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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: Incremental Development Projects
Announcement Type: Initial
Funding Opportunity Number: HHS-2004-ACF-OCS-ID-0022
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 incremental development project funds to eligible Community
Development Corporations (CDCs) that do not have in place written
commitments for all projected non-OCS funding, project operations and
site control for their planned 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 (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:
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, including religious
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 land improvements and
development or major renovation of (new or existing) facilities and
buildings, fixtures, and permanent attachments.
Cooperative Agreement--An award instrument of financial assistance
when substantial involvement is anticipated between the awarding
office, (the Federal government) and the recipient during performance
of the contemplated project.
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
Community Economic Development (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 the
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.
Community Economic Development Program
Priority Area: Incremental Development Projects (IDP)
Pursuant to this Program Announcement, OCS will award funds to
eligible CDCs that do not have in place written commitments for all
projected non-OCS funding, project operations and site control for
their planned economic development project.
Community Economic Development Program funds for Priority Area:
Incremental Development 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. Low income
beneficiaries of such projects include those who are determined to be
living in poverty as determined by the Health and Human Services (HHS)
Guidelines of Poverty (See Appendix A). They may be unemployed, on
public assistance, including Temporary Assistance for Needy Families
(TANF), or at risk teenagers, custodial and non-custodial parents,
public housing residents, persons with disabilities and persons who are
homeless. Grant funds under this priority area 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.
An eligible applicant must submit a business plan that shows the
economic feasibility of the venture.
An applicant for an IDP must have: (1) All written commitments need
not be in place; (2) All non-OCS funding necessary to complete the
project need not be in place; (3) Third party agreements need not be in
place (if applicable); and (4) Acquisition or site control need not be
in place.
OCS will support an IDP under a cooperative agreement. A
cooperative agreement is an award instrument of financial assistance
used when substantial involvement is anticipated between OCS and the
grantee during performance of the project. OCS will outline a plan of
interaction with the grantee for implementation under the cooperative
agreement. A schedule of tasks will be developed and agreed upon in
addition to any special conditions relating to the implementation of
the project.
The duties and responsibilities of the applicant and ACF/OCS in
fulfilling the Cooperative Agreement during each phase will include the
following:
Responsibilities of the grantee:
. To implement activities described in the approved project
description;
. Develop and implement work plans that will ensure that the
services and activities included in the approved application address
the goals and objectives of the approved project in an efficient,
effective and timely manner;
. Submit regular semi-annual Financial Status (Standard Form
269) and progress reports that describe activities including, at a
minimum, (a) information about the actions taken to implement the
proposed project, and (b) the proposed plan for outcomes measurement
and program evaluation of the activities supported with Federal funds.
. Work cooperatively and collaboratively with ACF officials,
other Federal agency officials conducting related activities, and other
entities or organizations contracted by ACF to assist in carrying out
the purposes of the Community Economic Development Program; such
cooperation and collaboration shall include, but not be limited to,
providing requested financial and programmatic information, creating
opportunities for interviews with agency officials and staff, and
allowing on-site observation of activities supported under the
cooperative agreement;
. Notify the Office of Community Services Project Officer if
revisions are needed to the cooperative agreement;
. Consult with the Office of Community Services project
officer in implementing the activities on an on-going and frequent
basis during each phase of the project;
. Comply with Community Economic Development Program
regulations (unless otherwise expressly waived in the approved
application) and all other applicable Federal statutes and regulations
in effect during the time that applicant is receiving grant funding;
. Notify the Federal Project Officer of any key personnel
changes in writing;
. Ensure that the executive director and/or project
director, and the evaluator attend a two-day national workshop in
Washington, DC. The workshop will be scheduled shortly after the
effective date of the grant award. Additionally, the project director
should plan annual meetings with their program and grants management
specialists each year, thereafter, during the life of the grant. The
evaluator should also attend a final evaluation workshop to be held at
the end of the project period. Project budgets must include funds from
the OCS award for travel to and attendance at these meetings and
workshops; and
Responsibilities of ACF/OCS:
. To provide consultation to the grantee with regard to the
development of the work plan, approaches to address problems that
arise, and identification of areas needing technical assistance;
. To consult with and to provide the grantee the data
collection requirements of OCS, and to keep the grantee informed of
policy developments as they affect the implementation of the project;
. To provide timely review, comment and decisions on
significant project documents;
. To assist in resolving issues or problems with regard to
the grantee's ability to carry out the full range of activities
included in the approved application in the most efficient and
effective manner;
. To promptly review written requests for approval of
deviations from the project description or approved budget.
. To assist in evaluation of any proposed subcontractors who
will perform substantive work under this project.
An applicant requesting funding for an IDP must request the total
amount of CED funding needed for the project on the SF424, Application
for Federal Assistance. The maximum CED award for an IDP can be no more
than $700,000 per project.
Applications that are exclusively for construction may have project
periods of up to five years with continuation funding every twelve
months. First year funding will be awarded for up to 20% of the
requested total amount, not to exceed $140,000. The application must
also include an incremental budget based on the design of the project
for the four remaining years, not to exceed the balance of the total
requested funding. A minimum of 2% of the award, or a minimum of
$14,000, must be set aside for each continuation year.
Non-construction projects may have project periods of up to three
years with continuation funding every twelve months. First year funding
will be awarded for up to 20% of the total requested amount, not to
exceed $140,000. The applicant must also include an incremental budget
based on the design of the project for the two remaining years, not to
exceed the balance of the total requested funding. A minimum of 2% of
the award, or a minimum of $14,000, must be set aside for each
continuation year.
Funding beyond the first 20% is dependent on a grantee's
documenting (1) site control, (2) all of the non-CED funding required
to complete the project and (3) referral sources. In addition,
continuing funding will be subject to the availability of funds,
satisfactory progress by the grantee on the project and a determination
that continuation is in the best interests of the Federal Government.
The decision to continue funding the project is at the sole discretion
of OCS.
Applicants awarded a FY 2003 Incremental Development Project (IDP)
grant cannot receive a second IDP grant until the first grant is
significantly complete and has met most of its proposed goals and
objectives. Particular attention will be paid to satisfying all job
creation commitments.
Applicants awarded a FY 2002 or FY 2003 Incremental Development
Project (IDP) award cannot receive a second IDP award until the first
project is complete and has met most of its proposed goals and
objectives. Particular attention will be paid to satisfying all job
creation commitments.
Furthermore, applicants that have not completed a previously
awarded IDP award are not eligible to receive another IDP award during
the one year period following the end of the project period of the last
IDP grant award.
II. Award Information
Funding Instrument Type: Cooperative Agreements (See Section I
above for a description of Federal involvement in the cooperative
agreements).
Anticipated total Priority Area Funding: $1,120,000 in FY2004.
Anticipated Number of Awards: 8--10.
Ceiling on Amount of Individual Awards: $700,000 per project.
The first increment of an Incremental Development Project may not
exceed $140,000. An application that exceeds the upper value of the
dollar range specified will be considered ``non-responsive'' and be
returned to the applicant without further review.
Floor of Individual Award Amounts: None.
Average projected Award Amount: $112,000 per initial budget period.
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.
Faith-based community development corporations are eligible to apply.
An applicant must be a private, non-profit Community Development
Corporation (CDC). 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:
Applications that do not include proof of nonprofit status with
their 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) 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) 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 of lack
of participation in the survey will not affect an applicant's score or
otherwise affect ACF's funding decisions.
Applicants 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.
2. Cost Sharing or Matching: None.
There is no cost sharing or matching requirement but most economic
development projects require significant funding in addition to the
federal CED funds so 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 a proposal.
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
Myer Drive, Suite 300, Arlington, Virginia 22209, Email:
ocs@lcgnet.com, Telephone: (800) 281-9519.
2. Content and Form of Application Submission
A. 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.
B.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.
C. 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 will be considered
``non-responsive'' and be returned to the applicant without further
review.
D. Required Standard Forms
Applicants must submit a signed Standard Form 424, Application for
Federal Assistance, Standard Form 424A Budget Information--Non-
Construction Projects, 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 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.
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,
Administration for Children and Families, Office of Community Services
Operations Center, 1815 Fort Myer 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., Eastern Standard Time (EST), at the U.S. Department of
Health and Human Services (HHS), Administration for Children and
Families, Office of Community Services Operations Center, 1815 North
Fort Myer Drive, Suite 300, Arlington, Virginia 22209, between Monday
and Friday (excluding Federal holidays). This address must appear on
the envelope/package containing the application with the note:
``Attention: Operations Center''. Applicants are responsible for
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 mail service. Determinations
to extend or waive deadline requirements rest with the Chief Grants
Management Officer.
Required Forms:
| What to submit | Required Content | Required Form or Format | When to Submit |
|---|---|---|---|
|
Table of Contents |
As described above. | Consistent with guidance in ''Application Format'' section of this announcement. | By application due date. |
|
Survey for Private, Non-Profit Applicants |
Per required form. | May be found on http://www.acf.hhs.gov/programs/ofs/forms.htm | 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. |
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, 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-five 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
Cost Per Job
OCS will not fund projects with a cost-per-job in CED funds that
exceeds $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 by 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 any 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
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 needed to conduct the project.
Number of Projects in Application
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.
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.
Business Plan
Applicants for Priority Area 2. Incremental Development Projects,
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:
(1) EXECUTIVE SUMMARY (limit to 2 pages)
(2) Description of the business: The business as a legal entity and
its general business category. Business activities must be described by
Standard Industrial Codes (SIC) using the North American Industry
Classification System (NAICS) and jobs by occupational classification.
This information is published by the U. S. Department of Commerce in
the Statistical Abstract of the United States, 1998, Tables No. 679 and
680. These tables include information necessary to meet this
requirement.
(3) Description of the industry, current status and prospects.
(4) Products and Services, including detailed descriptions of:
(a) Products or services to be sold;
(b) Proprietary Position of any of the product, e.g., patents,
copyright, trade secrets;
(c) Features of the product or service that may give it an
advantage over the competition;
(5) Market Research: This section describes the research conducted
to assure that the business has a substantial market to develop and
achieve sales in the face of competition. This includes researching:
(a) Customer base: Describe the actual and potential purchasers for
the product or service by market segment.
(b) Market size and trends: Describe the site of the current total
market for the product or service offered;
(c) Competition: Provide an assessment of the strengths and
weaknesses of the competition in the current market;
(d) Estimated market share and sales: Describe the characteristics
of the product or service that will make it competitive in the current
market;
(6) Marketing Plan: The marketing plan details the product,
pricing, distribution, and promotion strategies that will be used to
achieve the estimated market share and sales projections. The marketing
plan must describe what is to be done, how it will be done and who will
do it. The plan addresses overall marketing, strategy, packaging,
service and warranty, pricing, distribution and promotion.
(7) Design and Development Plans: If the product, process or
service of the proposed venture requires any design and development
before it is ready to be placed on the market, describe the nature,
extent and cost of this work. The section covers items such as
development status and tasks, difficulties and risks, product
improvement and new products and costs.
(8) Operations Plan: An operations plan describes the kind of
facilities, site location, space, capital equipment and labor force
(part and/or full time and wage structure) that are required to provide
the company's product or service.
(9) Management Team: This section describes the technical,
managerial and business skills and experience to be brought to the
project. 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.
(10) Overall Schedule: This section is the implementation plan
which shows the timing and interrelationships of the major events or
benchmarks necessary to launch the venture and realize its objectives.
This includes a month-by-month schedule of activities such as product
development, market planning, sales programs, production and
operations. If the proposed project is for construction, this section
lays out timeframes for conduct of predevelopment, architectural,
engineering and environmental and other studies, and acquisition of
permits for building, use and occupancy that are required for the
project.
(11) Job Creation: This section describes the job creation
activities and projections expected as a result of this project. This
includes a description of the strategy that will be used to identify
and hire individuals who are low-income, including those on TANF. This
section includes the following:
(a) The number of permanent jobs that will be created during the
project period, with particular emphasis on jobs for low-income
individuals.
(b) For low-income individuals, the number of jobs that will be
filled by low income individuals (this must be at least 60% of all jobs
created); the number of jobs that have career development opportunities
and a description of those jobs; the number of jobs that will be filled
by individuals receiving TANF; the annual salary expected for each
person employed.
(c) For low-income individuals who become self-employed, the number
of self-employed and other ownership opportunities created; specific
steps to be taken including on-going management support and technical
assistance provided by the grantee or a third party to develop and
sustain self-employment after the businesses are in place; and expected
net profit after deductions of business expenses;
Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.
(12) Financial Plan: The financial plan demonstrates the economic
supports underpinning the project. 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:
(a) Profit and Loss Forecasts--quarterly for each year;
(b) Cash Flow Projections--quarterly for each year;
(c) Pro forma balance sheets--quarterly for each year;
(d) Sources and Use of Funds Statement for all funds available to
the project;
(e) Brief summary discussing any further capital requirements and
methods or projected methods for obtaining needed resources.
(13) Critical Risks and Assumptions: This section covers the risks
faced by the project and assumptions surrounding them. This includes a
description of the risks and critical assumptions relating to the
industry, the venture, its personnel, the product or service market
appeal, and the timing and financing of the venture.
(14) Community Benefits: This section describes other economic and
non-economic benefits to the community such as development of a
community's physical assets; provision of needed, but currently
unsupplied, services or products to the community; or improvement in
the living environment.
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.
Third Party Agreements
Applicants submitting an application for funding under Priority
Area 2, Incremental Development Projects that proposes 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 signed Third Party Agreements in
the application, if available and executed by the time of submission of
the application along with the business plan, for approval by OCS.
While Third Party Agreements need not be in place at the time of
the application, following are requirements for these agreements.
It should be noted that the portion of a 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.
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 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. Include 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 explains 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
Criteria for Review and Evaluation of Applications Submitted Under
Priority Area--Incremental Development Projects
Evaluation Criterion I: Approach (Maximum: 30 Points)
a. The business plan is 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 creation of jobs will occur during the
project period. (0-20 points)
b. The applicant has site control. (0-1 points)
c. Executed third party agreements meet the requirements set forth
above. (0-2 points)
d. The required financial documents are contained in the
application, clearly describe proposed use of CED funds and demonstrate
the project is viable. (0-7 points)
Evaluation Criterion II: Organizational Profiles (Maximum: 20 Points)
a. Organizational profile.
The application demonstrates that the applicant has 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)
b. 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)
c. The application documents adequate facilities and resources
(i.e. space and equipment) to successfully carry out the work plan. (0-
3 points)
d. 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)
a. 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)
b. Community empowerment and coordination.
Application documents that the 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)
c. 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)
d. 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)
a. 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 are equal to or greater than the state or national level.
(0-5 points)
b. 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)
c. 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:
a. 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)
b. 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 be relevant to the proposed
project. (0-2 points)
c. The identity and qualifications of the proposed third-party
evaluator, 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)
d. 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 may be shared
without waiting for the final evaluation report.
e. For all of the above stated reasons, it is important that each
successful applicant have a third-party evaluator selected and are
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
of, 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, Sections
74.40-74.48, especially Section 74.43) apply to service contracts such
as those for evaluators.
It is suggested that applicants use no more than three (3) 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)
a. Mobilization of resources:
The application documents the applicant 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.
b. 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 applicant provides 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 agreement includes: (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 also 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)
a. Funds requested are commensurate with the level of effort
necessary to accomplish the goals and objectives of the project. (0-2
points)
b. 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)
c. The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
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 forth 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.
VI. Award Administration Information
1. Award Notices: 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 awarded, the terms and conditions of the award, the effective
date of the award, the budget period for which funds are awarded, and
the total project period for which support is contemplated. The
Financial Assistance Award is signed and issued via postal mail by an
authorized Grants Officer.
2. Administrative and National Policy Requirements: 45 CFR Part 74.
3. Reporting Requirements
Programmatic Reports: Semi-annually with a final report due 90 days
after the project end date.
Financial Reports: Semi-annually with a final report due 90 days
after the project end date.
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: ocs@lcgnet.com, Telephone: (800) 281-9519.
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: 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 11, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-11238 Filed 5-18-04; 8:45 am]
BILLING CODE 4184-01-P
