite 3-400, Chicago, IL 60601, (312) 814-6028, FAX (312)

814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House,

Indianapolis, IN 46204-2796, (317) 232-2972 (direct), FAX (317) 233-

3323

Iowa

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

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

50309, (515) 242-4719, FAX (515) 242-4809,

[email protected]

Kentucky

Kevin J. Goldsmith, Director, Sandra Brewer, Executive Secretary,

Intergovernmental Affairs, Office of the Governor, 700 Capitol

Avenue, Frankfort, KY 40601, (502) 564-2611, FAX (502) 564-2849,

[email protected]

Maine

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

House Station, Augusta, ME 04333, (207) 287-3261, FAX (207) 287-

6489, [email protected]

Maryland

Linda Janney, Manager, Plan and Project Review, Maryland Office of

Planning, 301 West Preston Street, Room 1104, Baltimore, MD 21201-

2365, (410) 767-4490, FAX (410) 767-4480, [email protected]

Michigan

Richard W. Pfaaf, Southeast Michigan Council of Governments, 660

Plaza Drive, Suite 1900, Detroit, MI 48226, (313 961-4266, FAX (313)

961-4869, [email protected]

Mississippi

Cathy Mallette, Clearinghouse Officer, Department of Finance and

Administration, 550 High Street, 303 Walter Sillers Building,

Jackson, MS 39201-3087, (601) 359-6762, FAX (601) 359-6758

Missouri

Lois Pohl, Coordinator, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 915, Jefferson Building,

Jefferson City, MO 65102, (314) 751-4834, FAX (314) 522-4395

Nevada

Department of Administration, State Clearinghouse, 209 E. Musser

Street, Room 220, Carson City, NV 89710, (702) 687-4065, FAX (702)

687-3983, Contact: Heather Elliot, (702) 687-6367,

[email protected]

New Hampshire

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

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

Street, Concord, NH 03301, (603) 271-2155, FAX (603) 271-1728

New Mexico

Nick Mandell, Local Government Division, Room 201, Bataan Memorial

Building, Santa Fe, NM 87503, (505) 827-3640, FAX (505) 827-4984

New York

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

Albany, NY 12224, (518) 474-1605, FAX (518) 486-5617

North Carolina

Jeanette Furney (Grants), Chrys Baggett (Environment), North

Carolina State Clearinghouse, Office of the Secretary of

Administration, 116 West Jones Street, Suite 5106, Raleigh, NC

27603-8003, (919) 733-7232, FAX (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental

Assistance, 600 East Boulevard Avenue, Bismarck, ND 58505-0170,

(701) 224-2094, FAX (701) 224-2308

Ohio

Larry Weaver, State Clearinghouse, Office of Budget and Management,

30 East Broad Street, 34th Floor, Columbus, OH 43266-0411. Please

direct correspondence and questions about intergovernmental review

to: Linda Wise, (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, RI

02908-5870, (401) 222-2280, FAX (401) 222-2083

South Carolina

Rodney Grizzle, State Single Point of Contact, Budget and Control

Board, Office of State Budget, 1122 Ladies Street, 12th Floor,

Columbia, SC 29201, (803) 734-0485, FAX (803) 734-0645,

[email protected]

Texas

Tom Adams, Governors Office, Director, Intergovernmental

Coordination, P.O. Box 12428, Austin, TX 78711, (512) 463-1771, FAX

(512) 936-2681, [email protected]

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and

Budget, Room 116 State Capitol, Salt Lake City, UT 84114, (801) 538-

1027, FAX (801) 538-1547, [email protected]

West Virginia

Fred Cutlip, Director, Judith Dryer, Chief Program Manager, West

Virginia Development Office, Building No. 6, Room 645, State

Capitol, Charleston, WV 25305, (304) 558-0350, FAX (304) 558-0362,

[email protected]

Wisconsin

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

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

P.O. Box 7868, Madison, WI 53707, (608) 266-0267, FAX (608) 267-

6931, [email protected]

Wyoming

Sandy Ross, State Single Point of Contact, Department of

Administration and Information, 2001 Capitol Avenue, Room 214,

Cheyenne, WY 82002, (307) 777-5492, FAX (307) 777-3696,

[email protected]

Guam

Joseph Rivers, Acting Director, Bureau of Budget and Management

Research, Office of the Governor, P.O. Box 2950, Agana, GU 96932,

(011)(671) 475-9411 or 9412, FAX (011)(671) 472-2825

Northern Mariana Islands

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

Budget, Office of the Governor, Saipan, MP 96950, (607) 664-2256,

(607) 664-2272. Please direct all questions and correspondence about

intergovernmental review to: Jacoba T. Seman, Federal Programs

Coordinator, (670) 664-2289, (670) 664-2272

Puerto Rico

Jose Caballero-Mercado, Chairman, Puerto Rico Planning Board,

Federal Proposals Review Office, Minillas Government Center, P.O.

Box 41119, San Juan, PR 00940-1119, (787) 727-4444, (787) 723-6190,

FAX (787) 724-3270

Virgin Islands

Nellon Bowry, Director, Office of Management and Budget, 41

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

VI 00802. Please direct all questions and correspondence about

intergovernmental review to: Daisey Millen, (809) 774-0750, FAX

(809) 776-0069

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.'' JURISDICTIONS WITHOUT ``STATE SINGLE POINTS OF CONTACTS''

INCLUDE: Alabama; Alaska; American Samoa; Colorado; Connecticut;

Kansas; Hawaii; Idaho; Louisiana; Massachusetts; Minnesota; Montana;

Nebraska; New Jersey; Oklahoma; Oregon;

[[Page 4284]]

Palau; 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.

Attachment K

DHHS Regulations Applying to All Applicants/Grantees Under the

Assets for Independence Demonstration Program (IDA Program)

Title 45 of the Code of Federal Regulations:

Part 16--Department of Grant Appeals Process

Part 74--Administration of Grants (grants with subgrants to

entities)

Part 75--Informal Grant Appeal Procedures

Part 76--Debarment and Suspension from Eligibility for Financial

Assistance

Subpart F--Drug Free Workplace Requirements

Part 80--Non-Discrimination Under Programs Receiving Federal

Assistance through the Department of Health and Human Services

Effectuation of Title VI of the Civil Rights Act of 1964

Part 81--Practice and Procedures for Hearings Under Part 80 of this

Title

Part 83--Regulation for the Administration and Enforcement of

Sections 799A and 845 of the Public Health Service Act

Part 84--Non-discrimination on the Basis of Handicap in Programs and

Activities Receiving Federal Financial Assistance

Part 85--Enforcement of Non-Discrimination on the Basis of Handicap

in Programs or Activities Conducted by the Department of Health and

Human Services

Part 86--Nondiscrimination on the Basis of Sex in Education Programs

and Activities Receiving or Benefiting from Federal Financial

Assistance

Part 91--Non-discrimination on the Basis of Age in Health and Human

Services Programs or Activities Receiving Federal Financial

Assistance

Part 92--Uniform Administrative Requirements for Grants and

Cooperative Agreements to States and Local Governments (Federal

Register, March 11, 1988)

Part 93--New Restrictions on Lobbying

Part 100--Intergovernmental Review of Department of Health and Human

Services Programs and Activities

[FR Doc. 99-1982 Filed 1-26-99; 8:45 am]

BILLING CODE 4184-01-P