[Federal Register: May 11, 2004 (Volume 69, Number 91)]
[Notices]
[Page 26145-26159]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11my04-106]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Program Announcement; Job Opportunities for Low-Income
Individuals
Federal Agency Name: Administration for Children and Families,
Office of Community Services.
Funding Opportunity Title: Job Opportunities for Low-Income
Individuals (JOLI) Program.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2004-ACF-OCS-EO-0018.
CFDA Number: 93.593.
Due Date for Applications: The due date for receipt of application
is July 12, 2004.
I. Funding Opportunity Description
Section 505 of the Family Support Act of 1988, Public Law 100-485,
as amended, authorizes the Secretary of HHS to enter into agreements
with non-profit organizations (including faith-based organizations and
community development corporations) for the purpose of conducting
projects designed to create employment opportunities for certain low-
income individuals (42 U.S.C. 9926).
Definitions of Terms
The following definitions apply:
Budget and Project Periods--This announcement is inviting
applications for budget and project periods up to seventeen (17)
months.
Community-Level Data--Key information to be collected by each
grantee that will allow for a national-level analysis of common
features of JOLI projects. This consists of data on the population of
the target area, including the percentage of TANF recipients and others
on public assistance, and the percentage whose income fall below the
poverty line; the unemployment rate; the number of new business starts
and business closings; and a description of the major employers and
average wage rates and employment opportunities with those employers.
Community Development Corporation--A private, non-profit entity,
governed by a board of directors consisting of residents of the
community and business and civic leaders, that has a principal purpose
planning, developing, or managing low-income housing or community
development projects.
Hypothesis--An assumption made in order to test its validity. It
should assert a cause-and-effect relationship between a program
intervention and its expected result. Both the intervention and result
must be measured in order to confirm the hypothesis. For example, the
following is a hypothesis: ``Eighty hours of classroom training in
small business planning 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 and loan package is planned
intervention.
Job Creation--To bring about, by activities and services funded
under this program, new jobs, that is, jobs that were not in existence
before the start of the project. These activities can include self-
employment/micro-enterprise training, the development of new business
ventures or the expansion of existing businesses.
Non-Profit Organization--Any organization (including a faith-based
organization or a community development corporation) exempt from
taxation under section 501(a) of the Internal Revenue Code of 1986 by
reason of paragraph (3) or (4) of section 501(c) of such Code.
Non-Traditional Employment for Women or Minorities--Employment in
an industry or field where women or minorities currently make up less
than twenty-five percent of the work force.
Outcome Evaluation--An assessment of project results as measured by
collected data which 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
[[Page 26146]]
replicability. It should answer the question: Did this project work?
Private Employers--Third party non-profit organizations or third
party for-profit businesses operating or proposing to operate in the
same community as the applicant, and which are proposed or potential
employers of project participants.
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 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 and how they were dealt with and
recommend improved means of future implementation. It should answer the
question: ``How was the program carried out?'' In concert with the
outcome evaluation, it should also help explain, ``Why did this program
work/not work?'' and, ``What worked and what did not?''
Program Participant/Beneficiary--An individual eligible to receive
TANF assistance under Title I of the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996 (Part A of Title IV of the
Social Security Act) and any other individual whose income level does
not exceed 100 percent of the official poverty line as found in the
most recent revision of the Poverty Income Guidelines published by the
Department of Health and Human Services. (See Part A.)
Project Period--This announcement is soliciting applications for
project periods of up to seventeen (17) months.
Self-Sufficiency--A condition where an individual or family, by
reason of employment, does not need and is not eligible for public
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--The value of non-cash
contributions provided by non-Federal third parties which may be in the
form of real property, equipment, supplies and other expendable
property, and the value of goods and services directly benefiting and
specifically identifiable to the project or program.
Program Purpose, Scope and Focus
The purpose of the JOLI program is to create employment and
business opportunities for individuals receiving Temporary Assistance
for Needy Families (TANF) assistance and other low-income individuals
through self-employment, micro-enterprise, new business ventures, and
expansion of existing businesses through technical and financial
assistance and non-traditional initiatives.
The ultimate goals of the projects to be funded under the JOLI
Program are: (a) to achieve, through project activities and
interventions, the creation of new employment opportunities for TANF
recipients and other low-income individuals that lead to economic self-
sufficiency.
Priority will be given to applicants proposing to serve those areas
containing the highest percentage of individuals receiving TANF
assistance under a State program, which is funded under Part A of Title
IV of the Social Security Act.
While projected employment in future years may be included in the
application, it is essential that the focus of the project concentrate
on the creation of new full-time, permanent jobs and/or new business
development opportunities for TANF recipients and other low-income
individuals during the grant project period. OCS is particularly
interested in receiving innovative applications that grow out of the
experience and creativity of applicants and the needs of their
clientele and communities.
Applicants should include strategies which seek to integrate
projects financed and jobs created under this program into a larger
effort of broad community revitalization which will promote job and
business opportunities for eligible program participants and impact the
overall economic environment.
OCS will only fund projects that create new employment and/or
business opportunities for eligible program participants. That is new,
full-time permanent jobs through the expansion of a pre-identified
business or new business development, or by providing opportunities for
self-employment. In addition, projects should enhance the participants'
capacities, abilities, and skills and thus contribute to their progress
toward self-sufficiency.
With national welfare reform a reality, and many States
implementing ``welfare-to-work'' programs, the need for well-paying
jobs with career potential for TANF recipients becomes ever more
pressing. In this context, the role of JOLI as a vehicle for exploring
new and promising areas of employment opportunity for the poor is more
important than ever.
Within the JOLI Program framework of job creation through new or
expanding businesses or self-employment, OCS welcomes applications
offering business or career opportunities to eligible participants in a
variety of fields. For instance, these might include day care and
transportation, which are not only opportunities for employment, but
when not available, can be serious barriers to employment for TANF
recipients; environmental justice initiatives involving activities such
as toxic waste cleanup, water quality management, or Brownfield's
remediation; health-related jobs such as home health aides or medical
support services; and non-traditional jobs for women and minorities.
Priority Areas
I. Priority Area
1. Priority Area 1. Business Expansion
Applicants applying under Priority Area 1 must show that the
proposed project will provide technical and/or financial assistance to
businesses already in existence to allow the businesses to expand by
helping them to obtain better marketing services, contracts, access to
additional money to help the business grow, etc., resulting in the
creation of new jobs.
2. Priority Area 2. Self-Employment/Micro-enterprise Projects
Applicants applying under Priority Area 2 must show that the
proposed project will create self-employment/micro-enterprise
opportunities for eligible participants.
Self-employment is the creation of a business that is designed to
employ a single individual such as home-based day care, graphic design,
medical billings, sewing and secretarial service, etc. Micro-enterprise
is the creation of a business that is designed to hire more than one
person, i.e., a cleaning business that will create more than one job.
For this Priority Area, OCS does not consider a job to have been
created until contracts and/or subcontracts have been committed at the
end of the training for each of these self-employment/micro-enterprise
businesses that ultimately
[[Page 26147]]
may be construed as jobs. All applications under this priority area
must address the following items:
The types of self-employment and/or micro-enterprise
businesses that may thrive in your target area
Need for such businesses in those communities
Applicant's ability to help secure commitments of contracts/
subcontracts at the end of the training for each of those self-
employment/micro-enterprise businesses. More specifically, who is going
to provide the contracts or subcontracts to the individuals that
complete the entrepreneur training. The end result of the project
should be jobs for low-income individuals. OCS wants to be assured that
there are commitments (contracts/subcontracts) attached to
entrepreneurs at the end of their training that will ultimately be
construed as jobs.
3. Priority Area 3. New Business Venture
Applicants applying under this priority area must show the
development of a new business that will train and employ 40-100 TANF
and/or low-income persons to work within that business. Applicant must
submit a business plan that complies with the test of economic
feasibility. (Business Plan requirements are found under, 6. Other
Submission Requirements).
4. Priority Area 4. Non-Traditional Projects
Applicants applying under this priority area must show that these
projects will train and employ women and minorities in industries and
trades where they make up 25 percent or less of the workforce in local
industries, for example, women and minorities in highway or heavy
construction, machine tool and die, plumbing, construction, and
deconstruction, computer repair, lead abatement, etc.
II. Award Information
Funding Instrument Type: Grants.
Anticipated total Priority Area Funding: $4,500,000 in FY 2004.
Anticipated Number of Awards: 9-10.
Ceiling on Amount of Individual Awards: $ 500,000 per project
period.
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: N/A.
Average projected Award Amount: $ 500,000 per project period.
Project Periods for Awards: 17 months.
III. Eligibility Information
1. Eligible Applicants
Nonprofits having a 501 (c) (3) or (4) status with the IRS, other
than institutions of higher education Faith-based Organizations
Additional Information on Eligibility
Non-profit organizations applying for funding are required to
submit proof of their non-profit status. Proof of non-profit status is
any one of the following:
(a) A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS code.
(b) A copy of a currently valid IRS tax exemption certificate.
(c) A statement from a State taxing body, State Attorney General,
or other appropriate State official certifying that the applicant
organization has a non-profit status and that none of the net earnings
accrue to any private shareholders or individuals.
(d) A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
(e) Any of the items in the subparagraphs immediately above for a
State or national parent organization and a statement singed by the
parent organization that the applicant organization is a local non-
profit affiliate.
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/htm.
2. Cost Sharing or Matching
None.
3. Other
On June 27, 2003, the Office of Management and Budget published in
the Federal Register a new Federal policy applicable to all Federal
grant applicants. The policy requires all Federal grant applicants to
provide a Dun and Bradstreet Data Universal Numbering System (DUNS)
number when applying for Federal grants or cooperative agreements on or
after October 1, 2003. The DUNS number will be required whether an
applicant is submitting a paper application or using the government-
wide electronic portal (http://www.Grants.gov). A DUNS number will be
required for every application for a new award or renewal/continuation
of an award, including applications or plans under formula, entitlement
and block grant programs, submitted on or after October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
on-line at http://www.dnb.com.
IV. Application and Submission Information
1. Address To Request Application Package
OCS Operations Center, 1815 North Fort Myer Drive, Suite 300,
Arlington, Virginia 22209, e-mail: ocs@lcgnet.com, Telephone: 1-800-
281-9519.
2. Content and Form of Application Submission
1. Application Content
Each application must include the following components:
1. Table of Contents.
2. Abstract of the Proposed Project--very brief, not to exceed 250
words, that would be suitable for use in an announcement that the
application has been selected for a grant award and which identifies
the types of business(es) to be assisted, types of jobs, number of jobs
to be created, low income persons served and the major elements of the
work plan.
3. Completed Standard Form 424--that has been signed by an Official
of the organization applying for the grant who has authority to
obligate the organization legally.
4. Standard Form 424A--Budget Information-Non-Construction
Programs.
5. Narrative Budget Justification--for each object class category
required under Section B, Standard Form 424A.
6. Project Narrative--A narrative that addresses issues described
in the ``Application Review Information'' and the ``Review and
Selection Criteria'' sections of this announcement.
7. 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.
2. Application Format
Submit application materials on white 8\1/2\ x 11 inch paper only.
Do not use colored, oversized or folded materials.
Please do not include organizational brochures or other promotional
materials, slides, films, clips, etc.
The font size may be no smaller than 12 pitch and the margins must
be at least one inch on all sides.
[[Page 26148]]
Number all application pages sequentially throughout the package,
beginning with the abstract of the proposed project as page number one.
Please present application materials either in loose-leaf notebooks
or in folders with pages two-hole punched at the top center and
fastened separately with a slide paper fastener.
3. Number of Pages
Each application should include one signed original and two
additional copies.
4. Page Limitation
The application package including sections for the Table of
Contents, Project Abstract, Project and Budget Narratives and Business
Plan must not exceed 60 pages. The page limitation does not include the
following attachments and appendices: Standard Forms for Assurances,
Certifications, Disclosures and appendices. The page limitation also
does not apply to any supplemental documents as required in this
announcement.
An application that exceeds the page limitation requirement will be
considered ``non-responsive'' and be returned to the applicant without
further review.
5. Required Standard Forms
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 receiving an award in excess of $100,000. Applicants must
sign and return the certification with their application.
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.
You may submit your application to us in either electronic or paper
format. To submit an application electronically, please use the http://www.Grants.gov
apply site. If you use Grants.gov, you will be able to
download a coy of the application package, complete it off-line, and
then upload and submit the application via the Grants.gov site. You may
not e-mail an electronic copy of a grant application to us.
Please note the following if you plan to submit your application
electronically via Grants. Gov
Electronic submission is voluntary
When you enter the Grants. Gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation. We strongly recommend that you
do not wait until the application deadline date to begin the
application process through Grants. Gov
To use Grants.gov, you, as the applicant, must have a DUNS
Number and register in the Central Contractor Registry (CCR). You
should allow a minimum of five days to complete the CCR registration.
You will not receive additional point value because you
submit a grant application in electronic format, nor will we penalize
you if you submit an application in paper format.
You may submit all documents electronically, including all
information typically included on the SF 424 and all necessary
assurances and certifications.
Your application must comply with any page limitation
requirements described in this program announcement.
After you electronically submit your application, you will
receive an automatic acknowledgement from Grants.gov that contains a
Grants.gov tracking number. The Administration for Children and
Families will retrieve your application from Grants.
We may request that you provide original signatures on
forms at a later date.
You may access the electronic application for this program
on http://www.Grants.gov.
You must search for the downloadable application package
by the CFDA number.
3. Submission Date and Times
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern Time Zone) 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 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., EST, at the Office of Community Services, Operations
Center, 1815 Fort Myer Drive, Suite 300, Arlington, Virginia 22209.
This address must appear on the envelope/package containing the
application with the note: ``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.
Applicants are cautioned that express/overnight mail services do
not always deliver as agreed.
Late applications: Applications which do not meet the criteria
above are considered late applications. 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
----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit
----------------------------------------------------------------------------------------------------------------
Table of Contents............... As described above. Consistent with By application due date.
guidance in
``Application
Format'' section
of this
announcement.
Abstract of Proposed Project.... Brief abstract that Consistent with By application due date.
identifies the guidance in
type of project, ``Application
the target Format'' section
population and the of this
major elements of announcement.
the proposed
project.
[[Page 26149]]
Completed Standard Form 424..... As described above May be found on By application due date.
and per required http://form.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
Completed Standard Form 424A.... As described above May be found on By application due date.
and per required http://form.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
Completed Standard Form 424B.... As described above May be found on By application due date.
and per required http://form.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
Narrative Budget Justification.. As described above. Consistent with By application due date.
guidance in
``Application
Format'' section
of this
announcement.
Project Narrative............... A narrative that Consistent with By application due date.
addresses issues guidance in
described in the ``Application
``Application Format'' section
Review of this
Information'' and announcement.
the ``Review and
Selection
Criteria''
sections of this
announcement.
Certification regarding lobbying As described above May be found on By application due date.
and per required http://form.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
Certification regarding As described above May be found on By application due date.
environmental tobacco smoke. and per required http://form.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
State Human Services As described below. May be found on
Administrators Responsible for http://
TANF. www.acf.hhs.gov/
programs/ofs/
forms.htm.
State Child State Support As described below. May be found on
Enforcement Agencies. http://www.acf.hhs.gov/
.
Poverty Guidelines.............. As described below. May be found on:
http://aspe.os.dhhs.gov/
.
Applicant's Checklist........... As described above. May be found on
http://www.acf.hhs.gov/
.
----------------------------------------------------------------------------------------------------------------
4. Intergovernmental Review
State Single Point of Contact (SPOC)
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs. As of October 1, 2003, the following
jurisdictions have elected not to participate in the Executive Order
process. Applicants from these jurisdictions or for projects
administered by federally-recognized Indian Tribes need take no action
in regard to E.O. 12372:
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Minnesota, Montana, Nebraska, New Jersey, New York, Ohio, Oklahoma,
Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, Virginia,
Washington, Wyoming and Palau have elected to participate in the
Executive Order process and have established Single Points of Contact
(SPOCs). Applicants from these twenty-seven 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
Part A. Program Objectives and Requirements
1. Program Participants/Beneficiaries
A low-income individual eligible to participate in a project
conducted under this program is any individual eligible to receive TANF
assistance under a State program funded under Part A of Title IV of the
Social Security Act, or
[[Page 26150]]
any other individual whose income level does not exceed 100 percent of
the official poverty line (http://aspe.os. dhhs.gov/poverty/
poverty.html.) Within these categories, emphasis should be on
individuals who are receiving TANF assistance or its equivalent under
State auspices; those who are unemployed; those residing in public
housing or receiving housing assistance; non-custodial parents, and
those who are homeless.
Annual revisions of these guidelines are normally published in the
Federal Register in February or early March. Grantees will be required
to apply the most recent guidelines throughout the project period.
These revised guidelines also may be obtained at public libraries,
Congressional offices, by writing the Superintendent of Documents, U.S.
Government Printing Office, Washington, DC 20402, or by accessing the
following Web site: http://aspe.os. dhhs.gov/poverty/ poverty.html.
No other government agency or privately defined poverty guidelines
are applicable for the determination of low-income eligibility for this
program.
2. National Historic Preservation Act
The use of funds for new construction or the purchase of real
property is prohibited. If the applicant is proposing a project that
will affect a property listed in, or is 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 provisions of
section 106 of the National Historic Preservation Act of 1966 as
amended. If there is any question as to whether the property is listed
in, or is eligible for inclusion in, the National Register of Historic
Places, the applicant should consult with the State Historic
Preservation Officer. (See SF-424B) Failure to comply with the cited
Act will result in the application being ineligible for funding
consideration.
3. 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.
4. Creation of Jobs and Employment Opportunities
The requirement for creation of new, full-time permanent employment
opportunities (jobs) applies to all applications. OCS has determined
that the creation of non-traditional job opportunities for women or
minorities in industries or activities where they currently make up
less than twenty-five percent of the work force meets the requirements
of the JOLI legislation for the creation of new employment
opportunities. OCS continues to solicit other JOLI applications that
propose the creation of jobs through the expansion of existing
businesses, the development of new businesses, or the creation of
employment opportunities through self-employment/micro-enterprise
development.
Proposed projects must show that the jobs and/or business/self
employment opportunities to be created under this program will
contribute to achieving self-sufficiency among the target population.
The employment opportunities should provide hourly wages that exceed
the minimum wage and also provide benefits such as health insurance,
childcare, and career development opportunities.
5. Third Party Project Evaluation
Applications must include provision for an independent
methodologically sound evaluation of the effectiveness of the
activities carrier out with the grant and their efficacy in creating
new jobs and business 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 should 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 in order to assure that data necessary for the evaluation will
be collected and available.
6. Economic Development Strategy
In the Conference Report on the FY 1992 appropriation, Congress
directed ACF to require economic development strategies as part of the
application process for JOLI to ensure that highly qualified
organizations participate in the program. Accordingly, applicants must
include in their application an explanation of how the proposed project
is integrated with and supports a larger economic development strategy
within the target community. Where appropriate, applicants should
document how they were involved in the preparation and planned
implementation of a comprehensive community-based strategic plan, such
as that required for applying for Empowerment Zone/Enterprise Community
(EZ/EC) status, to achieve both economic and human development in an
integrated manner, and how the proposed project supports the goals of
that plan. (See Element II, Sub-Element II(b).)
7. Training and Support for Micro-Business Development
In the case of applications for creating self-employment micro-
business opportunities for eligible participants, the applicant must
detail how it will provide training and support services to potential
entrepreneurs. The assistance to be provided to potential entrepreneurs
must include, at a minimum: (a) Technical assistance in basic business
planning and management concepts; (b) assistance in preparing a
business plan and loan application; and, (c) access to business loans.
8. Support for Non-Custodial Parents
The Office of Community Services (OCS) and the Office of Child
Support Enforcement (OCSE), both part of ACF, signed a Memorandum of
Understanding (MOU) to foster and enhance partnerships between OCS
grantees and local Child Support Enforcement (CSE) agencies. (See the
list of CSE State Offices that can identify local CSE agencies.) In the
words of the MOU:
``The purpose of these partnerships will be to develop and
implement innovative strategies in States and local communities to
increase the capability of low-income parents and families to fulfill
their parental responsibilities. Too many low-income parents are
without jobs or resources needed to support their children. A
particular focus of these partnerships will be to assist low-income,
non-custodial parents of children receiving TANF to achieve a degree of
self-sufficiency that will enable them to provide support that will
free their families of the need for such assistance.''
Accordingly, a rating factor and a review criterion have been
included in this Program Announcement that will award two points to
applicants who have entered into partnership
[[Page 26151]]
agreements with their local CSE agency to provide for referrals to
their project in accordance with provisions of the OCS-OCSE MOU (See
Element II, Sub-Element II(c)).
9. Technical Assistance to Employers
Technical assistance should be specifically addressed to the needs
of the private employer in creating new jobs to be filled by eligible
individuals and/or to the individuals themselves in areas such as job-
readiness, literacy, and other basic skills training, job preparation,
self-esteem building, etc. Financial assistance may be provided to the
private employer as well as to the individual.
If the technical and/or financial assistance is to be provided to
pre-identified businesses that will be expanded or franchised, written
commitments from the businesses to create the planned jobs must be
included with the application.
10. Applicant Experience and Cost-per-Job
In the review process, favorable consideration will be given to
applicants with a demonstrated record of achievement in promoting job
and enterprise opportunities for low-income people.
The Office of Community Services will not fund projects where the
cost-per-job in OCS funds exceeds $10,000. Favorable consideration will
be given to those applicants who show the lowest cost-per-job created
for low-income individuals.
11. Loan Funds
The creation of a revolving loan fund with funds received under
this program is an allowable activity. Loans made to eligible
beneficiaries for business development activities must be at or below
market rate. Interest accrued on revolving loan funds may be used to
continue or expand the activities of the approved project.
12. Dissemination of Project Results
Applications should include a plan for disseminating the results of
the project after expiration of the grant period. Applicants may budget
up to $2,000 for dissemination purposes. Final project reports should
include a description of dissemination activities with copies of any
materials produced.
13. Evaluation Criteria
Application Elements and Review Criteria for Applications
Each application that passes the initial screening will be assessed
and scored by three independent reviewers. Each reviewer will give a
numerical score for each application reviewed. These numerical scores
will be supported by explanatory statements on a formal rating form
describing major strengths and weaknesses under each applicable
criterion published in the Announcement. Scoring will be based on a
total of 100 points, and for each application will be the average of
the scores of the three reviewers.
The competitive review of applications will be based on the degree
to which applicants:
a. Adhere to the requirements in PART A and incorporate each of the
Elements and Sub-Elements below into their applications;
b. Describe convincingly a project that will develop new employment
or business opportunities for TANF recipients and other low-income
individuals that can lead to a transition from dependency to economic
self-sufficiency;
c. Propose a realistic budget and time frame for the project that
will support the successful implementation of the work plan to achieve
the projects goals in a timely and cost effective manner; and
d. Provide for the collection and validation of relevant data to
support the national evaluation.
Applications with project narratives (excluding Project Summaries,
Budget Justifications and Appendices) of more than 60 letter-sized
pages of 12-pitch type or equivalent on single sided will not be
reviewed for funding.
Applicants should prepare and assemble their project description
using the following outline of required project elements. They should,
furthermore, build their project concept, plans, and application
description upon the guidelines set forth for each of the project
elements.
Project descriptions are evaluated on the basis of substance, not
length. Pages should be numbered and a table of contents should be
included for easy reference. For each of the Project Elements or Sub-
Elements below, there is at the end of the discussion a suggested
number of pages to be devoted to the particular element or sub-element.
These are suggestions only, but the applicant must remember that the
overall Project Narrative must not be longer than 65 pages.
14. Multiple Submittals
Due to the limited amount of funds available under this program,
only a single application from any one eligible applicant will be
funded by OCS from FY 2004 JOLI funds pursuant to this announcement.
The application must consist of one project only.
15. Re-Funding
OCS will not provide funding to a previously funded grantee to
carry out the same work plan in the same target area.
6. Other Submission Requirements
1. Documentation of 501(c)(3) or (4) Status
2. Sufficiency of Financial Management
Because JOLI funds are Federal, all grantees must be capable of
meeting the requirements of 45CFR 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.
3. Cooperative Partnership Agreement With the Designated Agency
Responsible for the TANF Program
A formal, cooperative relationship between the applicant and the
designated State agency responsible for administering the TANF program
(as provided for under Part A of Title IV of the Social Security Act)
in the area served by the project is a requirement for funding. The
application should include a signed, written agreement between the
applicant and the designated State agency responsible for administering
the TANF program. The agreement must describe the cooperative
relationship, including specific activities and/or actions each of
these entities propose to carry out over the course of the grant period
in support of the project.
The agreement, at a minimum, must cover the specific services and
activities that will be provided to the target population (see list of
the State Human Services Administrators administering TANF).
Applications submitted without an agreement with the TANF agency,
but which indicates that it will have a cooperative relationship with
the agency responsible for administering the
[[Page 26152]]
Temporary Assistance For Needy Families Program (TANF) as provided for
under title IV-A of the Social Security Act in the area served by the
project will receive fewer points.
4. Business Plan
Applications for Priority Areas 1. Business Expansion, 2. Self-
Employment/Micro-enterprise Projects, 3. New Business Venture Projects,
and 4. Non-traditional Projects must submit a business plan. For
incubator or micro-enterprise 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) and jobs by occupational
classification. The 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.
(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 have career
development opportunities and a description of those jobs; the number
of jobs that will be filled by individuals receiving TANF; the annual
salary expected for each person employed.
(c) For low income individuals who become self-employed, the number
of self-employed and other ownership opportunities created; specific
steps to be taken including on-going management support and technical
assistance provided by the grantee or a third party to develop and
sustain self-employment after the businesses are in place; and expected
net profit after deductions of business expenses;
Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.
(12) Financial Plan: The financial plan demonstrates the economic
supports underpinning the project. It shows the project's potential and
the timetable for financial self-sufficiency. The following exhibits
must be submitted for the first three years of the business' 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.
5. Mobilization of Resources
There is no match requirement for the Job Opportunities for Low-
Income Individuals (JOLI) Program. However, OCS will give favorable
consideration in the review process to applicants who mobilize cash
and/or in-kind contributions for direct use in the project. The firm
commitment of these resources must be documented and submitted with the
application in order to be given credit in the review process
[[Page 26153]]
under the Public-Private Partnerships project element (Element II).
Except in unusual situations, this documentation must be in the form of
letters of commitment from the organization(s)/individual(s) from which
resources will be received. Grantees will be held accountable for any
match, cash or in-kind contribution proposed or pledged as part of an
approved application. (See Element II, Sub-element II(e) and
Instructions for Completing the SF-424, Section C, Non-Federal
Resources).
6. Third Party Agreements
Any applicant submitting a application for funding who proposes to
use some or all of the requested OCS 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), must include in the application, along with
the business plan, a copy of the signed third party agreement for
approval by OCS.
All third party agreements must include written commitments as
follows:
From the third party (as appropriate):
a. Jobs to be created as a result of the infusion of grant funds
will be filled by low-income individuals;
b.The grantee will have the right to screen applicants for jobs to
be filled by low-income individuals and to verify their eligibility;
c. If the grantee's equity investment equals 25 percent or more of
the business' assets, the grantee will have representation on the board
of directors;
d. Reports will be made to the grantee regarding the use of grant
funds no less than on a quarterly basis;
e. A procedure will be developed to assure that there are no
duplicate counts of jobs created; and
f. Detailed information should be provided on how the grant funds
will be used by the third party by submitting a narrative Source and
Use of Funds Statement. In addition, the agreement must provide details
on how the grantee will provide support and technical assistance to the
third party in areas of recruitment and retention of low-income
individuals.
A third party agreement covering an equity investment must contain,
at a minimum, the following:
a. The type of equity transaction (e.g. stock purchase);
b. Purpose(s) for which the equity investment is being made;
c. Cost per share and basis for determining cost per share;
d. Number of shares being purchased;
e. Percentage of ownership of the business; and,
f. Number of seats on the board, if applicable.
A third party agreement covering a loan transaction must contain,
at a minimum, the following information:
g. Purpose(s) for which the loan is being made;
h. Rates of interest and other fees;
i. Terms of loan;
j. Repayment schedules;
k. Collateral security; and
l. Default and collection procedures.
From the grantee: 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.
All third party agreements should be accompanied by:
m. 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 74, to protect adequately
any federal funds awarded under the application;
n. Financial statements for the third party organization for the
prior three years. (If not available because the organization is a
newly-formed entity, include a statement to this effect); and
o. Specifications as to how the grantee will provide oversight of
the third party for the life of the agreement. Also, the agreement will
specify that the third party will maintain documentation related to the
expenditure of grant funds loaned to or invested in the third party and
grant objectives as specified in the agreement and will provide the
grantee and HHS access to that documentation. If a signed third party
agreement is not available when the application is submitted, the
applicant must submit, as part of the narrative, as much of the above-
mentioned information as possible in order to enable reviewers to
evaluate the application.
Note: Funded applications with funds for a third party agreement
will not have those funds released until the agreement has been
approved by the Office of Community Services.
Applicants submitting an application must include the following:
a. 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 74, to protect adequately
any federal funds awarded under the application;
b. Financial statements for the applicant organization for the
prior three years. (If not available because the organization is a
newly-formed entity, include a statement to this effect); and
V. Application Review Information
1. Criteria
Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting
burden for this collection 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 OMB control
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;
[[Page 26154]]
supporting documentation, such as letters of support and testimonials
from concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
Results or Benefits Expected
Identify the results and benefits to be derived. For example,
describe the population to be served by the program and the number of
new jobs that will be targeted to the target population. Explain how
the project will reach the targeted population, how it will benefit
participants including how it will support individuals to become more
economically self-sufficient.
Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of activities
accomplished. Account for all functions or activities identified in the
application. Cite factors that might accelerate or decelerate the work
and state your reasons for taking the proposed approach rather than
others. Describe any unusual features of the project such as design or
technical innovations, reductions in cost or time or extraordinary
social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in, for
example such terms as the ``number of people served.'' When
accomplishments cannot be quantified by activity or function, list them
in chronological order to show the schedule of accomplishments and
their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
Evaluation
Provide a narrative addressing how the results of the project and
the conduct of the project will be evaluated. In addressing the
evaluation of results, state how you will determine the extent to which
the project has achieved its stated objectives and the extent to which
the accomplishment of objectives can be attributed to the project.
Discuss the criteria to be used to evaluate results, and explain the
methodology that will be used to determine if the needs identified and
discussed are being met and if the project results and benefits are
being achieved. With respect to the conduct of the project, define the
procedures to be employed to determine whether the project is being
conducted in a manner consistent with the work plan presented and
discuss the impact of the project's various activities on the project's
effectiveness.
Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission.
The non-profit agency can accomplish this by providing a copy of
the applicant's listing in the Internal Revenue Service's (IRS) most
recent list of tax-exempt organizations described in Section 501(c)(3)
of the IRS code, or by providing a copy of the currently valid IRS tax
exemption certificate, or by providing a copy of the articles of
incorporation bearing the seal of the State in which the corporation or
association is domiciled.
Budget and Budget Justification
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
1. Evaluation Criteria
Criteria for Review and Evaluation of Applications Submitted Under Job
Opportunities for Low-Income Individuals (JOLI) Program
Evaluation Criterion I: Approach (Maximum: 30 Points)
Element I: Project Theory, Design and Plan
OCS seeks to learn from the application why and how the project, as
proposed, is expected to lead to the creation of new employment
opportunities for low-income individuals, which can lead to significant
improvements in individual and family self-sufficiency.
Applicants are urged to design and present their project in terms
of a conceptual cause-effect framework. In the following paragraphs, a
framework is described that suggests a way to present a project so as
to show the logic of the cause-effect relations between project
activities and project results. Applicants are not required to use the
exact language described; but it is important to present the project in
a way that makes clear the cause-effect relationship between what the
project plans to do and the results it expects to achieve.
Sub-Element (a)--Description of Target Population, Analysis of Need and
Project Assumptions (Weight of 0-10 Points in application Review)
The project design or plan should begin by identifying the
underlying program assumptions. These are the beliefs on which the
proposed program is built. These assumptions include: The needs of the
population to be served; the current services available to that
population, and where and how they fail to meet their needs; why the
[[Page 26155]]
proposed services or interventions are appropriate and will meet those
needs; and the impact the proposed interventions will have on the
project participants. In other words, the underlying assumptions of the
program are the applicant's analysis of the needs and problems to be
addressed by the project, and the applicant's theory of how its
proposed interventions will address those needs and problems to achieve
the desired result. Thus a strong application is based upon a clear
description of the needs and problems to be addressed and a persuasive
understanding of the causes those problems. (0-4 Points)
In this sub-element of the application, the applicant must
precisely identify the target population to be served. The geographic
area to be impacted should then be described briefly, citing the
percentage of low-income individuals and TANF recipients, as well as
the unemployment rate and other data relevant to the project design.
(0-2 Points)
The application should include an analysis of the identified
personal barriers to employment, job retention and greater self-
sufficiency faced by the target population. (These might include such
problems as illiteracy, substance abuse, family violence, lack of
skills training, health or medical problems, need for child care, lack
of suitable clothing or equipment or poor self-image.) (0-2 Points)
The application should also include an analysis of the identified
community systemic barriers that the project will seek to overcome.
These might include lack of jobs (high unemployment rate); lack of
public transportation; lack of markets; unavailability of financing,
insurance or bonding; inadequate social services (employment service,
child care, job training); high incidence of crime; inadequate health
care; or environmental hazards (such as toxic dumpsites or leaking
underground tanks). (0-2 Points)
Applicants should be sure not to overlook the personal and family
services and support that might be needed by project participants after
they are on the job which will enhance job retention and advancement.
If the jobs to be created by the proposed project are themselves
designed to fill one or more of the needs, or remove one of more of the
barriers so identified, this fact should be highlighted in the
discussion, e.g., jobs in child care, health care or transportation.
It is suggested that applicants use no more than 4 pages for this
sub-element.
Sub-Element (b)--Project Strategy and Design: Interventions, Outcomes
and Goals (Weight of 0-10 Points in Application Review)
The work plan must describe the proposed project activities, or
interventions, and explain how they are expected to result in outcomes
that will meet the needs of the program participants and assist them to
overcome the identified personal and systemic barriers to employment,
job retention and self-sufficiency. In other words, what will the
project staff do with the resources provided to the project and how
will what they do (interventions) assist in creating and sustaining
employment and business opportunities for program participants in the
face of the needs and problems that have been identified? (0-4 Points)
The underlying assumptions concerning client needs and the theory
of how they can be effectively addressed, which are discussed above,
lead in the project design to the conduct of a variety of project
activities or interventions, each of which is assumed to result in
immediate changes or outcomes. The immediate changes lead to
intermediate outcomes; and the intermediate outcomes lead to the
attainment of the final project goals.
The applicant should describe the major activities, or
interventions, which are to be carried out to address the needs and
problems identified in Sub-Element II(a); and should discuss the
immediate changes or outcomes, which are expected to result. These are
the results expected from each service or intervention immediately
after it is provided. For example, a job readiness training program
might be expected to result in clients having increased knowledge of
how to apply for a job, improved grooming for job interviews, and
improved job interview skills; or business training and training in
bookkeeping and accounting might be expected to result in project
participants making an informed decision about whether they are suited
for entrepreneurship. (0-2 Points)
At the next level are the intermediate outcomes, which result from
these immediate changes. Often an intermediate project outcome is the
result of several immediate changes resulting from a number of related
interventions such as training and counseling. Intermediate outcomes
should be expressed in measurable changes in knowledge, attitudes,
behavior, or status/condition. In the above examples, the immediate
changes achieved by the job readiness program, coupled with technical
assistance to an employer in the expansion of a business, could be
expected to lead to intermediate outcomes of creation of new job
openings and in the participant applying for a job with the company.
The acquisition of business skills, coupled with the establishment of a
loan fund, could be expected to result in the actual decision by the
participant to go into a particular business venture or seek the
alternative track of pursuing job readiness and training. (0-2 Points)
Finally, the application should describe how the achievement of
these intermediate outcomes will be expected to lead to the attainment
of the project goals; employment in newly created jobs, new careers in
non-traditional jobs, successful business ventures, or employment in an
expanded business, depending on the project design. Applicants must
remember that if the major focus of the project is to be the
development and start-up of a new business or the expansion of an
existing business, then a business plan that follows the outline in
this announcement must be submitted as an appendix to the application.
(See Part A) (0-2 Points)
Applicants do not have to use the exact terminology described
above, but it is important to describe the project in a way that makes
clear the expected cause-and-effect relationship between what the
project plans to do: The activities or interventions, the changes that
are expected to result and how those changes will lead to attainment of
the project goals of new employment opportunities and greater self-
sufficiency. The competitive review of this sub-element will be based
on the extent to which the application makes a convincing case that the
activities to be undertaken will lead to the projected results.
It is suggested that applicants use no more than 4 pages for this
sub-element.
Sub-Element (c)--Work Plan (Weight of 0-10 Points in Application
Review)
Once the project strategy and design framework is established, the
applicant should present a detailed work plan for the project. The plan
should explicitly tie into the project design framework and should be
feasible, i.e., capable of being accomplished with the resources, staff
and partners available. The plan should briefly describe the key
project tasks and show the time lines and major milestones for their
implementation. Critical issues or potential problems that might affect
the achievement of project objectives should be explicitly addressed,
with an explanation of how they would be overcome, and how the
objectives will be achieved
[[Page 26156]]
notwithstanding any such problems. The plan should be presented in such
a way that it can be correlated with the budget narrative included
earlier in the application. Applicants may be able to use a simple
Gantt or timeline chart to convey the work plan in minimal space. (0-5
Points)
The application contains a full and accurate description of the
proposed use of the requested financial assistance. If the applicant
proposes to make an equity investment or a loan to an individual,
organization, or business entity (including a wholly-owned subsidiary),
the application must include: A signed third party agreement; a signed
statement by a Certified or Licensed Public Accountant as to the
sufficiency of the third party's financial management system; and
financial statements for the third party's prior three years of
operation. (If newly formed and unable to provide the information
regarding the prior three years of operation, a statement to that
effect should be included.) If the applicant states that an agreement
is not currently in place, the application must contain in the
narrative as much information required for third party agreements as is
available. Also, if the project proposes the development of a new or
expanded business, service, physical or commercial activity, the
application must address applicable elements of a business plan.
Guidelines for a business plan are found under, 6. Other Submission
Requirements. (0-2 Points)
Special attention should be given to assure that the financial plan
element, which indicates the project's potential and timetable for
financial self-sufficiency, is included. It must include for the
applicant and the third party, if appropriate, the following exhibits
for the first three years (on a quarterly basis) of the business'
operations: Profit and Loss Forecasts, Cash Flow Projections and Pro
Forma Balance Sheets. Based on these documents, the application must
also contain an analysis of the financial feasibility of the project.
Also, a narrative ``Source and Use of Funds'' statement for all project
funding must be included. (0-3 Points)
It is suggested that applicants use no more than 3 pages for this
sub-element.
Evaluation Criterion II: Results or Benefits Expected (Maximum: 30
Points)
Element II: Significant and Beneficial Impact
Sub-Element (a)--Quality of Jobs/Business Opportunities (Weight of 0-10
Points in Application Review)
The proposed project is expected to produce permanent and
measurable results that will reduce the incidence of poverty in the
community and lead welfare recipients from welfare dependency toward
economic self-sufficiency. Results are expected to be quantifiable in
terms of the creation of permanent, full-time jobs; the development of
business opportunities; the expansion of existing businesses; or the
creation of non-traditional employment opportunities. In developing
business opportunities and self-employment for TANF recipients and low-
income individuals; the applicant proposes, at a minimum, to provide
basic business planning and management concepts, and assistance in
preparing a business plan and loan package. (0-5 Points)
The application should document that:
The business opportunities to be developed for eligible
participants will contribute significantly to their progress toward
self-sufficiency; and/or jobs to be created for eligible participants
will contribute significantly to their progress toward self-
sufficiency. For example, they should provide salaries that exceed the
minimum wage, plus benefits such as health insurance, child care and
career development opportunities. (0-5 Points)
It is suggested that applicants use no more than 2 pages for this
sub-element.
Sub-Element (b)--Community Empowerment Consideration (Weight of 0-3
Points in Application Review)
Special consideration will be given to applicants located in areas
characterized by conditions of extreme poverty and other indicators of
socio-economic distress. Examples of such distress may include: A
poverty rate of at least 20 percent, designation as an EZ/EC, high
levels of violence, gang activity or drug use. Applicants should
document that in response to these conditions, they have been involved
in the preparation and planned implementation of a comprehensive
community-based strategic plan to achieve both economic and human
development in an integrated manner, and they should identify how the
proposed project will support the goals of that plan.
It is suggested that applicants use no more than 2 pages for this
sub-element.
Sub-Element (c)--Support for Non-Custodial Parents (Weight of 0-2
Points in Application Review)
Applicants who have entered into partnership agreements with local
CSE Agencies will also receive special consideration upon demonstrating
they have developed and implemented innovative strategies to increase
the capability of low-income parents and families, which assists them
to fulfill their parental responsibilities. In addition, such
partnership agreements should include referrals of identified income
eligible families and non-custodial parents economically unable to
provide child support to the applicant's project.
To receive the full credit of two points, applicants should
include, as an Appendix to the application, a signed letter of
agreement with the local CSE Agency for referral of eligible non-
custodial parents to the proposed project. See listed information on
the location of the local CSE Agency in your state.
It is suggested that applicants use no more than 1 page for this
sub-element.
Sub-Element (d)--Cooperative Partnership Agreement with the Designated
Agency Responsible for the TANF Program (Weight of 0-5 Points in
Application Review)
The application should include a signed, written agreement between
the applicant and the designated State agency responsible for
administering the TANF Program. The agreement, at a minimum, must cover
the specific services and activities that will be provided to the
target population. Applications that contain such an agreement will
receive the maximum five (5) points.
Applications that have not included a signed written agreement but
document that the organization is in the process of securing a
cooperative relationship with the agency responsible for administering
the Temporary Assistance For Needy Families Program (TANF) (as provided
for under Title IV-A of the Social Security Act) in the area served by
the project will receive a much lesser point. (2 Points)
It is suggested that applicants use no more than 1 page for this
sub-element.
Sub-Element (e)--Public/Private Partnerships and Resources (Weight of
0-5 Points in the Application Review)
The application should briefly describe any public/private
partnerships, which will contribute to the implementation of the
project. Where partners' contributions to the
[[Page 26157]]
project are a vital part of the project design and work program, the
narrative should describe undertakings of the partners. A partnership
agreement specifying the roles of the partners and making a clear
commitment to the fulfilling of the partnership role must be included
in an appendix to the application. The firm commitment of mobilized
resources must be documented and submitted with the application in
order to be given credit under this element. The application should
meet the following criteria:
Where other resources are mobilized, the application must provide
documentation that public and/or private sources of cash and/or third
party-in-kind contributions will be available in the form of letters of
commitment from the organization(s)/individual(s) from which resources
will be received. Applications that can document dollar for dollar
contributions equal to the OCS funds, and demonstrate that the
partnership agreement clearly relates to the objectives of the proposed
project will receive the maximum number of points for this criterion.
Lesser contributions will be given consideration based upon the value
documented.
Note: Even though there is no matching requirement for the JOLI
Program, grantees will be held accountable for any match, cash or
in-kind contribution proposed or pledged as part of an approved
application. (See Part A--Mobilization of Resources.)
Partners involved in the proposed project should be
responsible for substantive project activities and services. Applicants
should note that partnership relationships are not created via service
delivery contracts.
It is suggested that applicants use no more than 4 pages for this
element.
Sub-Element (f)--Cost-Per-Job (Weight of 0-5 Points in Application
Review)
The applicant should document that during the project period the
proposed project will create new, permanent jobs through business
opportunities or non-traditional employment opportunities for low-
income residents. The cost-per-job should be calculated by dividing the
total amount of grant funds requested (e.g., $500,000) by the number of
jobs to be created (e.g., 50) which would equal the cost-per-job
($10,000). In making calculations of cost-per-job, only jobs filled by
low-income project participants may be counted. (See Part A, Applicant
Experience and Cost-per-job.)
Note: The Office of Community Services will not fund projects
where the cost-per-job in OCS funds exceeds $10,000. The maximum
number of points will be given only to those applicants proposing
cost-per-job created estimates of $10,000 or less of OCS requested
funds.
It is suggested that applicants use no more than 1 page for this
sub-element.
Evaluation Criterion III: Organizational Profiles (Maximum 20 Points)
Element III--Organizational Experience in Program Area and Staff
Skills, Resources and Responsibilities
Sub-Element (a)--Agency's Experience and Commitment in Program Area
(Weight of 0-10 Points in Application Review)
Applicants should cite their organization's capability and relevant
experience in developing and operating programs which deal with poverty
problems similar to those to be addressed by the proposed project. They
should also cite the organization's experience in collaborative
programming and operations that involve evaluations and data
collection. Applicants should identify agency executive leadership in
this section and briefly describe their involvement in the proposed
project and provide assurance of their commitment to its successful
implementation. (0-6 Points.)
The application should include documentation that briefly
summarizes two similar projects undertaken by the applicant agency and
the extent to which the stated and achieved performance targets,
including permanent benefits to low-income populations, have been
achieved. The application should note and justify the priority that
this project will have within the agency, including the facilities and
resources that it has available to carry it out. (0-4 Points)
It is suggested that applicants use no more than 2 pages for this
sub-element.
Note: The maximum number of points will be given only to those
organizations with a demonstrated record of achievement in promoting
job creation and enterprise opportunities for low-income people.
Sub-Element (b)--Staff Skills, Resources and Responsibilities (Weight
of 0-10 Points in Application Review)
The application must identify the two or three individuals who will
have the key responsibility for managing the project, coordinating
services and activities for participants and partners, and for
achieving performance targets. The focus should be on the
qualifications, experience, capacity and commitment to the program of
the executive officials of the organization and the key staff persons
who will administer and implement the project. The person identified as
project director should have supervisory experience, experience in
finance and business, and experience with the target population.
Because this is a new project, within an already-established agency,
OCS expects that the key staff person(s) would be identified, if not
hired, or provide an estimated hiring time line for each individual to
be on board. (0-5 Points)
The application must also include a resume of the third party
evaluator, if identified or hire; or the minimum qualifications and
position description for the third party evaluator, who must be a
person with recognized evaluation skills who is organizationally
distinct from and not under the control of applicant. (See Element IV:
Project Evaluation, below, for fuller discussion of evaluator
qualifications.) (0-3 Points)
Actual resume of key staff and position descriptions should be
included in an appendix to the application. (0-2 Points)
It is suggested that applicants use no more than 3 pages for this
sub-element.
Evaluation Criteria IV: Project Evaluation (Maximum: 15)
Element IV: Project Evaluation (Weight of 0-15 Points in the
Application Review)
Sound evaluations are essential to the JOLI Program. OCS requires
each application to include a well thought through outline of an
Evaluation Plan for the project. The outline should explain how the
applicant proposes to answer the key questions about how effectively
the project will be implemented such as (1) whether the project
activities or interventions achieve the expected immediate outcomes;
(2) why or why not (the process evaluation); (3) whether and to what
extent the project achieved its stated goals; and (4) 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?'' (0-5 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 population 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
[[Page 26158]]
outcome measures that will be used to identify performance success and
expected changes in individual participants, the grantee organization
and the community. (0-3 Points)
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 Evaluation Plan outline 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 (see previous paragraph); (0-2
Points)
2. The identity and qualifications of the proposed independent
third party evaluator, i.e., a person or organization with recognized
evaluation skills. Assurance that the third party evaluator will be
organizationally distinct from and not under the control of, the
applicant. The third party evaluators qualifications must include
successful experience in evaluating social service delivery programs,
and the planning and/or evaluation of programs designed to foster self-
sufficiency in low-income populations; (0-2 Points) and
3. A commitment to the selection of a third party evaluator
approved by OCS and 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. (0-1 Points)
Finally, as noted above, the outline should provide for 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. 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 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 experience in conducting process and outcome
evaluations in the job creation field, and have 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, esp. 74.43) apply to service contracts such as those for
evaluators.
It is suggested that applicants use no more than 3 pages for this
element, plus the resume or position description for the evaluator,
which should be in an appendix.
Evaluation Criteria V: Budget and Budget Justification (Maximum: 5
Points)
Element V: Budget Appropriateness and Reasonableness (Weight of 0-5
Points in Application Review)
Applicants must submit a detailed budget breakdown and a budget
narrative or explanatory budget information for each of the budget
categories in the SF-424A. The duration of the proposed project and the
funds requested in the budget must be commensurate with the level of
effort necessary to accomplish the goals and objectives of the project.
The estimated cost to the government of the project should be
reasonable in relation to the project's duration and to the anticipated
results. The applicant presents a reasonable administrative cost. (0-3
Points)
Applicants must also include a Source and Use Document showing
total project cost and the document should include all mobilized
resources to accomplish project purposes within the proposed time
frame. (0-2 Points)
This budget narrative and Source and Use Document are not
considered a part of the project narrative, and does not count as part
of the 30 page limitation but rather should be included in the
application following the budget forms (SF-424 and SF-424A).
Applicants should include funds in the project budget for travel by
project directors and chief evaluators to attend two national
evaluation workshops in Washington, D.C.
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, a Standard Form 424-A Budget
Information and signed Standard Form 424B Assurance--Non-Construction
Programs completed according to instructions provided in this Program
Announcement. The forms SF-424 and the SF-424B must be signed by an
official of the organization applying for the grant who has authority
to obligate the organization legally. The applicant's legal name as
required on the SF-424 (Item 5) must match that listed as corresponding
to the Employer Identification Number (Item 6);
(b) The application must include a project narrative that meets
requirements set for in this announcement.
(c) The application must contain documentation of the applicant's
tax-exempt status 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 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;
[[Page 26159]]
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
In cases where more applications are approved for funding than ACF
can fund with 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
be placed in rank order along with other applications in the later
competition.
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, 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.
2. Administrative and National Policy Requirements: 45 CFR part 74
Special Terms and Conditions of Awards: None.
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.
Special Reporting Requirements: None.
VII. Agency Contacts
Program Office Contact: Aleatha E. Slade, Office of Community
Services, Operations Center, 1815 North Fort Myer Drive, Suite 300,
Arlington, Virginia 22209, E-mail: ocs@lcgnet.com, Telephone: 1-800-
281-9519.
Grants Management Office Contact: Barbara Ziegler Johnson, Office
of Grants Management, Division of Discretionary Grants, 370 L'Enfant
Promenade, SW., Aerospace Building, Washington, DC 20447-0002. E-mail:
dweeden@acf.hhs.gov. Telephone: (202) 401-2344.
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. 04-10554 Filed 5-10-04; 8:45 am]
BILLING CODE 4184-01-P