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Department of Health & Human Services
Administration for Children and Families
Federal Agency Name
Administration for Children and Families, Office of Community
Services
Funding Opportunity Title: Community Economic Development National Philanthropic Institutions
Announcement Type: Competitive Grant-Initial
Funding Opportunity Number: HHS-2004-ACF-OCS-CED-0021
CFDA Number: 93.570
Due Date: Applications are due June 25, 2004
I. Funding Opportunity Description
The Community Services Block Grant (CSBG) Act of 1981, as amended,
(Section 680 of the Community Opportunities, Accountability, and
Training and Educational Services Act of 1998), authorizes the
Secretary to award grants and provide technical and financial
assistance for economic development activities
designed to address the economic needs of low-income individuals and
families by creating employment and business
ownership opportunities.
The Office of Community Services (OCS) will accept competing
applications for grants in the form of cooperative agreements for
Community Development Corporation/National Philanthropic Institution
Projects (CDC/NPI) that support neighborhood transformation and create
jobs and business ownership opportunities for low-income residents of
urban areas. Faith-based organizations that meet the eligibility
requirements specified in this announcement may apply for these grants.
Applicants must be non-profit community development corporations
(CDCs) including faith-based CDCs that:
(a) Propose a project that will focus on neighborhoods located in a
city with at least 250,000 residents where a comprehensive neighborhood
transformation initiative is planned or underway;
(b) Demonstrate firm and substantial support (financial or other
support) for the proposed project from one or more locally based
philanthropic institution(s); and
(c) Demonstrate firm and substantial support (financial or other
support) for the proposed project from a consortium of national
philanthropic institutions, financial institutions, and government
agencies that is strengthening community development and community
revitalization in urban neighborhoods throughout the nation.
Project Beneficiaries: Applicants must show that the proposed
project will assist low-income persons to become economically self-
sufficient by creating employment or business ownership opportunities
for them or significantly aiding such residents in maintaining an
economically viable business. The Poverty Income Guidelines published
by the U.S. Department of Health and Human Services at
http://www.aspe.hhs.gov/poverty/ are used to define ``low income.''
In addition, grantees may contact the OCS Operations Center to obtain
a copy of the guidelines. No other government agency or privately
defined poverty guidelines are applicable for the determination of
low-income eligibility for these OCS programs.
Definitions of Terms
The following definitions apply:
Budget Period--The time interval into which a grant period is
divided for budgetary and funding purposes.
Business Start-up Period--Time interval when the grantee completes
preliminary project tasks. These tasks include but are not limited to
assembling key staff, executing contracts, administering lease out or
build-out of space for occupancy, purchasing plant and equipment and
other similar activities. The Business Start-Up Period typically
entails three to six months from when OCS awards the grant or
cooperative agreement.
Cash contributions--The recipient's cash outlay, including the
outlay of money contributed to the recipient by the third parties.
Community Development Corporation (CDC)--A private non-profit
corporation governed by a board of directors consisting of residents of
the community and business and civic leaders, which has as a principal
purpose planning, developing, or managing low-income housing or
community development projects.
Community Economic Development (CED)--A process by which a
community uses resources to attract capital and increase physical,
commercial, and business development, as well as job opportunities for
its residents.
Construction projects--Projects that involve land improvements and
development or major renovation of (new or existing) facilities and
buildings, fixtures, and permanent attachments.
Cooperative Agreement--An award instrument of financial assistance
when substantial involvement is anticipated between the awarding
office, (the Federal government) and the recipient during performance
of the contemplated project. Substantial involvement may include
collaboration or participation by the designating awarding office staff
in activities specified in the award and, as appropriate, decision-
making at specified milestones related to performance. The involvement
may range from joint conduct of a project to awarding office approval
prior to the recipient's undertaking the next phase of a project.
Hypothesis--An assumption made in order to test a theory. It should
assert a cause-and-effect relationship between a program intervention
and its expected result. Both the intervention and its result must be
measured in order to confirm the hypothesis. The following is a
hypothesis: ``Eighty hours of classroom training will be sufficient for
participants to prepare a successful loan application.'' In this
example, data would be obtained on the number of hours of training
actually received by participants (the intervention), and the quality
of loan applications (the result), to determine the validity of the
hypothesis (that eighty hours of training is sufficient to produce the
result).
Intervention--Any planned activity within a project that is
intended to produce changes in the target population and/or the
environment and that can be formally evaluated. For example, assistance
in the preparation of a business plan is an intervention.
Job creation--New jobs, i.e. jobs not in existence prior to the
start of the project, that result from new business startups, business
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
Job placement--Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
Letter of commitment--A signed letter or agreement from a third
party to the applicant that pledges financial or other support for the
grant activities contingent only on OCS accepting the applicant's
project proposal.
Low Income Families and Individuals--People who are living in
poverty, including those who rely on public assistance such as
Temporary Assistance for Needy Families (TANF). Low-income
beneficiaries may also include at-risk youth, custodial and non-
custodial parents, public housing residents, persons with disabilities,
and people who are homeless.
Non-profit Organization--An organization, including faith-based and
community-based, that provides proof of non-profit status described in
the ``Additional Information on Eligibility'' section of this
announcement.
Outcome evaluation--An assessment of project results as measured by
collected data that define the net effects of the interventions applied
in the project. An outcome evaluation will produce and interpret
findings related to whether the interventions produced desirable
changes and their potential for being replicated. It should answer the
question: Did this program work?
Phase One--The time interval when grantees accomplish preliminary
activities including establishing third party agreements, mobilizing
monetary funds and other resources, assembling, rezoning, and leasing
of properties, conducting architectural and engineering studies,
constructing facilities, etc.
Phase Two--The time interval during the Project Period when
businesses, commercial development or other activities are in
operation, and employment, business development assistance, and so
forth are provided.
Poverty Income Guidelines--Guidelines published annually by the
U.S. Department of Health and Human Services that establish the level
of poverty defined as low-income for individuals and their families.
The guideline information is posted on the Internet at the following
address: http://www.aspe.hhs.gov/poverty/.
Philanthropic Institution--Foundations (including private, family
and community foundations) and corporations (including, among other
incorporated entities, banks and other lending institutions) that are
providing grants and/or loans for charitable purposes, such as the
elimination of slums and blight or provision of services for low-income
families and individuals.
Process evaluation--The ongoing examination of the implementation
of a program. It focuses on the effectiveness and efficiency of the
program's activities and interventions (for example, methods of
recruiting participants, quality of training activities, or usefulness
of follow-up procedures). It should answer the questions such as: Who
is receiving what services and are the services being delivered as
planned? It is also known as formative evaluation, because it gathers
information that can be used as a management tool to improve the way a
program operates while the program is in progress. It should also
identify problems that occurred, how the problems were resolved and
what recommendations are needed for future implementation.
Program income--Gross income earned by the grant recipient that is
directly generated by an activity supported with grant funds.
Project Period--The total time for which a project is approved for
OCS support, including any approved extensions.
Self-employment--The employment status of an individual who engages
in self-directed economic activities.
Self-sufficiency--The economic status of a person who does not
require public assistance to provide for his/her needs and that of his/
her immediate family.
Sub-award--An award of financial assistance in the form of money,
or property, made under an award by a recipient to an eligible sub-
recipient or by a sub-recipient to a lower tier sub-recipient. The term
includes financial assistance when provided by any legal agreement,
even if the agreement is called a contract, but does not include
procurement of goods and services nor does it include any form of
assistance which is excluded from the definition of ``award'' in 45 CFR
Part 74. (Note: Equity investments and loan transactions are not sub-
awards.)
Temporary Assistance for Needy Families (TANF)--The Federal block
grant program authorized in Title I of the Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193). The TANF
program transformed ``welfare'' into a system that requires work in
exchange for time-limited assistance.
Third party--Any individual, organization or business entity that
is not the direct recipient of grant funds.
Third party agreement--A written agreement entered into by the
grantee and an organization, individual or business entity (including a
wholly owned subsidiary), by which the grantee makes an equity
investment or a loan in support of grant purposes.
Third party in-kind contributions--Non-cash contributions provided
by non-Federal third parties. These contributions may be in the form of
real property, equipment, supplies and other expendable property, and
the value of goods and services directly benefiting and especially
identifiable to the project or program.
Program Purpose, Scope and Focus
OCS seeks to stimulate positive collaborative relationships between
a small number of local private non-profit CDCs, locally based
philanthropic institutions, and a national consortium of philanthropic
institutions, financial services organizations and government agencies,
to support neighborhood transformation in urban localities and to
create long-term employment or business ownership opportunities for
low-income people through business or commercial development.
OCS seeks to support a total of four (4) CDC/NPI projects. Each
project will be in a city with 250,000 or more residents. OCS will fund
projects in two phases: (1) Phase One--the initial portion of the
project when the grantee CDC and its partners analyze needs and
opportunities, develop collaborative relationships, and finalize plans
for job creation or business ownership strategies in the context of a
neighborhood transformation effort. During this phase, the CDC and its
partners also develop a thorough business plan for the job creation or
business ownership strategy to be implemented in Phase Two. OCS will
release no more than $200,000 for this phase. (2) Phase Two--the
portion of the project when the grantee CDC and its partners execute
the project plan to establish the business or commercial development or
other activities that create jobs or business ownership opportunities
for low-income persons in the target neighborhoods. OCS will release
the balance of the grant award for Phase Two activities when the
grantee CDC meets relevant program requirements such as, for example,
presenting a final business plan concerning the job creation or
business ownership strategy.
The Cooperative Agreement
This announcement uses a cooperative agreement as the vehicle for
funding Community Development Corporation/National Philanthropic
Institution Projects. A cooperative agreement is an assistance
instrument for which substantial involvement is anticipated between the
awarding office and the recipient during performance of the funded
activity. Substantial involvement may include collaboration or
participation by designating awarding office staff in activities
specified in the award and, as appropriate, decision-making at
specified milestones related to performance. Potential types of
substantial involvement under a cooperative agreement include, but are
not limited to, collaborating in the design of a research protocol or a
training or service delivery model; approving research protocols or
analytical approaches or approving the initiation of a subsequent phase
in a phased activity; training project staff in participating
organizations; assisting in the evaluation of potential contractors;
participating in the presentation of research results, including co-
authorship of papers; or providing other assistance in program
management or technical performance.
OCS and the grantee CDCs will each be responsible for particular
duties and responsibilities throughout the project.
Guidance on Developing a Business Plan
Business Plans are vital for the long-term success of OCS-funded
business development projects. As described by the Small Business
Administration, a business plan precisely defines a business,
identifies its goals, and serves as the business' resume. The plan
helps the supporting CDC, the business and other partners allocate
resources property, handle unforeseen complications, and make good
business decisions. Please see Section VI. Award Administration
Information for details about the Business Plan that will be required
before the beginning of Phase Two.
II. Award Information
Funding Instrument Type: Cooperative Agreement. For a full
description of the cooperative agreement please review The Cooperative
Agreement in Section I.
Anticipated total priority area funding: $2,000,000.
Anticipated number of awards: 4 per project period.
Ceiling of Individual Awards: $500,000 per project period.
Floor on amount of individual awards: $500,000 per project period.
Average Projected Award Amount: $500,000 per project period.
Project Periods for Awards: Applications for projects that are
exclusively construction, major alteration or renovation may request a
budget and project period up to 5 years. Applications for non-
construction projects may request a budget and project period up to 17
months.
III. Eligibility Information
1. Eligible Applicants
Nonprofits having a 501(c)(3) status with the IRS, other than
institutions of higher education and Nonprofits that do not have a
501(c)(3) status with the IRS, other than institutions of higher
education.
Faith-based organizations are eligible to apply for these grants.
Additional Information on Eligibility
Applicants must demonstrate proof of non-profit status and this
proof must be included in their applications (see section IV. 2). Proof
of non-profit status is any one of the following:
(a) A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS code.
(b) A copy of a currently valid IRS tax exemption certificate.
(c) A statement from a State taxing body, State Attorney General,
or other appropriate State official certifying that the applicant
organization has a non-profit status and that none of the net earnings
accrue to any private shareholders or individuals.
(d) A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
(e) Any of the items in the subparagraphs immediately above for a
State or national parent organization and a statement signed by the
parent organization that the applicant organization is a local non-
profit affiliate.
In addition to demonstrating proof of non-profit status, applicants
must also demonstrate proof of CDC status. This proof must be included
in their applications. Proof of CDC status is any one of the following:
. A list of governing board members along with their
designation as a community resident or business or civic leader; and
. Documentation that the applicant organization has as a
primary purpose planning, developing or managing low-income housing or
community development activities. This documentation may include
incorporation documents or other official documents that identify the
organization.
Applicants are cautioned that the ceiling for individual awards is
$500,000. An application that exceeds the upper value of the dollar
range specified will be considered ``non-responsive'' and will be
returned to the applicant without further review.
Applicants must demonstrate firm and substantial support (financial
or other support) from one or more locally based philanthropic
institution(s) and additional support from a consortium of national
philanthropic institutions, financial institutions and government
agencies that is strengthening community development and community
revitalization in urban neighborhoods throughout the nation. OCS
anticipates that funded projects will require significant financial
support from other sources.
Limitations on Current Grantees: Applicants that are currently
administering previously awarded OCS CED grants for Incremental
Development Projects (IDP) are not eligible to receive a CDC/NPI
project grant during the one-year period following the end of the
project period of the last IDP grant award.
2. Cost Sharing or Matching
None.
3. Other
On June 27, 2003 the Office of Management and Budget published in
the Federal Register a new Federal policy applicable to all Federal
grant applicants. The policy requires all Federal grant applicants to
provide a Dun and Bradstreet Data Universal Numbering System (DUNS)
number when applying for Federal grants or cooperative agreements on or
after October 1, 2003. The DUNS number will be required whether an
applicant is submitting a paper application or using the government-
wide electronic portal (http://www.Grants.gov). A DUNS number will be
required for every application for a new award or renewal/continuation
of an award, including applications or plans under formula, entitlement
and block grant programs, submitted on or after October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
on-line at http://www.dnb.com.
Applications are cautioned that the ceiling for individual awards
is $500,000. Applications exceeding the $500,000 threshold will be
considered non-responsive and returned without review.
IV. Application and Submission Information
IV.1 Address To Request Application Package
Office of Community Services, Operations Center, 1815 North Fort
Myer Drive, Suite 300, Arlington, Virginia 22209, E-mail:
ocs@lcgnet.com, Telephone: (800) 281-9519.
URL to Obtain an Application Package: http://www.acf.hhs.gov/programs/ocs.
IV.2 Content and Form of Application Submission
This subsection provides detailed instructions for developing the
application. Please see Section V ``Application Review Information''
for additional relevant information.
You may submit your application to us in either electronic or paper
format. To submit an application electronically, please use the
http://www.Grants.gov site. If you use Grants.gov, you will be able to
download a copy of the application package, complete it off-line, and
then upload and submit the application via the Grants.gov site. You may
not e-mail an electronic copy of a grant application to us.
Please note the following if you plan to submit your application
electronically via Grants.gov:
. Electronic submission is voluntary.
. When you enter the Grants.gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation. We strongly recommend that you
do not wait until the application deadline date to begin the
application process through Grants.gov.
. To use Grants.gov, you, as the applicant, must have a DUNS
Number to register in the Central Contractor Registry (CCR). You should
allow a minimum of five days to complete the CCR registration.
. You will not receive additional point value because you
submit a grant application in electronic format, nor will we penalize
you if you submit an application in paper format.
. You may submit all documents electronically, including all
information typically included on the SF 424 and all necessary
assurance and certifications.
. Your application must comply with any page limitation
requirements described in this program announcement.
. After you electronically submit your application, you will
receive an automatic acknowledgement from Grants.gov that contains a
Grants.gov tracking number. The Administration for Children and
Families will retrieve your application from Grants.gov.
. We may request that you provide original signatures on
forms at a later date.
. You may access the electronic application for this program
on http://www.Grants.gov. You must search for the downloadable application
package by the CFDA number.
Application Content
Each application must include the following components:
1. Table of Contents.
2. Project Summary/Abstract--A very brief narrative that identifies
the type of project, the target population and the major elements of
the work plan.
3. Objectives and Needs for Assistance--A thorough description of
the economic situation and needs of residents of the target
neighborhood(s) and the comprehensive community building or
neighborhood transformation effort that is planned or currently
underway in that neighborhood.
4. Results or Benefits Expected--Identify the results and benefits
to be derived. For example, the number of new jobs that will be
targeted for residents.
5. Approach--An overall project plan including detailed information
about strategies to be implemented during Phase One and general
information about strategies planned for Phase Two, as follows:
(a) Phase One Work Plan--The project work plan should list specific
activities that the applicant and its philanthropic partner(s) and
other partners would implement in Phase One. These activities may
including, for example: (a) Develop and disseminate information and
knowledge about trends, assets, and needs in the target low-income
neighborhood(s); (b) Assess issues and factors concerning the overall
neighborhood transformation process in the targeted neighborhood(s) and
other areas of the city and evaluate the feasibility of potential job
creation projects that will address needs in the targeted low-income
neighborhood(s); (c) Convene meetings and discussion groups that
include community development practitioners, leaders of other
community-based organizations including community action agencies and
faith-based organizations, financial investors and others to discuss
findings and explore new ideas for neighborhood transformation and
options for job creation strategies; (d) Develop materials that promote
and explain the neighborhood transformation effort including the job
creation component for potential supporters such as investors and
leaders of other community-based organizations; (e) Implement
strategies for mobilizing resources for the neighborhood transformation
effort including the job creation component; (f) Develop organizational
capacity of the applicant CDC by, for example, collaborating with CDCs
in other cities that are implementing CDC/NPI projects, collaborating
with philanthropic institutions that support CDC/NPI projects in other
cities, hiring staff, training board members, training staff and
volunteers, recruiting community volunteers, and developing management
systems; (g) Develop a detailed Phase Two Work Plan for implementing a
strategy for developing jobs or business ownership opportunities for
low-income persons in the context of the neighborhood transformation
strategy.
(b) Phase Two Work Plan--The project work plan should list and
discuss specific activities planned for Phase Two. The strongest
applications will include firm details about specific activities that
the applicant and/or its national philanthropic partner(s) or other
partners will implement in Phase Two. The application must include an
initial rough draft Business Plan for the business(es) or other
ventures planned for Phase Two. OCS will require grantees to submit a
final and thorough Business Plan after Phase One and as a condition of
receiving funds for Phase Two activities. Please see Section VI. Award
Administration Information for detailed instructions on the format and
content of the final Business Plan. The following four project
components need not be fully in place at the time of application, but
they must be in place before OCS will release funds for Phase Two
activities: (a) Written commitments from partners other than local
philanthropic foundations and other organizations; (b) commitments of
all non-OCS funding; (c) third-party agreements; and (d) acquisition or
site control of any proposed development site.
6. Project Assessment/Evaluation Plan--OCS requires applicants to
include an outline of a project evaluation plan. The outline should
explain how the applicant proposes to answer the key questions about
how effectively the project is being/was implemented, whether the
project activities, or interventions, achieved the expected immediate
outcomes, and why or why not (the process evaluation); and whether and
to what extent the project achieved its stated goals, and why or why
not (the outcome evaluation). Together, the process and outcome
evaluations should answer the question: ``What did this program
accomplish and why did it work/not work?'' Applicants should ensure,
above all, that the evaluation outline presented is consistent with
their project design. A clear project framework identifies the key
project assumptions about the target populations and its needs, as well
as the hypotheses, or expected cause-effect relationships to be tested
in the project; and the proposed project activities, or interventions
that will address those needs in ways that will lead to the achievement
of the project goals of self-sufficiency. It also identifies in advance
the most important process and outcome measures that will be used to
identify performance success and expected changes in individual
participants, the grantee organization, and the community. Finally, the
outline should provide for prompt reporting, concurrently with the
semi-annual program progress reports, of lessons learned during the
course of the project. Each successful applicant must have a third-
party evaluator selected and performing by the time the project work
begins. Plans for selecting an evaluator should be included in the
application narrative.
7. Organizational Profile--A narrative and supporting documents, as
follows:
(a) Proof of Non-Profit Status--Documentation about the applicant
agency's non-profit status. Please include any one of the following:
. A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS code.
. A copy of a currently valid IRS tax exemption certificate.
. A statement from a State taxing body, State Attorney
General, or other appropriate State official certifying that the
applicant organization has a non-profit status and that none of the net
earnings accrue to any private shareholders or individuals.
. A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
. Any of the items in the subparagraphs immediately above
for a State or national parent organization and a statement signed by
the parent organization that the applicant organization is a local non-
profit affiliate.
(b) Description of the Applicant's Relationship with a Locally
Based Philanthropic Institution--A description of the applicant's
relationship with one or more locally-based national philanthropic
institution(s) including details about what role the philanthropic
institution(s) will have in assisting the applicant with all phases of
the proposed project. Applicants must include clear written commitments
from the participating philanthropic institution(s) indicating that
they will work in partnership with the applicant and provide
significant support for the proposed job creation project.
(c) Description of the Applicant's Relationship with a National
Consortium of Philanthropic Institutions--A description of the
applicant's and its partner locally based philanthropic institution's
relationship with a national consortium of philanthropic institutions,
financial services organizations and government agencies that support
neighborhood transformation in urban places. Applicants must include
documents showing clear commitment from a national consortium
indicating that it will work in partnership with the applicant and
provide significant support for the proposed job creation project.
(d) Proof of Status as Private Non-Profit Community Development
Corporation--Proof of status as a CDC. Please include any one of the
following:
. A list of governing board members along with their
designation as a community resident or business or civic leader; and
. Documentation that the applicant organization has as a
primary purpose planning, developing or managing low-income housing or
community development activities. This documentation may include
incorporation documents or other official documents that identify the
organization.
(e) Proof of Sufficiency of Financial Management System--The
following documentation: (1) A signed statement from a Certified or
Licensed Public Accountant as to the sufficiency of the applicant CDC's
financial management system in accordance with HHS regulation 45 CFR
part 74; and (2) Financial statements for the CDC for the prior three
years. If such statements are not available because the CDC is a newly
formed entity, the application must include a statement to this effect.
(Note: CDC grantees are responsible for ensuring that all grant funds
are expended in compliance with applicable federal regulations and
Federal Office of Management Budget Circulars.)
8. Budget and Budget Justification--Standard forms and a narrative
as follows:
Salary Information and Social Security Numbers: Applicants have the
option of omitting from the application copies (not the original)
specific salary rates or amounts for individuals specified in the
application budget and Social Security Numbers. The copies may include
summary salary information.
. Completed Standard Form 424--standard form signed by an
official representative of the applicant CDC who has authority to
obligate the organization.
. Standard Form 424A--Standard form concerning budget issues
for non-construction projects.
. Narrative Budget Justification--Narrative information
about each object class category required under Section B, Standard
Form 424A.
Application Format
Applicants should submit one signed original application and two
additional copies of the same application document.
Submit application materials on white 8\1/2\ x 11 inch paper only.
Do not use colored, oversized or folded materials.
Please do not include organizational brochures or other promotional
materials, slides, films, clips, etc.
The font size may be no smaller than 12 pitch and the margins must
be at least one inch on all sides.
Number all application pages sequentially throughout the package,
beginning with the abstract of the proposed project as page number one.
Please present application materials either in loose-leaf notebooks
or in folders with pages two-hole punched at the top center and
fastened separately with a slide paper fastener.
Page Limitation
The application package including sections for the Table of
Contents, Project Abstract, and Project Narrative may not exceed 65
pages. The page limitation does not include the following attachments
and appendices: Standard Forms for Assurances, Certifications,
Disclosures, appendices, and any other supplemental documents as
required in this announcement.
Required Standard Forms
Applicants requesting financial assistance for a non-construction
project must sign and return Standard Form 424B, Assurances: Non-
Construction Programs with their applications.
Applicants must provide a Certification Regarding Lobbying. Prior
to receiving an award in excess of $100,000, applicants shall furnish
an executed copy of the lobbying certification. Applicants must sign
and return the certification with their applications.
Applicants must make the appropriate certification of their
compliance with the requirements of the Pro-Children Act of 1994 as
outlined in Certification Regarding Environmental Tobacco Smoke. By
signing and submitting the applications, applicants are providing the
certification and need not mail back a certification form.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms'' titled ``Survey for Private, Non-Profit Grant Applicants.''
The forms are located on the Web at http://www.acf.hhs.gov/programs/ofs/forms.htm.
IV.3 Submission Dates and Times
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern Standard Time) on June 25, 2004. Mailed or hand carried
applications received after 4:30 p.m. on the closing date will be
classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Community Services
Operations Center, 1815 North Fort Myer Drive, Suite 300, Arlington,
Virginia 22209. Applicants are responsible for mailing applications
well in advance, when using all mail services, to ensure that the
applications are received on or before the deadline time and date.
Applications hand carried by applicants, applicant couriers, other
representatives of the applicant, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 8 a.m.
and 4:30 p.m., EST, at the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Community Services
Operations Center, 1815 North Fort Myer Drive, Suite 300, Arlington,
Virginia 22209, between Monday and Friday (excluding Federal holidays).
This address must appear on the envelope/package containing the
application with the note: ``Attention: Office of Community Services
Operations Center''. Applicants are cautioned that express/overnight
mail services do not always deliver as agreed.
Late applications: Applications that do not meet the criteria above
will be considered late applications. ACF will notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (floods, hurricanes, etc.) occur, or
when there are widespread disruptions of mail service. Determinations
to extend or waive deadline requirements rest with the Chief Grants
Management Officer.
Required Forms:
| What to submit | Required Content | Required Form or Format | When to Submit |
|---|---|---|---|
|
1. Table of Contents |
A numbered list of key parts of the application. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
2. Project Summary/Abstract |
Very brief narrative that identifies the type of project, the target population and the major elements of the work plan. | Consistent with guidance in the ''Application Content'' sub-section. | By application due date. |
|
3. Objectives and Needs |
Narrative that describes the economic situation and needs of residents of the target neighborhood(s) and the comprehensive community building or neighborhood transformation effort that is planned or currently underway in that neighborhood. |
Consistent with guidance in ''Application Content'' sub-section and the ``Evaluation Criteria'' section of this announcement. | By application due date. |
|
4. Results or Benefits Expected |
Narrative that identifies the results and benefits to be derived. For example, the number of new jobs that will be targeted for residents. | Consistent with guidance in ''Application Content'' sub-section and the ``Evaluation Criteria'' section of this announcement. | By application due date. |
|
5. Approach |
Overall Project Work Plan including plans for Phase Two. | Consistent with guidance in ''Application Phase One and section ``Evaluation Criteria'' section (see above) and the ``Evaluation Criteria'' section of this announcement. The Phase Two Work Plan should include an initial draft Business Plan concerning the businesses or other economic ventures planned for that phase of the project. | By application due date. |
|
6. Project Assessment/Evaluation Plan |
Description of the plan to assess project outcomes include: (1) details about the evaluation design; (2) information about the proposed evaluator; and (3) plans for reporting. | Consistent with guidance in ''Application Content'' sub-section and the ``Evaluation Criteria'' section of this announcement. | By application due date. |
| 7.
Organizational Profile |
Description of organizational ability including: (a) Documentation of non-profit status; (b) Description of the applicant's relationship with local philanthropic institution; (c) Description of the applicant's relationship with national consortium of philanthropic institutions, financial service institutions and government agencies; (d) Proof of Status as Private Non-Profit Community Development Corporation; and (e) Proof of Sufficiency of Financial Management System. | Consistent with guidance in the ``Additional Information on Eligibility'' section, the ``Application Content'' sub-section and the ``Evaluation Criteria'' section of this announcement. | By application due date. |
| 8.
Budget and Budget Justification |
Budget information including: (a) Narrative budget justification; (b) Completed Standard Form 424; (c) Completed Standard Form 424A. | Consistent with guidance in ``Application Content'' section of this announcement. See Section VIII ``Other Information'' for guidelines for budget and budget justifications.. Required Standard Forms are posted on the Internet at http://www.acf.hhs.gov/ | By application due date. |
| 9.
Certification regarding lobbying |
As per required form. | Required Standard Forms are posted on the Internet at http://www.acf.hhs.gov/. | By application due date. |
| 10.
Certification regarding environmental tobacco smoke |
As per required form. | Required Standard Forms are posted on the Internet at http://www.acf.hhs.gov/. | By application due date. |
Additional Forms: Private-non-profit organizations may submit with
their applications the additional survey located under ``Grant Related
Documents and Forms'' titled ``Survey for Private, Non-Profit Grant
Applicants''.
| What to submit | Required Content | Required Form or Format | When to Submit |
|---|---|---|---|
|
Survey for Private, Non-Profit |
Per required form. | May be found on http://www.acf.hhs.gov/. | By application due date. |
IV.4 Intergovernmental Review
State Single Point of Contact (SPOC)
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. As of June 20, 2001, the following
jurisdictions have elected not to participate in the Executive Order
process. Applicants from these jurisdictions or for projects
administered by federally-recognized Indian Tribes need take no action
in regard to E.O. 12372:
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington and Wyoming have elected to participate in the
Executive Order process and have established Single Point of Contacts
(SPOCs). Applicants from these twenty-five jurisdictions need take no
action regarding Executive Order 12372.
Although the jurisdictions listed above no longer participate in
the process, entities which have met the eligibility requirements of
the program are still eligible to apply for a grant even if a State,
Territory, Commonwealth, etc. does not have a SPOC. 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 about 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 new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to clearly differentiate between mere advisory comments and
those official State process recommendations which may trigger the
``accommodate or explain'' rule.
Comments should be submitted directly to Department of Health and
Human Services, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, 370 L'Enfant
Promenade, SW., Washington, DC 20447. A list of the Single Points of
Contact for each State and Territory is included with the application
materials for this announcement.
IV.5 Funding Restrictions
Cost Per Job
OCS will not fund projects with a cost-per-job that exceeds $10,000
in OCS Community Economic Development (CED) grant funds. An exception
will be made if the project includes purchase or major renovation of
real estate. In this instance, the applicant must explain the factors
that raise the cost beyond $10,000. In no instance will OCS allow for
more than $15,000 cost per job in CED funds. Cost per job is calculated
by dividing the number of jobs to be created by the total grant amount.
National Historic Preservation Act
If an applicant is proposing a project that will affect a property
listed in, or eligible for, inclusion in the National Register of
Historic Places, it must identify this property in the application
narrative (the Phase One or Phase Two Work Plans) and explain how it
has complied with the National Historic Preservation Act of 1996, as
amended. If there is any question as to whether property is listed in
or eligible for inclusion in the National Register of Historic Places,
the applicant must consult with the State Historic Preservation Officer
and describe in the narrative the results of this consultation.
Sub-Contracting or Delegating Projects
OCS will not consider applications that propose projects where the
applicant would serve primarily as a conduit of funds to other
organizations. Grantee CDCs must have a substantive role in
implementing the proposed project. Grantees may award sub-grants or
enter into sub-contracts with other organizations for specific services
or activities.
Number of Projects in Application
Each application may include only one proposed project.
Prohibited Activities
OCS will not consider applications that propose to establish either
a Small Business Investment Corporation or a Minority Enterprise Small
Business Investment Corporation.
OCS will not consider applications for projects that focus
primarily on education and job training or that involve training and
placement for existing vacant jobs. Grantees may use OCS funds to
support specific job-related training for individuals who have been
selected for employment in the grant support project.
OCS will not consider applications for projects that would result
in the relocation of a business from one geographic area to another
resulting in job displacement.
Pre-award costs will not be covered by an award.
Limitations on Current Grantees: Applicants that are currently
administering previously awarded OCS CED grants for Incremental
Development Projects (IDP) are not eligible to receive a CDC/NPI
project grant during the one-year period following the end of the
project period of the last IDP grant award.
IV.6 Other Submission Requirements
Submission by Mail: An Applicant must provide an original
application with all attachments, signed by an authorized
representative and two copies. The Application must be received at the
address below by 4:30 PM Eastern Standard Time on or before the closing
date. Applications should be mailed to: Department of Health and Human
Services (HHS), Administration for Children and Families, Office of
Community Services Operations Center, 1815 Fort Meyer Drive, Suite 300,
Arlington, Virginia 22209.
For Hand Delivery: Applicant must provide an original application
with all attachments, signed by an authorized representative and two
copies. The Application must be received at the address below by 4:30
PM Eastern Standard Time on or before the closing date. Applications
that are hand delivered will be accepted between the hours of 8 a.m. to
4:30 p.m., Monday through Friday. Applications may be delivered to:
Department of Health and Human Services (HHS) Administration for
Children and Families, Office of Community Services Operations Center,
1815 Fort Meyer Drive, Suite 300, Arlington, Virginia 22209. It is
strongly recommended that applicants obtain documentation that the
application was hand delivered on or before the closing date.
Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.
V. Application Review Information
1. Criteria
Instructions: ACF Uniform Project Description (UPD)
The following are instructions and guidelines on how to prepare the
``project summary/abstract'' and ``Full Project Description'' sections
of the application. The generic UPD requirement is followed by the
evaluation criterion specific to the Community Economic Development
National Philanthropic Institution Projects program. Public Reporting
for this collection of information is estimated to average 25 hours per
response, including the time for reviewing instructions, gathering and
maintaining the data needed, and reviewing the collection information.
The project description is approved under OMB Control Number 0970-
0139 which expires 3/31/2004.
An agency may nor 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.
Purpose
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. In preparing your project
description, all information requested through each specific evaluation
criteria should be provided. Awarding offices use this and other
information in making their funding recommendations. It is important,
therefore, that this information be included in the application.
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions and the specified evaluation criteria. The
instructions give a broad overview of what your project description
should include while the evaluation criteria expands and clarifies more
program-specific information that is needed.
Project Summary/Abstract
Provide a summary of the project description (a page or less) with
reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated; supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
Results or Benefits Expected
Identify the results and benefits to be derived. Explain how the
project will reach the targeted population and how it will benefit
participants or the community.
Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in, for
example, such terms as the ``number of people served.'' When
accomplishments cannot be quantified by activity or function, list them
in chronological order to show the schedule of accomplishments and
their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
Evaluation
Provide a narrative addressing how the results of the project and
the conduct of the project will be evaluated. In addressing the
evaluation of results, state how you will determine the extent to which
the project has achieved its stated objectives and the extent to which
the accomplishment of objectives can be attributed to the project.
Discuss the criteria to be used to evaluate results, and explain the
methodology that will be used to determine if the needs identified and
discussed are being met and if the project results and benefits are
being achieved. With respect to the conduct of the project, define the
procedures to be employed to determine whether the project is being
conducted in a manner consistent with the work plan presented and
discuss the impact of the project's various activities on the project's
effectiveness.
Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports, documentation of professional accreditation,
information on compliance with Federal/State/local government
standards, documentation of experience in the program area, and other
pertinent information. A non-profit agency 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 the
currently valid IRS tax exemption certificate, or by providing a copy
of the articles of incorporation bearing the seal of the State in which
the corporation or association is domiciled.
Budget and Budget Justification
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 that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
Evaluation Criterion I: Organizational Profiles (Maximum: 35 Points)
Factors:
(1) Organizational Ability and Facilities/Resources. The extent to
which the application presents compelling information that the
applicant CDC will successfully implement business development,
commercial development, physical development, or financial service
projects. The extent to which the applicant describes its facilities
and other key resources (i.e., space and equipment to carry out the
work plan).
(2) Staff skills, resources and responsibilities. The extent to
which the application shows that the proposed staff has skills and
experience appropriate for the project and that the staff will have
sufficient resources and organizational support to assure timely
implementation of the project in a cost-effective manner. For example,
that the proposed Project Director has sufficient experience, skills
and professional capabilities to manage this project and, if the
Project Director or other key staff has not yet been identified, the
extent to which the application describes the process that will be used
to hire staff for key positions.
(3) Vital Partnerships with Philanthropic Institutions. The extent
to which the applicant provides clear evidence that it is working
closely with one or more local philanthropic institution(s) and a
national consortium of philanthropic institutions, financial services
organizations and government agencies. The extent to which the
applicant provides evidence of a history of strong and productive
partnership with a local philanthropic institution by, for example:
Evidence of collaborative efforts; evidence of past or current support
(financial or other support) from the philanthropic institution(s) and
the national consortium; and information that the philanthropic
institution(s) and the national consortium would provide additional
resources for the proposed project.
Evaluation Criterion II: Approach (Maximum: 25 Points)
Factors:
(1) Overall project plan. The extent to which the application
presents a clear and logical plan that lists the major tasks and
explains how it will succeed in accomplishing the key objectives (e.g.,
the development of businesses and creation of jobs for low-income
persons) during the Project Period. For example, the degree to which
the application describes quarterly time targets for key tasks.
(2) Plan for Phase One. The extent to which the application
describes a clear plan for the initial phase of the project. For
example, a thorough presentation of a clear approach for developing
information about the target neighborhood(s) and identifying
appropriate job-creation strategies for low-income people in that area;
strategies for promoting the overall neighborhood transformation
project and involving other community-based organizations and other
potential investors in the planning for the project; tactics for
developing the organizational capacity of the applicant CDC (if
warranted); and plans for creating an effective work plan for Phase
Two.
(3) Plan for Phase Two. The extent to which the application
describes a clear plan for Phase Two. For example, the extent to which
the applicant describes firm details about specific activities that the
applicant and/or its national philanthropic partner(s) or other
partners will implement in Phase Two.
(4) Draft Business Plan. The extent to which the application
describes an initial draft Business Plan for businesses or other
ventures planned for Phase Two.
Evaluation Criterion III: Objectives and Need for Assistance (Maximum:
25 Points)
a. Description of and Responsiveness to Needs
Factors:
(1) Description of needs. The extent to which the application
documents the needs of the target neighborhood(s). For example, the
extent to which the application documents that both the unemployment
rate and poverty level for the targeted neighborhood or community are
equal or greater than the national level and cites the most recent
available statistics from published sources, e.g., the recent U.S.
Census or updates, the State, county, city, election district, and
other information.
(2) Responsiveness to needs. The extent to which the application is
responsive to needs of the target neighborhoods. For example, the
extent to which the application describes the critical issues or
potential problems that might have a negative affect on the project.
Furthermore, the extent to which the application describes how the
applicant would address these issues.
b. Resource Mobilization and Services Integration:
Factors:
(1) Support from Key Organizations. The extent to which the
application describes how the applicant would mobilize needed assistance
from public and private sources. For example, the extent to which the
application describes funding or other vital resources including in-kind
contributions from non-federal sources for the project.
(2) Coordination with Partner Agencies and Private Organizations.
The extent to which the application demonstrates that the applicant has
commitments or agreements with local agencies responsible for
administering child support enforcement, the local Temporary Assistance
for Needy Families (TANF) program or the local employment education,
and training programs to ensure that welfare recipients, at-risk youth,
displaced workers, public housing tenants, homeless and low-income
individuals, and low-income custodial and non-custodial parents will be
trained and placed in the newly created jobs.
Evaluation Criterion IV: Results or Benefits Expected (Maximum: 10
Points)
a. Benefits Expected
Factors:
(1) Measurable Results. The extent to which the application will
produce permanent and measurable results including, but not limited to,
employment and business development opportunities that reduce poverty
and the need for TANF assistance in the community and thus enable
families to be economically self-sufficient.
(2) Permanent Employment for Area Residents. The extent to which
the applicant demonstrates that the project will, during the project
period, result in new, permanent jobs or maintain permanent jobs for
low-income residents at a cost-per-job not to exceed $10,000 in OCS
funds. For example, the extent to which the applicant documents that
the jobs to be created for low-income people have career development
opportunities that will promote self-sufficiency.
b. Evaluation Design
Factors:
(1) Evaluation Design. The extent to which the application presents
a through outline of an evaluation plan that identifies the principal
cause-and-effect relationships to be tested, and that demonstrates the
applicant's understanding of the role and purpose of both process and
outcome evaluations. For example, the extent to which the application
indicates that the applicant is committed to the selection of a third-
party evaluator approved by OCS. Furthermore, the extent to which the
applicant demonstrates that they will be able to complete a final
evaluation design and plan, in collaboration with the approved
evaluator and the OCS Evaluation Technical Assistance provider during
the six-month start-up period of the project.
(2) Third-Party Evaluator. The extent to which the applicant
identifies and describes a proposed third-party evaluator and
demonstrates that the proposed evaluator is knowledgeable about, and
has experience in, conducting process and outcome evaluations in the
job creation field, and has a thorough understanding of the range and
complexity of the problems faced by the target population.
(3) Project Reporting. The extent to which the application presents
a reporting format based on its proposed activities and their
effectiveness. For example, the extent to which the applicant proposes
to submit semi-annual program progress reports that will provide OCS
with insights and lessons learned concerning the various aspects of the
work plan, such as recruitment, training, support, public-private
partnerships, and coordination with other community resources, as they
may be relevant to the proposed project.
Evaluation Criterion V: Budget and Budget Justification (Maximum: 5 Points)
Factors:
(1) Budget Amount. The extent to which the applicant seeks funding
in an amount that is commensurate with the level of effort necessary to
accomplish the goals and objectives of the project. For example, the
extent to which the estimated cost to the government of the project is
reasonable in relation to the anticipated results.
(2) Budget Detail. The extent to which the application includes a
detailed budget breakdown and a narrative justification for each of the
budget categories in the SF-424A. For example, the extent to which the
applicant presents a reasonable administrative cost.
V.2 Review and Selection Process
OCS Evaluation of Applications
Applications that pass the initial program eligibility screening
will be reviewed and rated by a panel based on the program elements and
review criteria presented in relevant sections of this program
announcement.
The review criteria are designed to enable the review panel to
assess the quality of a proposed project and determine the likelihood
of its success. The criteria are closely related to each other and are
considered as a whole in judging the overall quality of an application.
The review panel awards points only to applications that are responsive
to the program elements and relevant review criteria within the context
of this program announcement.
The OCS Director and program staff use the reviewer scores when
considering competing applications. Reviewer 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 the review panel. Because other important factors
are taken into consideration, highly ranked applications are not
guaranteed funding. These other considerations include, for example:
the timely and proper completion by the applicant of projects funded
with OCS funds granted in the last five (5) years; comments of
reviewers and government officials; staff evaluation and input; 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
disallowance on previous OCS or other Federal agency grants.
Funding Considerations: In cases where an application ranks high
and is competitive, the following may apply: (a) Previous performance
of the applicant is an important determining factor in the grant award
decision; (b) OCS may conduct a pre-award site visit to assess an
applicant prior to making a final determination on the grant award.
VI. Award Administration Information
VI.1 Award Notices
Following approval of the applications selected for funding, notice
of project approval and authority to draw down projects will be made in
writing. The official award document is the Financial Assistance Award,
which provides the amount of Federal funds approved for use in the
project, the project and budget periods for which support is provided,
the terms and conditions of the award, and the total project period for
which support is contemplated. The Financial Assistance Award will be
signed by the Grants Officer.
VI.2 Administrative and National Policy Requirements
Grantees are subject to the requirements in 45 CFR part 74 (non-
governmental) or 45 CFR part 92 (governmental).
Upon successful completion of Phase I, the final and thorough Phase
II Business Plan is due. Applicants NEED NOT submit this information
with their applications. However, applicants should note that this
information will be required prior to receiving funds for Phase II
activities. The Phase II Business Plan must follow the following format
and include the following information:
(1) Executive Summary.
(2) Description of the business: The business as a legal entity and
its general business category. Business activities must be described by
Standard Industrial Codes (SIC) using the North American Industry
Classification System (NAICS) and jobs by occupational classification.
This information is published by the U.S. Department of Commerce in the
Statistical Abstract of the United States, 1998, Tables No. 679 and
680. These tables include information necessary to meet this
requirement.
(3) Description of the industry, current status and prospects.
(4) Products and services, including detailed descriptions of:
(a) Products or services to be sold;
(b) Proprietary position of any of the product, e.g., patents,
copyright, trade secrets;
(c) Features of the product or service that may give it an
advantage over the competition;
(5) Market Research: This section describes the research conducted
to assure that the business has a substantial market to develop and
achieve sales in the face of competition. This includes researching:
(a) Customer base: Describe the actual and potential purchasers for
the product or service by market segment.
(b) Market size and trends: Describe the site of the current total
market for the product or service offered;
(c) Competition: Provide an assessment of the strengths and
weaknesses of the competition in the current market;
(d) Estimated market share and sales: Describe the characteristics
of the product or service that will make it competitive in the current
market;
(6) Marketing Plan: The marketing plan details the product,
pricing, distribution, and promotion strategies that will be used to
achieve the estimated market share and sales projections. The marketing
plan must describe what is to be done, how it will be done and who will
do it. The plan addresses overall marketing, strategy, packaging,
service and warranty, pricing, distribution and promotion.
(7) Design and Development Plans: If the product, process or
service of the proposed venture requires any design and development
before it is ready to be placed on the market, describe the nature,
extent and cost of this work. The section covers items such as
development status and tasks, difficulties and risks, product
improvement and new products and costs.
(8) Operations Plan: An operations plan describes the kind of
facilities, site location, space, capital equipment and labor force
(part and/or full time and wage structure) that are required to provide
the company's product or service.
(9) Management Team: This section describes the technical,
managerial and business skills and experience to be brought to the
project. It is a description of key management personnel and their
primary duties; compensation and/or ownership; the organizational
structure and placement of this proposed project within the
organization; the board of directors; management assistance and
training needs; and supporting professional services.
(10) Overall Schedule: This section is the implementation plan
which shows the timing and interrelationships of the major events or
benchmarks necessary to launch the venture and realize its objectives.
This includes a month-by-month schedule of activities such as product
development, market planning, sales programs, production and
operations. If the proposed project is for construction, this section
lays out timeframes for conduct of predevelopment, architectural,
engineering and environmental and other studies, and acquisition of
permits for building, use and occupancy that are required for the
project.
(11) Job Creation: This section describes the job creation
activities and projections expected as a result of this project. This
includes a description of the strategy that will be used to identify
and hire individuals who are low-income, including those on TANF. This
section includes the following:
(a) The number of permanent jobs that will be created during the
project period, with particular emphasis on jobs for low-income
individuals.
(b) For low-income individuals, the number of jobs that will be
filled by low income individuals (this must be at least 60 percent of
all jobs created); the number of jobs that have career development
opportunities and a description of those jobs; the number of jobs that
will be filled by individuals receiving TANF; the annual salary
expected for each person employed.
(c) For low income individuals who become self-employed, the number
of self-employed and other ownership opportunities created; specific
steps to be taken including on-going management support and technical
assistance provided by the grantee or a third party to develop and
sustain self-employment after the businesses are in place; and expected
net profit after deductions of business expenses.
Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.
(12) Financial Plan: The financial plan demonstrates the economic
supports underpinning the project. It shows the project's potential and
the timetable for financial self-sufficiency. The following exhibits
must be submitted for the first three years of the business's
operation:
(a) Profit and Loss Forecasts--quarterly for each year;
(b) Cash Flow Projections--quarterly for each year;
(c) Pro forma balance sheets--quarterly for each year;
(d) Sources and Use of Funds Statement for all funds available to
the project;
(e) Brief summary discussing any further capital requirements and
methods or projected methods for obtaining needed resources.
(13) Critical Risks and Assumptions: This section covers the risks
faced by the project and assumptions surrounding them. This includes a
description of the risks and critical assumptions relating to the
industry, the venture, its personnel, the product or service market
appeal, and the timing and financing of the venture.
(14) Community Benefits: This section describes other economic and
non-economic benefits to the community such as development of a
community's physical assets; provision of needed, but currently
unsupplied, services or products to the community; or improvement in
the living environment.
VI.3 Reporting
All grantees are required to submit semi-annual program and
financial reports (SF-269) with a final report due 90 days after the
project end date. A suggested format for the program report will be
sent to all grantees after the awards are made.
VII. Agency Contacts
Program Office Contact
Debbie Brown, Office of Community Services, 370 L'Enfant Promenade,
SW., Suite 500 West, Aerospace Building, Washington, DC 20447-0002, E-
mail: dbrown@acf.hhs.gov, Telephone: (202) 401-3446.
Grants Management Office Contact
Barbara Ziegler Johnson, Office of Grants Management, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., Aerospace Building,
Washington, DC 20447-0002, E-mail: bziegler-johns@acf.hhs.gov,
Telephone: (202) 401-4646.
General Contact
Office of Community Services, Operations Center, 1815 North Fort
Myer Drive, Suite 300, Arlington, Virginia 22209, E-mail:
ocs@lcgnet.com, Telephone: (800) 281-9519.
VIII. Other Information
Additional information about this program and its purpose can be
located on the following Web site: http://www.acf.hhs.gov/programs/ocs.
Dated: April 29, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-10555 Filed 5-10-04; 8:45 am]
BILLING CODE 4184-01-P
