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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 Services Block Grant Program Community Economic Development Discretionary Grant Program--Operational Projects
Announcement Type: Initial
Funding Opportunity Number: HHS-2004-ACF-OCS-EE-0019
CFDA Number: 93.570
Due Date: The due date for receipt of applications is July 12, 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 operational project grants to Community Development Corporations
(CDCs) that are experienced in implementing economic development
projects.
The primary purpose of the Operational Projects (OPs) is to assist
eligible CDCs that have in place written commitments for all projected
non-OCS funding, project operations and site control for their economic
development 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 at http://aspe.hhs.gov/poverty/poverty.shtml.
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.
Operational Projects are designed to encourage rural and urban
community development corporations to create projects intended to
provide employment and business development opportunities for low-
income people through business or commercial development. Generally the
opportunities must aim to improve the quality of the economic and
social environment of TANF recipients; low-income residents including
displaced workers; at-risk teenagers; non-custodial parents,
particularly those of children receiving TANF assistance; individuals
residing in public housing; individuals who are homeless; and
individuals with disabilities. Grant funds under this announcement are
intended to provide resources to eligible applicants (CDCs) but also
have the broader objectives of arresting tendencies toward dependency,
chronic unemployment, and community deterioration in urban and rural
areas.
Eligible applicants should submit a business plan that shows the
economic feasibility of the venture. Applicants for an OP should have
in place written commitments for all projected non-OCS funding required
for the project. Written proof of commitments from third parties should
be submitted with the application. Letters of support, only, are
insufficient. The application should also clearly explain whether it
has site control, and if not, the time period required to obtain site
control.
Under this OP grant announcement for Fiscal Year 2004, particular
emphasis will be placed on applications for retail development that
will (1) bring goods and services into underserved urban communities,
(2) provide at least 60 sustainable jobs with benefits per site and (3)
provide equity ownership for CDCs. The application must include a
signed commitment on the part of a retailer to establish one or more
businesses in an urban area. Because the approach to retail is city-
wide, unlike other CED awards, these grants may fund more than one
project. In addition to other costs allowed under the Operational
Project (OP) announcement, funds may be used for an assessment of the
retail market in a city, a demographic analysis of potential consumers,
identification of funding and other resources available to the project,
and means to integrate social and community services into the project.
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
Projects may include business startups, business expansions,
development of new products and services, and other newly-undertaken
physical and commercial activities. Projects must result in creation of
new jobs. Each applicant must describe the project scope including the
low-income community to be served, business activities to be undertaken
and the types of jobs to be created.
Definitions of Terms
The following definitions apply:
Beneficiaries--Low-income individuals (as defined in the most
recent annual revision of the Poverty Income Guidelines published by
the U.S. Department of Health and Human Services) who receive direct
benefits and low-income communities that receive direct benefits.
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. A CDC may be faith-based.
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 the initial building
or large scale modernization or permanent improvement of a facility.
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.
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://aspe.hhs.gov/poverty/poverty.shtml.
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 (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.
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Program Funding: The estimated level of funding
available for Operational Projects is $11,000,000.
Anticipated Number of Awards: 15-17.
Ceiling on amount of individual awards: $700,000 per project
period. Applications that exceed the $700,000 ceiling specified will be
considered ``non-responsive'' and be returned to the applicant without
further review.
Floor on amount of individual awards: None.
Project Periods for Award: 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
III.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.
Faith-based community development corporations are eligible to
apply.
Additional Information on Eligibility
Applicants must be a private, non-profit Community Development
Corporation (CDC) experienced 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.
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. Applications that do not include proof of CDC status in
the application will be disqualified.
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 signed by the
parent organization that the applicant organization is a local non-
profit affiliate. Applications that do not include proof of nonprofit
status in the application will be disqualified.
Applicants are cautioned that the ceiling for individual awards is
$700,000. Applications that exceed this threshold will be considered
``non-responsive'' and be returned without review.
III.2. Cost Sharing or Matching
None. There is no cost sharing or matching requirement; however,
economic development projects often require significant funding in
addition to the federal Community Economic Development (CED) funds.
Therefore, applicants are strongly encouraged to mobilize the resources
needed for a successful project. The ability to mobilize resources is
considered in evaluating the feasibility of an application (See
Evaluation Criterion No. VI).
III.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
online at http://www.dnb.com.
IV. Application and Submission Information
IV.1. Address To Request Application Package
Office of Community Services, Operations Center, Administration for
Children and Families, 1815 North Fort Myer Drive, Suite 300,
Arlington, Virginia 22209, E-mail: ocs@lcgnet.com, Telephone: (800)
281-9519.
IV.2. Content and Form of Application Submission
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 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 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.
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.
Application Content
Each application must include the following components:
1. Table of Contents
2. Project Summary/Abstract--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.
Note: Please see Section V.1. Criteria, for instructions on
preparing the project summary/abstract and the full project
description.
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 (This announcement is for Priority
Area 1--Operational Projects).
4. Standard Form 424A--Budget Information--Non-Construction
Programs.
5. Standard Form 424B--Budget Information--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.
8. Private Nonprofit Community Development Corporation--Applicants
must provide proof of status as a community development corporation as
required by statute and as described under ``Additional Information on
Eligibility.''
9. 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.
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.
10. Business Plan--Applications for the OP grant announcement must
submit a business plan. For incubator or microenterprise development
projects, the business plan covers the project, not the individual
business plans of beneficiaries.
The business plan is a major component that will be evaluated by an
expert review panel, OCS and OGM to determine the feasibility of a
business venture or other economic development project. It must address
all the relevant elements as follows:
(a) Executive Summary (limit to 2 pages)
(b) 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.
(c) Description of the industry, current status and prospects.
(d) Products and Services, including detailed descriptions of:
(1) Products or services to be sold;
(2) Proprietary Position of any of the product, e.g., patents,
copyright, trade e secrets;
(3) Features of the product or service that may give it an
advantage over the competition;
(e) 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:
(1) Customer base: Describe the actual and potential purchasers for
the product or service by market segment;
(2) Market size and trends: Describe the site of the current total
market for the product or service offered;
(3) Competition: Provide an assessment of the strengths and
weaknesses of the competition in the current market;
(4) Estimated market share and sales: Describe the characteristics
of the product or service that will make it competitive in the
current market;
(f) 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.
(g) 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.
(h) 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.
(i) Management Team: This section describes the technical,
managerial and business skills and experience to be brought to the
project. This 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.
(j) 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.
(k) 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:
(1) The number of permanent jobs that will be created during the
project period, with particular emphasis on jobs for low-income
individuals.
(2) For low-income individuals, the number of jobs that will be
filled by low-income individuals (this must be at least 60% 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.
(3) 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.
(l) Financial Plan: The financial plan demonstrates the economic
supports underpinning the project. Its 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'
operation:
(1) Profit and Loss Forecasts--quarterly for each year;
(2) Cash Flow Projections--quarterly for each year;
(3) Pro forma balance sheets--quarterly for each year;
(4) Sources and Use of Funds Statement for all funds available to
the project;
(5) Brief summary discussing any further capital requirements and
methods or projected methods for obtaining needed resources.
(m) 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.
(n) 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.
11. 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.
12. Third Party Agreements--Applicants submitting an application
for funding under this Operational Projects announcement who propose to
use some or all of the requested CED funds to enter into a third party
agreement in order to make an equity investment, such as the purchase
of stock or a loan to an organization or business entity (including a
wholly-owned subsidiary), are required to submit the signed Third Party
Agreement in the application, along with the business plan, for
approval by OCS.
It should be noted that the portion of the grant that will be used
to fund project activities related to a third party agreement will not
be released (in any instances) until the agreement has been approved by
OCS.
All third party agreements must include written commitments as
follows: From third party (as appropriate): (1) Low-income individuals
will fill a minimum of 60% of the jobs to be created from project
activities as a result of the injection of grant funds. (2) The grantee
will have the right to screen applicants for jobs to be filled by low-
income individuals and to verify their eligibility. (3) If the
grantee's equity investment equals 25% or more of the business' assets,
the grantee will have representation on the board of directors. (4)
Reports will be made to the grantee regarding the use of grant funds on
a quarterly basis or more frequently, if necessary. (5) Procedures will
be developed to assure that there are no duplicate counts of jobs
created. (6) That the third party will maintain documentation related
to the grant objectives as specified in the agreement and will provide
the grantee and HHS access to that documentation. From the grantee: (1)
Detailed information on how the grantee will provide support and
technical assistance to the third party in areas of recruitment and
retention of low-income individuals. (2) How the grantee will provide
oversight of the grant-supported activities of the third party for the
life of the agreement. Detailed information must be provided
on how the grant funds will be used by the third party by submitting a
Sources and Uses of Funds Statement.
A third party agreement covering an equity investment must contain,
at a minimum, the following: (1) Purpose(s) for which the equity
investment is being made. (2) The type of equity transaction (e.g.
stock purchase). (3) Cost per share and basis on which the cost per
share is derived. (4) Number of shares being purchased. (5) Percentage
of CDC ownership in the business. (6) Term of duration of the
agreement. (7) Number of seats on the board, if applicable. (8)
Signatures of the authorized officials of the grantee and third party
organization.
A third party agreement covering a loan transaction must contain,
at a minimum, the following information: (1) Purpose(s) for which the
loan is being made. (2) Interest rates and other fees. (3) Terms of the
loan. (4) Repayment schedules. (5) Collateral security. (6) Default and
collection procedures. (7) Signatures of the authorized officials of
the lender and borrower.
All third party agreements must be accompanied by a signed
statement from a Certified or Licensed Public Accountant as to the
sufficiency of the third party's financial management system in
accordance with 45 CFR part 74 and financial statements for the third
party organization for the prior three years. If such statements are
not available because the organization is a newly formed entity, the
application must include a statement to this effect. The 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.
13. Evaluation Plan--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.
Application Format
Applicants should submit one signed original 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.
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.
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.
Applicants are cautioned that applications exceeding the page
limitation specified will be considered ``non-responsive'' and be
returned to the applicant without further review.
Certifications, Assurances and Disclosures Required for Non-
Construction Programs
Applicants requesting financial assistance for non-construction
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard
Form 424B with their applications.
Applicants must provide a certification 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 SF424 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 SF424 and need not mail
back the certification with the application.
IV.3. Submission Date and Times
The closing time and date for receipt of applications is 4:30 p.m.
eastern standard time (e.s.t.) on July 12, 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 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., e.s.t., at the U.S. Department of Health and Human
Services, Administration for Children and Families, Office of Community
Services Operations Center, 1815 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: Barbara Ziegler-Johnson''.
Applicants are responsible express/overnight mail services delivery.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend 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 |
A numbered list of key parts of the application. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Project Summary/Abstract |
Very brief narrative that identified the type of project, target population and major elements of the proposed project. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Completed Standard Form 424 |
Per required form. |
May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Completed Standard Form 424A |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | By application due date. |
|
Completed Standard Form 424B |
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. |
|
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. |
|
Private, Nonprofit Community Development Corporation Status |
As described above and per required form. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
Additional Forms
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.
| 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. |
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 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,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 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.
Comments should be submitted directly to Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., Washington, DC
20447.
The official list, including addresses, of the jurisdictions
elected to participate in E.O. 12372 can be found on the following URL:
http://www.whitehouse.gov/omb/grants/spoc.html.
IV.5. Funding Restrictions
Approved But Unfunded Applications: 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.
Pre-award costs: OCS will not allow the reimbursement of pre-award
costs.
Cost-Per-Job: OCS will not fund projects with a cost-per-job in CED
funds that exceed $10,000. An exception will be made if the project
includes purchase of land or a building, or major renovation or
construction of a building. 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 into
the amount of the CED grant request.
National Historic Preservation Act: If an applicant is proposing a
project which will affect a property listed in, or eligible for,
inclusion in the National Register of Historic Places, it must identify
this property in the narrative and explain how it has complied with the
National Historic Preservation Act of 1996, as amended. If there is any
question as to whether the property is listed in, or eligible for,
inclusion in the National Register of Historic Places, the applicant
must consult with the State Historic Preservation Officer and describe
in the narrative the content of such consultation.
Sub-Contracting or Delegating Projects: OCS will not fund projects
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 implementation 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 necessary
to conduct the project.
Number of Projects in Application: Except for the retail
development initiative under the Operational Projects announcement,
each application may include only one proposed 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.
IV.6. Other Submission Requirements
Electronic Address to Submit Applications: http://www.Grants.Gov.
Submission by Mail: Mailed applications shall be considered as
meeting an announced deadline if they are received on or before the
deadline time and date at: Administration for Children and Families,
Office of Community Services, Operations Center, Attention: Barbara
Ziegler-Johnson, 1815 North Fort Myer Drive, Suite 300, Arlington,
Virginia 22209, E-mail: ocs@lcgnet.com, Telephone: (800) 281-9519.
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.
Hand Delivery: Applications hand carried by applicants, applicant
couriers, other representatives of the applicant, or by overnight/
express mail couriers shall be considered as meeting the announced
deadline if they are received on or before the deadline date, between
the hours of 8 a.m. and 4:30 p.m. e.s.t. Monday through Friday
(excluding Federal holidays) at the following location: Administration
for Children and Families, Office of Community Services, Operations
Center, 1815 North Fort Myer Drive, Suite 300, Arlington, Virginia
22209, Attention: Barbara Ziegler-Johnson, E-mail: ocs@lcgnet.com,
Telephone: (800) 281-9519.
This address must appear on the envelope/package containing the
application with the note Attention: Barbara Ziegler-Johnson.
Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.
ACF cannot accommodate transmission of applications by fax.
Electronic Submission: Please see Section IV. 2. Content and Form
of Application Submission, for guidelines and requirements when
submitting applications electronically.
V. Application Review Information
V.1. Criteria
The Paperwork Reduction Act of 1995 (Pub. L. 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 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.
Instructions: ACF Uniform Project Description (UPD)--The following
are instructions and guidelines on how to prepare the Project Summary /
Abstract and the Full Project Description sections of the application.
The generic UPD requirement is followed by the evaluation criterion
specific to the Community Economic Development Project.
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.
Evaluation Criteria I: Approach (Maximum: 30 Points)
(1) The business plan is the most important document. It must be
sound and feasible. The project must be able to be implemented soon
after a grant award is made. The business plan meets the requirements
of this program announcement and development of business and job
creation will occur during project period. (0-15 points)
(2) The application includes site control. (0-5)
(3) Executed third party agreements meet the requirements set forth
above. (0-5)
(4) The required financial documents are contained in the
application and clearly describe proposed use of CED funds and
demonstrate the project is viable. (0-5)
Evaluation Criterion II: Organizational Profiles (Maximum: 20 Points)
(1) Organizational profile. The application demonstrates the
management capacity, organizational structure and successful record of
accomplishment relevant to business development, commercial
development, physical development, and/or financial services and that
it has the ability to mobilize other financial and in-kind resources.
(0-10 points)
(2) Staff skills, resources and responsibilities. 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)
The application documents adequate facilities and resources (i.e.
space and equipment) to successfully carry out the work plan. (0-3
points)
The assigned responsibilities of the staff are appropriate to the
tasks identified for the project and sufficient time of senior staff
will be budgeted to assure timely implementation and cost effective
management of the project. (0-2 points)
Evaluation Criterion III: Results or Benefit Expected (Maximum: 15
Points)
(1) Results or Benefits Expected. Application proposes to produce
permanent and measurable results including, but not limited to,
employment and business ownership opportunities that reduce poverty,
reduce the need for TANF assistance in the community and thus enable
families to be economically self-sufficient. (0-3 points)
Application proposes a project designed to produce the above
mentioned measurable results specifically in a rural community or urban
neighborhood characterized by economic distress. Indicators of economic
distress may include: high rate of poverty; high incidence of TANF
program participation; high rates of unemployment; significant rates of
children dropping out of school; high incidence of crime. (0-2 points)
(2) Community empowerment and coordination. Application documents
that applicant 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
private sector supported community revitalization project. (0-2 points)
(3) Cost-per-job. During the project period, the proposed project
will create new, permanent jobs or maintain permanent jobs for low-
income residents at a cost-per-job not to exceed $10,000 in OCS funds
unless the project involves construction or significant renovation. (0-
5 points)
(4) Career development opportunities. The application documents
that the jobs to be created for low-income people have career
development opportunities that will promote self-sufficiency. (0-3
points)
Evaluation Criterion IV: Objectives and Need for Assistance (Maximum:
10 points)
The application 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 or
community must be equal to or greater than the state or national level.
(0-5 points)
The application 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 are provided in
support of its contention. (0-2 points)
The application shows how the project will respond to stated need.
(0-3 points)
Evaluation Criterion V: Project Evaluation (Maximum: 10 points)
Sound evaluations are essential to the Community Economic
Development Program. OCS requires applicants to include in their
applications a well thought through outline of an evaluation plan for
their project. The outline should explain how the applicant proposes to
answer the key questions about how effectively the project is being/was
implemented; 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 are not being asked to submit a complete and final
evaluation plan as part of their application; but they must include:
(1) A well thought 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. (0-2 points)
(2) A reporting format based on the grantee's demonstration of its
activities (interventions) and their effectiveness, to be included in
the grantee's semi-annual program progress report, which will provide
OCS with insights and lessons learned, as they become evident,
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 by relevant to the proposed
project. (0-2 points)
(3) The identity and qualifications of the proposed third-party
evaluator, of if not selected, the qualifications which will be sought
in choosing an evaluator, which must include successful experience in
evaluating community development programs, and the planning and/or
evaluation of programs designed to foster self-sufficiency in low-
income populations. (0-2 points)
(4) A commitment to the selection of a third-party evaluator
approved by OCS, and to completion of a final evaluation design and
plan, in collaboration with the approved evaluator and the OCS
Evaluation Technical Assistance Contractor during the six-month start-
up period of the project, if funded. (0-2 points)
Applicants should ensure, above all, that the evaluation outline
presented is consistent with their project design. A clear project
framework of the type recommended earlier identifies the key project
assumptions about the target populations and their needs, 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, as
noted above, the outline should provide from prompt reporting,
concurrently with the semi-annual program progress reports, of lessons
learned during the course of the project, so that they maybe shared
without waiting for the final evaluation report.
(5) For all these reasons, it is important that each successful
applicant have a third-party evaluator selected and performing at the
very latest by the time the work program of the project is
begun, and if possible before that time so that he or she can
participate in the final design of the program, and in order to assure
that data necessary for the evaluation will be collected and available.
Plans for selecting an evaluator should be included in the application
narrative. A third-party evaluator must have knowledge about, and have
experience in, conducting process and outcome evaluations in the job
creation field, and have a thorough understanding of the range and
complexity of the problems faced by the target population. (0-2 points)
The competitive procurement regulations (45 CFR, part 74,
Sec. Sec. 74.40-74.48, especially Sec. 74.43) apply to service
contracts such as those for evaluators.
It is suggested that applicants use no more than three pages for
this Element, plus the resume or position description for the
evaluator, which should be included in an appendix.
Evaluation Criterion VI: Public-Private Partnerships (Maximum: 10
points)
(1) Mobilization of resources:
The application documents it has mobilized from public and/or
private sources the proposed balance of non-OCS funding required to
fully implement the project. Lesser contributions will be given
consideration based upon the value documented. (0-5 points)
Note 1: Cash resources such as cash or loans contributed from
all project sources (except for those contributed directly by the
applicant) are documented by letters of commitment from third
parties making the contribution.
Note 2: The value of in-kind contributions for personal property
is documented by an inventory valuation for equipment and a
certified appraisal for real property. Also, a copy of a deed or
other legal document is required for real property.
Note 3: Anticipated or projected program income such as gross or
net profits from the project or business operations will not be
recognized as mobilized or contributed resources.
(2) Integration/coordination of services:
The application demonstrates a commitment to, or agreements with,
local agencies responsible for administering child support enforcement,
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.
The application includes written agreements from the local TANF or
other employment education and training offices, and child support
enforcement agency indicating what actions will be taken to integrate/
coordinate services that relate directly to the project for which funds
are being requested. (0-2 points)
The agreements include: (1) The goals and objectives that the
applicant and the TANF or other employment education and training
offices and/or child support enforcement agency expect to achieve
through their collaboration; (2) the specific activities/actions that
will be taken to integrate/coordinate services on an on-going basis;
(3) the target population that this collaboration will serve; (4) the
mechanism(s) to be used in integrating/coordinating activities; (5) how
those activities will be significant in relation to the goals and
objectives to be achieved through the collaboration; and (6) how those
activities will be significant in relation to their impact on the
success of the OCS-funded project. (0-2 points)
The application provides documentation that illustrates the
organizational experience is related to the employment, education and
training program. (0-1 point)
Evaluation Criterion VII: Budget and Budget Justification (Maximum: 5
points)
(1) Funds requested are commensurate with the level of effort
necessary to accomplish the goals and objectives of the project. (0-2
points)
(2) The application includes a detailed budget breakdown and a
narrative justification for each of the budget categories in the SF-
424A. The applicant presents a reasonable administrative cost. (0-2
points)
(3) The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
Factors:
a. The resources requested are reasonable and adequate to
accomplish the project
b. Total costs are reasonable and consistent with anticipated
results.
V.2. Review and Selection Process
Approved But Unfunded Applications: 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.
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 requirements listed in this
announcement. 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.
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 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.
VI. Award Administration Information
1. Award Notices will be issued 90 days after the due date of
applications. The successful applicants will be notified through the
issuance of a Financial Assistance Award document which sets forth the
amount of funds granted, the terms and conditions of the grant, the
effective date of the grant, the budget period for which initial
support will be given, the non-Federal share to be provided, and the
total project period for which support is contemplated. The Financial
Assistance Award will be signed by the Grants Officer and transmitted
via postal mail.
Organizations whose applications will not be funded will be
notified in writing by the Office of Community Services.
2. Administrative and National Policy Requirements--45 CFR part 74
and 45 CFR part 92.
3. Special Terms and Conditions of Awards--None.
4. Reporting Requirements. Grantees must submit an original and one
copy of all reports.
Programmatic Reports: required semi-annually and a final report is
due 90 days after the end of the grant period. A suggested format for
the program report will be sent to all grantees after the awards are
made.
Financial Reports: required semi-annually and a final report is due
90 days after the end of the grant period. Grantees must use the
required Financial Standard Form (SF-269) which is located on the
Internet at: http://forms.psc.gov/forms/sf/SF-269.pdf.
VII. Agency Contacts
Program Office Contact
Debra Brown, Office of Community Services, Operations Center,
Administration for Children and Families, 1815 North Fort Myer Drive,
Suite 300, Arlington, Virginia 22209, E-mail: ocs@lcgnet.com,
Telephone: (800) 281-9519.
Grants Management Office Contact
Barbara Ziegler Johnson, Office of Community Services, Operations
Center, Administration for Children and Families, 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: May 3, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-10558 Filed 5-10-04; 8:45 am]
BILLING CODE 4184-01-P
