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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:
The Community Services Block Grant Program
Community Economic Development Discretionary Grant Program--Priority
Area: Planning Projects
Announcement Type: Initial
Funding Opportunity Number: HHS-2004-ACF-OCS-ED-0026
CFDA Number: 93.570
Due Date: The due date for receipt of applications is July 19, 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 of the U.S. Department of Health and Human Services to make
grants to 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
development opportunities. Pursuant to this Announcement OCS will award
planning grants to Community Development Corporations (CDCs) that are
less than three years old or inexperienced in implementing economic
development projects. The primary purpose of this Priority Area is to
assist eligible CDCs in planning, developing organizational capacity,
identifying potential projects, mobilizing resources and developing a
business plan to implement a project. Low-income beneficiaries of such
projects include those who are determined to be living in poverty as
determined by the HHS Guidelines on Poverty (See Appendix A). They may
be unemployed, on public assistance, including Temporary Assistance for
Needy Families (TANF), are at risk teenagers, custodial and non-
custodial parents, public housing residents, persons with disabilities
and persons who are homeless.
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 within which 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 takes three to six months from the time 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 activities.
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.
Developmental/Research Phase--The time interval during the Project
Period that precedes the Operational Phase. Grantees accomplish
preliminary activities during this phase 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.
Displaced worker--An individual in the labor market who has been
unemployed for six months or longer.
Distressed community--A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
Employment education and training program--A program that provides
education and/or training to welfare recipients, at-risk youth, public
housing tenants, displaced workers, homeless and low-income individuals
and that has demonstrated organizational experience in education and
training for these populations.
Empowerment Zone and Enterprise Community Project Areas (EZ/EC)--
Urban neighborhoods and rural areas designated as such by the
Secretaries of Housing and Urban Development and Agriculture.
Equity investment--The provision of capital to a business entity
for some specified purpose in return for a portion of ownership using a
third party agreement as the contractual instrument.
Faith-Based Community Development Corporation--A community
development corporation that has a religious character.
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.
Loan--Money lent to a borrower under a binding pledge for a given
purpose to be repaid, usually at a stated rate of interest and within a
specified period.
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.
Operational Phase--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.
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?
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/
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.
Pre-Development Phase--The time interval during the Project Period
when an applicant or grantee plans a project, conducts feasibility
studies, prepares a business or work plan and mobilizes non-OCS
funding.
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.
Revolving loan fund--A capital fund established to make loans
whereby repayments are re-lent to other borrowers.
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.)
Technical assistance--A problem-solving event generally using the
services of a specialist. Such services may be provided on-site, by
telephone or by other communications. These services address specific
problems and are intended to assist with immediate resolution of a
given problem or set of problems.
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 (Public Law 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.
Project Goals
CED projects should further HHS goals of strengthening American
families and promoting their self-sufficiency, and OCS goals of
promoting healthy families in healthy communities. The CED Program is
particularly directed toward public-private partnerships that develop
employment and business opportunities for low-income people and
revitalize distressed communities.
Project Scope
Planning grants may include three to five feasibility studies
covering business startups, business expansions, development of new
products and services, and other newly-undertaken physical and
commercial activities. Projects must result in a business
plan that will provide for employment and business opportunities for
low-income individuals. Each applicant must describe the project scope
including the low-income community to be served, and capacity building
activities to be undertaken.
Priority Area: Community Economic Development Program (CED)
Priority Area: Planning Projects (PP)
Pursuant to this Program Announcement, OCS will award grants to
CDCs that are inexperienced in implementing economic development
projects. The primary purpose of this priority area is to assist
eligible CDCs in planning, developing organizational capacity,
identifying potential projects, mobilizing resources and developing a
business plan to implement a project.
Eligible applicants cannot be more than three years old, or if more
than three years old, have no experience in implementing economic
development projects. (For the latter type of applicant, a written
assurance must be provided in the project narrative that states ``The
applicant has no previous participation in economic development
projects.'') The phrase ``no previous participation in economic
development projects'' means an eligible applicant has not sponsored
nor had any significant participation in projects that have provided
employment or business development opportunities through business
startups, expansions or development provision of financial services. In
addition, applicants with housing experience must not have had primary
responsibility in planning, developing, and managing housing projects.
Under this priority area, applicants may incur costs to: (a)
Evaluate the feasibility of potential economic development projects (b)
Develop a business plan related to a chosen project; (c) Mobilize
resources for the chosen project; and (d) Develop organizational
capacity. Examples of activities under item (d) are hiring staff,
training board members and staff, recruiting community volunteers and
developing management information systems.
The maximum CED award for a Planning Project cannot exceed $75,000,
including the cost of travel for the program director to attend a two-
day workshop in Washington, DC. The project and budget period can be no
longer than 12 months. The result of a planning project is a business
and work plan for a specific project for which the applicant may seek
other Priority Area funds.
II. Award Information
Funding Instrument Type: Grants.
Anticipated total Priority Area Funding: $750,000 in FY 2004.
Anticipated Number of Awards: 10-12.
Ceiling on amount of individual Awards: $75,000 per budget/project
period.
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.
Floor of Individual Award Amounts: None.
Average projected Award Amount: $75,000 per budget/project period.
Project Periods for Awards: 12 months.
III. Eligibility Information
1. Eligible Applicants
Nonprofits having a 501(c)(3) status with the IRS, other than
institutions of higher education
Nonprofits that do not have a 501(c)(3) status with the IRS, other than
institutions of higher education
Other Faith-based Organizations
An applicant must be a private, non-profit Community Development
Corporation (CDC) less than three years old or inexperienced in
developing and managing economic development projects. For purposes of
this grant program, the CDC must be governed by a Board of Directors
consisting of residents of the community and business and civic
leaders. The CDC must have as a principal purpose: planning,
developing, or managing low-income housing or community development
activities.
Additional Information on Eligibility: Applicants that do not
include proof of nonprofit status in the application will be
disqualified.
Any non-profit organization submitting an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing 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; or any of
the items referenced 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.
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''
at http://www.acf.hhs.gov/programs/ofs/forms.htm. Participation or lack
of participation with this survey will not affect your application
score nor your chance of receiving an award.
Applications that do not include proof of CDC status in the
application will be disqualified.
An applicant must be a private, non-profit Community Development
Corporation. For purposes of this grant program, the CDC must be
governed by a Board of Directors consisting of residents of the
community and business and civic leaders. The CDC must have as a
principal purpose, planning, developing, or managing low-income housing
or community development projects.
Applicants must document their eligibility as a CDC for the
purposes of this grant program. The application must include a list of
governing board members along with their designation as a community
resident, or business or civic leader. In addition, the application
must include documentation that the 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.
Non-profit organizations applying for funding are required to
submit proof of their non-profit status. 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 singed by the
parent organization that the applicant organization is a local non-
profit affiliate.
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.
IV. Application and Submission Information
1. Address To Request Application Package
Office of Community Services, Operations Center, 1815 North Fort
Meyer Drive, Suite 300, Arlington, Virginia 22209, Email:
OCS@lcgnet.com, Telephone: (800) 281-9519.
2. Content and Form of Application Submission
1. Application Content
Each application must include the following components:
1. Table of Contents.
2. Abstract of the Proposed Project--one or two paragraphs, not to
exceed 350 words, that describe the community in which the project will
be implemented, beneficiaries to be served, type(s) of business(es) to
be developed, type(s) of jobs to be created, projected cost-per-job,
any land or building to be purchased or building constructed, resources
leveraged and intended impact on the community.
3. Completed Standard Form 424--that has been signed by an official
of the organization applying for the grant who has legal authority to
obligate the organization. Under Box 11. indicate the Priority Area for
which the application is written.
4. Standard Form 424A--Budget Information-Non-Construction
Programs.
5. Standard Form 424B--Assurances-Non-Construction Programs.
6. Narrative Budget Justification--for each object class category
required under Section B, Standard Form 424A.
Applicants are encouraged to use job titles and not specific names
in developing the application budget. However, the specific salary
rates or amounts for staff positions identified must be included in the
application budget.
7. Project Narrative--A narrative that addresses issues described
in the ``Application Review Information'' and the ``Review and
Selection Criteria'' sections of this announcement.
2. Application Format
Submit application materials on white 8\1/2\ x 11 inch paper only.
Do not use colored, oversized or folded materials.
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.
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.
Each application should include one signed original and two
additional copies.
3. Page Limitation
The application package including sections for the Table of
Contents, Project Abstract, Project and Budget Narratives, business and
work plans must not exceed 60 pages. The page limitation does not
include Standard Forms and Assurances, Certifications, Disclosures,
appendices and any supplemental documents as required in this
announcement.
An application that exceeds the page limitation specified will be
considered ``non-responsive'' and be returned to the applicant without
further review.
4. Required Standard Forms
Applicants must submit completed and signed SF 424 Application for
Federal Assistance, SF 424A Budget Information--Non-Construction
Programs, and Standard Form 424B, Assurances: Non-Construction
Programs.
Applicants must provide a certification regarding lobbying when
applying for an award in excess of $100,000. Applicants must sign and
return the certification with their applications.
Applicants must disclose lobbying activities on the Standard Form
LLL when applying for an award in excess of $100,000. Applicants who
have used non-Federal funds for lobbying activities in connection with
receiving assistance under this announcement shall complete a
disclosure form to report lobbying. Applicants must sign and return the
disclosure form, if applicable, with their applications.
Applicants must make the appropriate certification of their
compliance with all Federal statutes relating to nondiscrimination.
Applicants provide certification by signing the SF 424 and need not
mail back the certification with the application.
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.
Applicants provide certification by signing the SF 424 and need not
mail the application back with the application.
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
apply site. If you use Grants.gov, you will be able to
download a coy 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 and 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
assurances 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 Administrationfor Children and
Families will retrieve your application from Grants.
. 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.
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''
at http://www.acf.hhs.gov/programs/ofs/forms.htm.
3. Submission Date and Times
The closing time and date for receipt of applications is 4:30 p.m.
Eastern Standard Time (EST) on July 19, 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,
Administrationfor Children and Families, Office of Community Services'
Operations Center, 1815 Fort Meyer Drive, Suite 300, Arlington,
Virginia 22209 Attention: Operations Center. 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, Administrationfor Children and Families, Office of Community
Services' Operations Center, 1815 Fort Meyer Drive, Suite 300,
Arlington, Virginia 22209 Attention: Operations Center, between Monday
and Friday (excluding Federal holidays). This address must appear on
the envelope/package containing the application with the note:
``Attention: Operations Center''. Applicants are cautioned that
express/overnight mail services do not always deliver as agreed.
Late applications: Applications which do not meet the criteria
above are considered late applications and will not be considered. ACF
shall 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 mails 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 |
|---|---|---|---|
|
Table of Contents |
As described above. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Abstract of Proposed Project |
Identifies project, the target population and the major elements of the proposed project. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Completed Standard Form 424 |
As described above and per required form. |
May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Completed Standard Form 424A |
As described above and per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Completed Standard Form 424B |
As described above and per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Narrative Budget Justification |
As described above. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Project Narrative |
A narrative that addresses issues described in the ''Application Review Information'' and the ''Review and Selection Criteria'' sections of this announcement. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Certification regarding lobbying |
As described above and per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Certification regarding environmental tobacco smoke |
As described above and per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
1. SF424 |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | See application due date. |
|
2. SF424A |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | See application due date. |
| 3.a.
SF424B |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | See application due date. |
| 3.b.
Certification regarding lobbying. |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | See application due date. |
| 3.c.
Disclosure of Lobbying Activities (SF-LLL). |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | See application due date. |
| 4.
Project Summary/Abstract. |
Summary of application request. | See instructions in this funding opportunity announcement. | See application due date. |
|
5. Project Description |
Responsiveness to evaluation criteria. | See instructions in this funding opportunity announcement. | See application due date. |
|
6. Proof of non-profit status |
See above | See above. | See application due date. |
|
7. Indirect cost rate agreement. |
See above | See above. | See application due date. |
|
8. Letters of agreement & MOUs |
See above | See above. | See application due date. |
|
9. Letters of support |
See above | See above. | See application due date. |
|
10. Sole source justification |
See above | See above. | See application due date. |
|
11. Non-Federal share letter |
See above | See above. | See application due date. |
|
Total application |
See above | Application limit 90 pages total including all forms and attachments. Submit one original and two copies. | See application due date. |
Additional Forms: Private-non-profit organizations are encouraged
to 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 Grant Applicants |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
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 October 1, 2003, 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,
Minnesota, Montana, Nebraska, New Jersey, New York, Ohio, Oklahoma,
Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, Virginia,
Washington, Wyoming and Palau have elected to participate in the
Executive Order process and have established Single Points of Contact
(SPOCs). Applicants from these twenty-six jurisdictions need take no
action.
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 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 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.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Mail Stop 6C-462, 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.
5. Funding Restrictions
Sub-Contracting or Delegating Projects
OCS will not fund project where the role of the applicant is
primarily to serve as a conduit for funds to organizations other than
the applicant. The applicant must have a substantive role in the
implement of the project for which funding is requested. This
prohibition does not bar the making of sub-grants or sub-contracting
for specific services or activities needed to conduct the project.
Prohibited Activities
OCS will not consider applications that propose to establish Small
Business Investment Corporations or Minority Enterprise Small Business
Investment Corporations.
OCS will not fund projects that are primarily education and
training projects. In projects where participants must be trained, any
funds proposed for training must be limited to specific job-related
training to those individuals who have been selected for employment in
the grant supported project. Projects involving training and placement
for existing vacant positions will be disqualified from competition.
OCS will not fund 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.
6. Other Submission Requirements
Private Nonprofit Community Development Corporation
Applicants must provide proof of nonprofit status and proof of
status as a community development corporation as required by statute
and as described under ``Additional Information on Eligibility.''
Sufficiency of Financial Management System
Because CED funds are Federal, all grantees must be capable of
meeting the requirements of 45 CFR Part 74 concerning their financial
management system. To assure that the applicant has such capability,
applications must include a signed statement from a Certified or
Licensed Public Accountant as to the sufficiency of the CDCs financial
management system in accordance with 45 CFR 74 and 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. The CDC grantee is responsible
for ensuring that grant funds expended by it and the third party are
expended in compliance with Federal regulations of 45 CFR, Part 74 and
OMB Circular A-122.
Work Plan
An applicant must include a detailed work plan covering the
activities to be undertaken and benchmarks that demonstrate progress
toward stated goals and measurable objectives.
Evaluation
Applications must include provision for an independent,
methodologically sound evaluation of the effectiveness of the
activities carried out with the grant and their efficacy in creating
new jobs and business ownership opportunities. There must be a well-
defined process evaluation, and an outcome evaluation whose design will
permit tracking of project participants throughout the proposed project
period. The evaluation must be conducted by an independent evaluator,
i.e., a person with recognized evaluation skills who is
organizationally distinct from, and not under the control of, the
applicant. It is important that each successful applicant have a third-
party evaluator selected, and implement their role at the very latest
by the time the work program of the project is begun, and if possible
before that time so that he or she can participate in the design of the
program, in order to assure that data necessary for the evaluation will
be collected and available.
V. Application Review Information
1. Criteria
Paperwork Reduction Act of 1995 (Public Law 104-13)
Public reporting burden 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 of information.
The following information collections are included in the program
announcement: The project description is approved under Office of
Management and Budget (OMB) Control Number 0970-0139.
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.
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. For example,
describe the population to be served by the program and the number of
new jobs that will be targeted to the target population. Explain how
the project will reach the targeted population, how it will benefit
participants including how it will support individuals to become more
economically self-sufficient.
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 such
terms as the number of people to be served and the number of activities
accomplished. Account for all functions or activities identified in the
application. Cite factors that might accelerate or decelerate the work
and state your reasons for taking the proposed approach rather than
others. Describe any unusual features of the project such as design or
technical 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 or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission.
The 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.
1. Evaluation Criteria
Evaluation Criteria for Review and Evaluation of Applications Submitted
Under Priority Area 4--Planning Projects
Evaluation Criterion I: Approach (Maximum: 35 Points)
The application describes the project, feasibility studies it
proposes to conduct and organizational capacity building it proposes to
undertake. (0-5 Points)
The work plan is results-oriented and related to conducting
feasibility studies that address job creation and business development
opportunities for low-income individuals. The applicant addresses the
following: Specific outcomes to be achieved; performance targets that
the project is committed to achieving, including a discussion of how
project will verify the achievement of these targets; critical
milestones which must be achieved if results are to be gained;
organizational support, the level of support from the applicant
organization; past performance in similar work; and specific resources
contributed to the project that are critical to success. The planning
project is able to be implemented soon after a grant award is made. (0-
15 Points)
The work plan outlines realistic quarterly time schedules of work
tasks by which the objectives (including the development of
organizational capacity, a business plan and mobilization of resources)
will be accomplished not withstanding any such potential problems. (0-5
Points)
The narrative describes the basis on which the applicant will
determine the feasibility of a project and the determination of whether
to pursue a business plan. (0-5 points)
The work plan describes critical issues or potential problems that
might impact negatively on the project and it indicates how the project
objectives will be attained despite these issues or problems. (0-5
points)
Evaluation Criterion II: Results and Benefits Expected (Maximum: 25
Points)
The applicant will conduct three to five feasibility studies of
business development opportunities that may result in viable, full time
permanent jobs. (0-5 points)
The proposed businesses are in stable or growth industries that can
be sustained over the long term in the community. (0-5 points)
The business plan expected as a result of this project looks to be
feasible based on the organizational capability and experience of the
applicant's organization, management and/or staff. (0-5 points)
The applicant demonstrates capacity to mobilize resources from the
private sector, public resources, corporations and foundations, if the
proposed project is implemented. (0-10 points)
Evaluation Criterion III: Objectives and Need for Assistance (Maximum:
10 Points)
The applicant documents that the project addresses a vital need in
a distressed community. ``Distressed community'' is defined as a
geographic urban neighborhood or rural community with high unemployment
and pervasive poverty. The application documents that both the
unemployment rate and poverty level for the targeted neighborhood of
community are equal to or greater than the state or national level. The
applications 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 provided in support of its
contention. (0-7 points)
The applicant documents that it is an active partner in either a
new or on-going comprehensive community revitalization project such as:
A federally designated Empowerment Zone, Enterprise Community or
Renewal Community project that has clear goals of strengthening
economic and human development in target neighborhoods; a State or
local-government supported comprehensive neighborhood revitalization
project; or a privately supported community revitalization initiative.
(0-3 points)
Evaluation Criterion IV: Objectives and Need for Assistance (Maximum:
15 Points)
a. Organizational Profiles
The applicant demonstrates that it has the management capacity,
organizational structure and successful record of accomplishment
relevant to community development and that it has the ability to
mobilize other financial and in-kind resources. (0-10 points)
b. Staff Skills and Resources
The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but
whose professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description that indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. (0-5 points)
Evaluation Criterion V: Evaluation (Maximum: 10 Points)
The application includes a self-evaluation component that describes
criteria to be used to evaluate project results and explain the
methodology to be used to determine whether criteria are met. (0-5
points)
The application defines procedures to be employed to determine
whether the project is being conducted consistent with the work plans.
(0-5 points)
Evaluation Criterion VI: Budget and Budget Justification (Maximum: 5
Points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and the objectives of the project. (0-5 Points)
2. Review and Selection Process
Initial OCS Screening
Each application submitted to OCS will be screened to determine
whether it was received by the closing date and time.
Applications received by the closing date and time 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.
All applications must comply with the following requirements except
as noted:
(a) The application must contain a signed Standard Form 424
Application for Federal Assistance ``SF-424'', a Standard Form 424-A
Budget Information ``SF-424A'' and signed Standard Form 424B
Assurance-- Non-Construction Programs ``SF-424B'' completed according
to instructions provided in this Program Announcement. The forms 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. 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);
(b) The application must include a project narrative that meets
requirements set for in this announcement.
(c) The application must contain documentation of the applicant's
tax-exempt and CDC statuses as indicated in the ``Additional
Information on Eligibility'' section of this announcement.
OCS Evaluation of Applications
Applications that pass the initial OCS 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 the 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.
In cases where more applications are approved for funding than ACF
can fund with the money available, the Grants Officer shall fund
applications in their order of approval until funds run out. In this
case, ACF has the option of carrying over the approved applications up
to a year for funding consideration in a later competition of the same
program. These applications need not be reviewed and scored again if
the program's evaluation criteria have not changed. However, they must
then be placed in rank order along with other applications in the later
competition.
VI. Award AdministrationInformation
1. Award Notices: 90 days after the due date of applications.
2. Administrative and National Policy Requirements: 45 CFR Part 74.
3. Reporting.
Programmatic Reports: Semi-annually with final report due 90 days
after project end date.
Financial Reports: Semi-annually with final report due 90 days
after project end date.
Special Reporting Requirements: None.
VII. Agency Contacts
Program Office Contact: Debbie Brown, Office of Community Services,
370 L'Enfant Promenade, SW, Aerospace Building 5th Floor West,
Washington, DC 20447, Email: 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 4th Floor West, Washington, DC
20447-0002. Email: bziegler-johns1@acf.hhs.gov. Telephone: (202) 401-
4646.
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: May 11, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-11237 Filed 5-18-04; 8:45 am]
BILLING CODE 4184-01-P
