FR Doc 04-11236

[Federal Register: May 19, 2004 (Volume 69, Number 97)]
[Notices]
[Page 28896-28907]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr19my04-55]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

Grants and Cooperative Agreements; Availability, etc: Amercian
Indian and Native Alaskan Incremental Development Projects; Community
Services Block Grant Program

Program Office Name: Office of Community Services.
Funding Opportunity Title: The Community Services Block Grant
Program Community Economic Development Discretionary Grant Program--
Priority Area: Incremental Development Projects--American Indian and
Native Alaskan.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2004-ACF-OCS-ID-0023.
CFDA Number: 93.570.
Due Dates for Applications: The due date for receipt of
applications is July 19, 2004.

I. Funding Opportunity Description

The Community Services Block Grant (CSBG) Act of 1981, as amended,
(Section 680 of the Community Opportunities, Accountability, and
Training and Educational Services Act of 1998), authorizes the
Secretary of the U.S. Department of Health and Human Services to make
grants to provide technical and financial assistance for economic
development activities designed to address the economic needs of low-
income individuals and families by creating employment and business
development opportunities. Low-income beneficiaries include those who
are determined to be living in poverty as determined by the HHS
Guidelines on Poverty (See Appendix A), are unemployed, on public
assistance, including Temporary Assistance for Needy Families (TANF),
are at risk teenagers, custodial and non-custodial parents, public
housing residents, persons with disabilities and persons who are
homeless. Under this priority area, the Office of Community Services
(OCS) is particularly interested in receiving applications from urban
and tribal American Indian and Alaskan Village community development
corporations and other community development corporations (CDC)
including faith-based ones.

Definitions of Terms

The following definitions apply:
Beneficiaries--Low-income individuals (as defined in the most
recent annual revision of the Poverty Income Guidelines published by
the U.S. Department of Health and Human Services) who receive direct
benefits and low-income communities that receive direct benefits.
Budget Period--The time interval into which a grant period is
divided for budgetary and funding purposes.
Business Start-up Period--Time interval when the grantee completes
preliminary project tasks. These tasks include but are not limited to
assembling key staff, executing contracts, administering lease out or
build-out of space for occupancy, purchasing plant and equipment and
other similar activities. The Business Start-Up Period typically
entails three to six months from when OCS awards the grant or
cooperative agreement.
Cash contributions--The recipient's cash outlay, including the
outlay of money contributed to the recipient by the third parties.

[[Page 28897]]

Community Development Corporation (CDC)--A private non-profit
corporation governed by a board of directors consisting of residents of
the community and business and civic leaders, which has as a principal
purpose planning, developing, or managing low-income housing or
community development projects.
Community Economic Development (CED)--A process by which a
community uses resources to attract capital and increase physical,
commercial, and business development, as well as job opportunities for
its residents.
Construction projects--Projects that support the initial building
or large scale modernization or permanent improvement of a facility.
Cooperative Agreement--An award instrument of financial assistance
when substantial involvement is anticipated between the awarding
office, (the Federal government) and the recipient during performance
of the contemplated project.
Developmental/Research Phase--The time interval during the Project
Period that precedes the Operational Phase. Grantees accomplish
preliminary activities during this phase including establishing third
party agreements, mobilizing monetary funds and other resources,
assembling, rezoning, and leasing of properties, conducting
architectural and engineering studies, constructing facilities, etc.
Displaced worker--An individual in the labor market who has been
unemployed for six months or longer.
Distressed community--A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
Employment education and training program--A program that provides
education and/or training to welfare recipients, at-risk youth, public
housing tenants, displaced workers, homeless and low-income individuals
and that has demonstrated organizational experience in education and
training for these populations.
Empowerment Zone and Enterprise Community Project Areas (EZ/EC)--
Urban neighborhoods and rural areas designated as such by the Secretary
of Agricultural or Housing and Urban Development.
Equity investment--The provision of capital to a business entity
for some specified purpose in return for a portion of ownership using a
third party agreement as the contractual instrument.
Faith-Based Community Development Corporation--A community
development corporation that has a religious character.
Hypothesis--An assumption made in order to test a theory. It should
assert a cause-and-effect relationship between a program intervention
and its expected result. Both the intervention and its result must be
measured in order to confirm the hypothesis. The following is a
hypothesis: ``Eighty hours of classroom training will be sufficient for
participants to prepare a successful loan application.'' In this
example, data would be obtained on the number of hours of training
actually received by participants (the intervention), and the quality
of loan applications (the result), to determine the validity of the
hypothesis (that eighty hours of training is sufficient to produce the
result).
Intervention--Any planned activity within a project that is
intended to produce changes in the target population and/or the
environment and that can be formally evaluated. For example, assistance
in the preparation of a business plan is an intervention.
Job creation--New jobs, i.e. jobs not in existence prior to the
start of the project, that result from new business startups, business
expansion, development of new services industries, and/or other newly-
undertaken physical or commercial activities.
Job placement--Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
Letter of commitment--A signed letter or agreement from a third
party to the applicant that pledges financial or other support for the
grant activities contingent only on OCS accepting the applicant's
project proposal.
Loan--Money lent to a borrower under a binding pledge for a given
purpose to be repaid, usually at a stated rate of interest and within a
specified period.
Non-profit Organization--An organization, including faith-based and
community-based, that provides proof of non-profit status described in
the ``Additional Information on Eligibility'' section of this
announcement.
Operational Phase--The time interval during the Project Period when
businesses, commercial development or other activities are in
operation, and employment, business development assistance, and so
forth are provided.
Outcome evaluation--An assessment of project results as measured by
collected data that define the net effects of the interventions applied
in the project. An outcome evaluation will produce and interpret
findings related to whether the interventions produced desirable
changes and their potential for being replicated. It should answer the
question: Did this program work?
Poverty Income Guidelines--Guidelines published annually by the
U.S. Department of Health and Human Services that establish the level
of poverty defined as low-income for individuals and their families.
The guideline information is posted on the Internet at the following
address: http://aspe.hhs.gov/poverty.shtml
Process evaluation--The ongoing examination of the implementation

of a program. It focuses on the effectiveness and efficiency of the
program's activities and interventions (for example, methods of
recruiting participants, quality of training activities, or usefulness
of follow-up procedures). It should answer the questions such as: Who
is receiving what services and are the services being delivered as
planned? It is also known as formative evaluation, because it gathers
information that can be used as a management tool to improve the way a
program operates while the program is in progress. It should also
identify problems that occurred, how the problems were resolved and
what recommendations are needed for future implementation.
Pre-Development Phase--The time interval during the Project Period
when an applicant or grantee plans a project, conducts feasibility
studies, prepares a business or work plan and mobilizes non-OCS
funding.
Program income--Gross income earned by the grant recipient that is
directly generated by an activity supported with grant funds.
Project Period--The total time for which a project is approved for
OCS support, including any approved extensions.
Revolving loan fund--A capital fund established to make loans
whereby repayments are re-lent to other borrowers.
Self-employment--The employment status of an individual who engages
in self-directed economic activities.
Self-sufficiency--The economic status of a person who does not
require public assistance to provide for his/her needs and that of his/
her immediate family.
Sub-award--An award of financial assistance in the form of money,
or property, made under an award by a recipient to an eligible sub-
recipient or by a sub-recipient to a lower tier sub-recipient. The term
includes financial assistance when provided by any legal agreement,
even if the agreement is called a contract, but does not include
procurement of goods and services nor does it include any form of
assistance which is excluded from the definition of

[[Page 28898]]

``award'' in 45 CFR Part 74. Note: Equity investments and loan
transactions are not sub-awards.
Technical assistance--A problem-solving event generally using the
services of a specialist. Such services may be provided on-site, by
telephone or by other communications. These services address specific
problems and are intended to assist with immediate resolution of a
given problem or set of problems.
Temporary Assistance for Needy Families (TANF)--The Federal block
grant program authorized in Title I of the Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 (Public Law 104-193). The
TANF program transformed ``welfare'' into a system that requires work
in exchange for time-limited assistance.
Third party--Any individual, organization or business entity that
is not the direct recipient of grant funds.
Third party agreement--A written agreement entered into by the
grantee and an organization, individual or business entity (including a
wholly owned subsidiary), by which the grantee makes an equity
investment or a loan in support of grant purposes.
Third party in-kind contributions--Non-cash contributions provided
by non-Federal third parties. These contributions may be in the form of
real property, equipment, supplies and other expendable property, and
the value of goods and services directly benefiting and especially
identifiable to the project or program.
Project Goals
CED projects further HHS goals of strengthening American families
and promoting their self-sufficiency and OCS goals of promoting healthy
families in healthy communities. CED is particularly directed toward
public-private partnerships that develop employment and business
opportunities for low-income people and revitalize distressed
communities.
Project Scope
Projects include business startups, business expansions,
development of new products and services, and other newly-undertaken
physical and commercial activities. Projects must result in creation of
new jobs. Each applicant must describe the project scope which includes
the low-income community to be served, business activities to be
undertaken and the types of jobs to be created.

Priority Area

Community Economic Development Program

Priority Area: Incremental Development Projects (IDP)--American Indian
and Native Alaskan
OCS will fund nonprofit Tribal, Urban Indian Centers or Alaska
Native CDCs or nonprofit non-Indian CDCs that assist Indian tribes or
Alaskan Native Communities in carrying out business development
activities for their members; business startups, business expansions,
development of new services or industries, and other newly-undertaken
physical and commercial activities. If the CDC is non-Indian or non-
Alaska Native, the application must reflect a significant partnership
role for the tribe or community. The application must contain a
written, signed agreement from an authorized tribal official confirming
the tribe's significant involvement in the project. By entering into a
partnership agreement with a tribe, the applicant will be considered to
have fulfilled the goal of mobilizing non-discretionary program dollars
and will be granted the maximum number of points in that category.
An eligible community development corporation applicant must submit
a business plan that shows the economic feasibility of the venture. An
applicant for an Incremental Development Project does not have to have
in place all signed written commitments from other funding sources
contributing to the project, but it must describe probable funding
sources and any conditions under which they may be made available. In
addition, an applicant for Incremental Development funds does not have
to have in place all third party agreements but must describe needed
third parties, their contributions and qualifications, and the
feasibility of bringing them into the project. Letters of support from
community stakeholders are welcome. An applicant must also clearly
explain whether it has site control, and if not, the time period
required to obtain site control.
OCS will support an Incremental Development Project under a
cooperative agreement. A cooperative agreement is an award instrument
of financial assistance used when substantial involvement is
anticipated between OCS and the grantee during performance of the
project. OCS will outline a plan of interaction with the grantee for
implementation under the cooperative agreement. A schedule of tasks
will be developed and agreed upon in addition to any special conditions
relating to the implementation of the project.
The duties and responsibilities of the applicant and ACF/OCS in
fulfilling the Cooperative Agreement during each phase will include the
following:
Responsibilities of the grantee:
To implement activities described in the approved project
description;
Develop and implement work plans that will ensure that the
services and activities included in the approved application address
the goals and objectives of the approved project in an efficient,
effective and timely manner;
Submit regular semi-annual Financial Status (Standard Form
269) and progress reports that describe activities including, at a
minimum, (a) information about the actions taken to implement the
proposed project, and (b) the proposed plan for outcomes measurement
and program evaluation of the activities supported with Federal funds.
Work cooperatively and collaboratively with ACF officials,
other Federal agency officials conducting related activities, and other
entities or organizations contracted by ACF to assist in carrying out
the purposes of the Community Economic Development Program; such
cooperation and collaboration shall include, but not be limited to,
providing requested financial and programmatic information, creating
opportunities for interviews with agency officials and staff, and
allowing on-site observation of activities supported under the
cooperative agreement;
Notify the Office of Community Services Project Officer if
revisions are needed to the cooperative agreement;
Consult with the Office of Community Services Project
Officer in implementing the activities on an Ongoing and frequent basis
during each phase of the project;
Comply with Community Economic Development Program
regulations (unless otherwise expressly waived in the approved
application) and all other applicable Federal statutes and regulations
in effect during the time that applicant is receiving grant funding;
Notify the Office of Community Services Project Officer of
any key personnel changes in writing;
Ensure that the executive director and/or project
director, and the evaluator are qualified to perform their
responsibilities;
Attend a two-day national workshop in Washington, DC. The
workshop will be scheduled shortly after the effective date of the
grant award. Additionally, the project director should plan annual
meetings with their

[[Page 28899]]

program and grants management specialists each year, thereafter, during
the life of the grant. The evaluator should also attend a final
evaluation workshop to be held at the end of the project period.
Project budgets must include funds from the OCS award for travel to and
attendance at these meetings and workshops; and
Responsibilities of ACF/OCS:
To provide consultation to the grantee with regard to the
development of the work plan, approaches to address problems that
arise, and identification of areas needing technical assistance;
To consult with and to provide the grantee the data
collection requirements of OCS, and to keep the grantee informed of
policy developments as they affect the implementation of the project;
To provide timely review, comment and decisions on
significant project documents;
To work together to address issues or problems with regard
to the grantee's ability to carry out the full range of activities
included in the approved application in the most efficient and
effective manner;
To promptly review written requests for approval of
deviations from the project description or approved budget. Any changes
which affect the terms and conditions of the grant award or revisions/
amendments to the cooperative agreement or to the approved scope of
activities will require prior approval by the ACF Grants Management
Officer; and
An applicant requesting funding for an IDP must request the total
amount of CED funding needed for the project on the SF424, Application
for Federal Assistance. The maximum CED award for an IDP can be no more
than $700,000 per project.
Applications that are exclusively for construction may have project
periods of up to five years with continuation funding every twelve
months. First year funding will be awarded for up to 20% of the
requested total amount, not to exceed $140,000. The application must
also include an incremental budget based on the design of the project
for the four remaining years, not to exceed the balance of the total
requested funding. A minimum of 2% of the award, or a minimum of
$14,000, must be set aside for each continuation year.
Non-construction projects may have project periods of up to three
years with continuation funding every twelve months. First year funding
will be awarded for up to 20% of the total requested amount, not to
exceed $140,000. The applicant must also include an incremental budget
based on the design of the project for the two remaining years, not to
exceed the balance of the total requested funding. A minimum of 2% of
the award, or a minimum of $14,000, must be set aside for each
continuation year.
Funding beyond the first 20% is dependent on a grantee's
documenting (1) site control, (2) all of the non-CED funding required
to complete the project and (3) referral sources. In addition,
continuing funding will be subject to the availability of funds,
satisfactory progress by the grantee on the project and a determination
that continuation is in the best interests of the Federal Government.
The decision to continue funding the project is at the sole discretion
of OCS.
Applicants awarded a FY 2003 Incremental Development Project (IDP)
grant cannot receive a second IDP grant until the first grant is
significantly complete and has met most of its proposed goals and
objectives. Particular attention will be paid to satisfying all job
creation commitments.

II. Award Information

Funding Instrument Type: Cooperative Agreement.
Anticipated Total Priority Area Funding: $140,000 in FY2004.
Anticipated Number of Awards: 1-2.
Ceiling on Amount of Individual Awards: $700,000 per project
period.
The first increment of an Incremental Development Project may not
exceed $140,000. An application that exceeds the upper value of the
dollar range specified will be considered ``non-responsive'' and be
returned to the applicant without further review.
Floor of Individual Award Amounts: None.
Average Projected Award Amount: $70,000 per initial budget period.

III. Eligibility Information

1. Eligible Applicants
Nonprofits having a 501(c) (3) status with the IRS, other than
institutions of higher education. Nonprofits that do not have a 501(c)
(3) status with the IRS, other than institutions of higher education.
Faith-based community development corporations are eligible to apply.
An applicant must be a private, non-profit community development
corporation (CDC). For purposes of this grant program, the CDC must be
governed by a Board of Directors consisting of residents of the
community and business and civic leaders. The CDC must have as a
principal purpose planning, developing, or managing low-income housing
or community development activities.

Additional Information on Eligibility

Applications that do not include proof of nonprofit status with
their application will be disqualified.
Any non-profit organization submitted an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing:
(a) A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS Code.
(b) A copy of a currently valid IRS tax exemption certificate.
(c) A statement from a State taxing body, State attorney general,
or other appropriate State official certifying that the applicant
organization has a non-profit status and that none of the net earnings
accrue to any private shareholders or individuals.
(d) A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
(e) Or any of the items referenced above for a State or national
parent organization and a statement signed by the parent organization
that the applicant organization is a local non-profit affiliate. For
American Indian Tribes and Alaska Native Villages, proof of non-profit
status can also be documented by submitting a Federal Register listing
as a Federally-recognized tribe.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms'' titled ``Survey for Private, Non-Profit Grant Applicants''
at http://www.acf.hhs.gov/programs/ofs/forms.htm.

Applicants that do not include proof of CDC status in the
application will be disqualified.
An applicant must be a private, non-profit Community Development
Corporation. For purposes of this grant program, the CDC must be
governed by a Board of Directors consisting of residents of the
community and business and civic leaders. The CDC must have as a
principal purpose, planning, developing, or managing low-income housing
or community development projects.
Applicants must document their eligibility as a CDC for the
purposes of this grant program. The application must include a list of
governing board members along with their designation as a community
resident, or business or civic leader. In addition, the application
must include documentation that the

[[Page 28900]]

organization has as a primary purpose planning, developing or managing
low income housing or community development activities. This
documentation may include incorporation documents or other official
documents that identify the organization.
2. Cost Sharing or Matching
None.
There is no cost sharing or matching requirement but most projects
require significant funding in addition to the Federal CED funds so
applicants are strongly encouraged to mobilize the resources needed for
a successful project. The ability to mobilize resources is considered
in evaluating the feasibility of a proposal.
3. Other
On June 27, 2003, the Office of Management and Budget published in
the Federal Register a new Federal policy applicable to all Federal
grant applicants. The policy requires all Federal grant applicants to
provide a Dun and Bradstreet Data Universal Numbering System (DUNS)
number when applying for Federal grants or cooperative agreements on or
after October 1, 2003. The DUNS number will be required whether an
applicant is submitting a paper application or using the government-
wide electronic portal (http://www.Grants.gov). A DUNS number will be required

for every application for a new award or renewal/continuation of an
award, including applications or plans under formula, entitlement and
block grant programs, submitted on or after October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
on-line at http://www.dnb.com.

IV. Application and Submission Information

1. Address To Request Application Package
Office of Community Services, Administration for Children and
Families, 370 L'Enfant Promenade, SW., Suite 500 West, Washington, DC
20447, Email: ocs@lcgnet.com, Telephone: (800) 281-9519.
2. Content and Form of Application Submission

A. Application Content

Each application must include the following components:
1. Table of Contents.
2. Abstract of the Proposed Project--one or two paragraphs, not to
exceed 350 words, that describe the community in which the project will
be implemented, beneficiaries to be served, type(s) of business(es) to
be developed, type(s) of jobs to be created, projected cost-per-job,
any land or building to be purchased or building constructed, resources
leveraged and intended impact on the community.
3. Completed Standard Form 424--that has been signed by an official
of the organization applying for the grant who has legal authority to
obligate the organization. Under Box 11., include ``Priority Area 1
Operational Grant.''
4. Standard Form 424A--Budget Information-Non-Construction
Programs.
5. Standard Form 424B--Budget Information--Construction Programs.
6. Narrative Budget Justification--for each object class category
required under Section B, Standard Form 424A and/or 424B, as
applicable.
6. Project Narrative--A narrative that addresses issues described
in the ``Application Review Information'' and the ``Review and
Selection Criteria'' sections of this announcement.

B. Application Format

Submit application materials on white 8\1/2\ x 11 inch paper only.
Do not use colored, oversized or folded materials.
Do not include organizational brochures or other promotional
materials, slides, films, clips, etc.
The font size may be no smaller than 12 pitch and the margins must
be at least one inch on all sides.
Number all application pages sequentially throughout the package,
beginning with the abstract of the proposed project as page number one.
Present application materials either in loose-leaf notebooks or in
folders with pages two-hole punched at the top center and fastened
separately with a slide paper fastener.

C. Page Limitation

The application package including sections for the Table of
Contents, Project Abstract, Project and Budget Narratives, and business
and work plans must not exceed 40 pages. The page limitation does not
include Standard Forms and Assurances, Certifications, Disclosures,
appendices and any supplemental documents as required in this
announcement.

D. Required Standard Forms

Applicants must submit Standard Form (SF) 424, Request for
Financial Assistance.
Applicants requesting financial assistance for a non-construction
project must sign and return Standard Form 424A, Assurances: Non-
Construction Programs with their applications.
Applicants requesting financial assistance for a construction
project must sign and return Standard Form 424B, Assurances:
Construction Programs with their applications.
Applicants must provide a Certification Regarding Lobbying. Prior
to receiving an award in excess of $100,000, applicants must furnish an
executed copy of the lobbying certification. Applicants must sign and
return the certification with their application.
Applicants must make the appropriate certification of their
compliance with all Federal statues relating to nondiscrimination.
Applicants provide certification by signing the SF424 and need not mail
back the certification with the application.
Applicants must make the appropriate certification of their
compliance with the requirements of the Pro-Children Act of 1994 as
outlined in Certification Regarding Environmental Tobacco Smoke.
Applicants provide certification by signing the SF424 and need not mail
back the certification with the application.
3. Submission Date and Times
The closing time and date for receipt of applications is 4:30 p.m.
Eastern Standard Time (EST) on July 19, 2004. Mailed or hand carried
applications received after 4:30 p.m. on the closing date will be
classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Community Services
Operations Center, 1815 Fort Meyer Drive, Suite 300, Arlington,
Virginia 22209 Attention: Daphne Weeden. Applicants are responsible for
mailing applications well in advance, when using all mail services, to
ensure that the applications are received on or before the deadline
time and date.
Applications hand carried by applicants, applicant couriers, other
representatives of the applicant, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 8 a.m.
and 4:30 p.m., EST, at the U.S. Department of Health and Human
Services, Administration for Children and Families, Office of Community
Services'' Operations Center, 1815 Fort Meyer Drive, Suite 300,
Arlington, Virginia 22209

[[Page 28901]]

Attention: Operations Center between Monday and Friday (excluding
Federal holidays). This address must appear on the envelope/package
containing the application with the note: ``Attention: Operations
Center''. Applicants are cautioned that express/overnight mail services
do not always deliver as agreed.
Late applications: Applications which do not meet the criteria
above are considered late applications. 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.
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.
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.
----------------------------------------------------------------------------------------------------------------

Additional Forms: Private-non-profit organizations are encouraged
to submit with their applications the additional survey located under
``Grant Related Documents and Forms'' titled ``Survey for Private, Non-
Profit Grant Applicants.''

----------------------------------------------------------------------------------------------------------------

4. Intergovernmental Review
State Single Point of Contact (SPOC)
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs. As of October 1, 2003, the following
jurisdictions have elected not to participate in the Executive Order
process. Applicants from these jurisdictions or for projects
administered by federally-recognized Indian Tribes need take no action
in regard to E.O. 12372:
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 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

[[Page 28902]]

Human Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462,
Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included with the application materials for this announcement.
5. Funding Restrictions
Cost Per Job
OCS will not fund projects with a cost-per-job in CED funds that
exceeds $10,000. An exception will be made if the project includes
purchase of land or a building, or major renovation or construction of
a building. In this instance, the applicant must explain the factors
that raise the cost beyond $10,000. In no instance, will OCS allow for
more than $15,000 cost-per-job in CED funds. Cost per job is calculated
by dividing the number of jobs to be created by the amount of the CED
grant request.
National Historic Preservation Act
If an applicant is proposing a project which will affect a property
listed in, or eligible for, inclusion in the National Register of
Historic Places, it must identify this property in the narrative and
explain how it has complied with the National Historic Preservation Act
of 1996, as amended. If there is any question as to whether the
property is listed in or eligible for inclusion in the National
Register of Historic Places, the applicant must consult with the State
Historic Preservation Officer and describe in the narrative the content
of such consultation.
Sub-Contracting or Delegating Projects
OCS will not fund any project where the role of the applicant is
primarily to serve as a conduit for funds to organizations other than
the applicant. The applicant must have a substantive role in the
implementation of the project for which funding is requested. This
prohibition does not bar the making of sub-grants or sub-contracting
for specific services or activities needed to conduct the project.
Number of Projects in Application
Except for the retail development initiative, each application may
include only one proposed project.
Prohibited Activities
OCS will not consider applications that propose to establish Small
Business Investment Corporations or Minority Enterprise Small Business
Investment Corporations.
OCS will not fund projects that are primarily education and
training projects. In projects where participants must be trained, any
funds proposed for training must be limited to specific job-related
training to those individuals who have been selected for employment in
the grant-supported project. Projects involving training and placement
for existing vacant positions will be disqualified from competition.
OCS will not fund projects that would result in the relocation of a
business from one geographic area to another resulting in job
displacement.
Pre-award costs will not be covered by an award.
6. Other Submission Requirements
Private Nonprofit Community Development Corporation
Applicants must provide proof of nonprofit status and proof of
status as a community development corporation as required by statute
and as described under ``Additional Information on Eligibility.''
Sufficiency of Financial Management System
Because CED funds are Federal, all grantees must be capable of
meeting the requirements of 45 CFR Part 74 concerning their financial
management system. To assure that the applicant has such capability,
applications must include a signed statement from a Certified or
Licensed Public Accountant as to the sufficiency of the CDCs financial
management system in accordance with 45 CFR 74 and financial statements
for the CDC for the prior three years. If such statements are not
available because the CDC is a newly formed entity, the application
must include a statement to this effect. The CDC grantee is responsible
for ensuring that grant funds expended by it and a third party are
expended in compliance with Federal Regulations of 45 CFR, Part 74 and
OMB Circular A-122.
Business Plan
Applications for Priority Area 3. Incremental Development
Projects--Native Americans, must submit a business plan. For incubator
or microenterprise development projects, the business plan covers the
project, not the individual business plans of beneficiaries.
The business plan is a major component that will be evaluated by an
expert review panel, OCS and OGM to determine the feasibility of a
business venture or other economic development project. It must address
all the relevant elements as follows:
(1) Executive Summary (limit to 2 pages)
(2) Description of the business: The business as a legal entity and
its general business category. Business activities must be described by
Standard Industrial Codes (SIC) using the North American Industry
Classification System (NAICS) and jobs by occupational classification.
This information is published by the U.S. Department of Commerce in the
Statistical Abstract of the United States, 1998, Tables No. 679 and
680. These tables include information necessary to meet this
requirement.
(3) Description of the industry, current status and prospects.
(4) Products and services, including detailed descriptions of:
(a) Products or services to be sold;
(b) Proprietary position of any of the product, e.g., patents,
copyright, trade secrets;
(c) Features of the product or service that may give it an
advantage over the competition;
(5) Market Research: This section describes the research conducted
to assure that the business has a substantial market to develop and
achieve sales in the face of competition. This includes researching:
(a) Customer base: Describe the actual and potential purchasers for
the product or service by market segment.
(b) Market size and trends: Describe the site of the current total
market for the product or service offered;
(c) Competition: Provide an assessment of the strengths and
weaknesses of the competition in the current market;
(d) Estimated market share and sales: Describe the characteristics
of the product or service that will make it competitive in the current
market;
(6) Marketing Plan: The marketing plan details the product,
pricing, distribution, and promotion strategies that will be used to
achieve the estimated market share and sales projections. The marketing
plan must describe what is to be done, how it will be done and who will
do it. The plan addresses overall marketing, strategy, packaging,
service and warranty, pricing, distribution and promotion.
(7) Design and Development Plans: If the product, process or
service of the proposed venture requires any design and development
before it is ready to be placed on the market, describe the nature,
extent and cost of this work. The section covers items such as
development status and tasks, difficulties and risks, product
improvement and new products and costs.

[[Page 28903]]

(8) Operations Plan: An operations plan describes the kind of
facilities, site location, space, capital equipment and labor force
(part and/or full time and wage structure) that are required to provide
the company's product or service.
(9) Management Team: This section describes the technical,
managerial and business skills and experience to be brought to the
project. This a description of key management personnel and their
primary duties; compensation and/or ownership; the organizational
structure and placement of this proposed project within the
organization; the board of directors; management assistance and
training needs; and supporting professional services.
(10) Overall Schedule: This section is the implementation plan
which shows the timing and interrelationships of the major events or
benchmarks necessary to launch the venture and realize its objectives.
This includes a month-by-month schedule of activities such as product
development, market planning, sales programs, production and
operations. If the proposed project is for construction, this section
lays out timeframes for conduct of predevelopment, architectural,
engineering and environmental and other studies, and acquisition of
permits for building, use and occupancy that are required for the
project.
(11) Job Creation: This section describes the job creation
activities and projections expected as a result of this project. This
includes a description of the strategy that will be used to identify
and hire individuals who are low-income, including those on TANF. This
section includes the following:
(a) The number of permanent jobs that will be created during the
project period, with particular emphasis on jobs for low-income
individuals.
(b) For low-income individuals, the number of jobs that will be
filled by low-income individuals (this must be at least 60% of all jobs
created); the number of jobs that have career development opportunities
and a description of those jobs; the number of jobs that will be filled
by individuals receiving TANF; the annual salary expected for each
person employed.
(c) For low-income individuals who become self-employed, the number
of self-employed and other ownership opportunities created; specific
steps to be taken including on-going management support and technical
assistance provided by the grantee or a third party to develop and
sustain self-employment after the businesses are in place; and expected
net profit after deductions of business expenses.

Note: OCS will not recognize job equivalents nor job counts
based on economic multiplier functions; jobs must be specifically
identified.

(12) Financial Plan: The financial plan demonstrates the economic
supports underpinning the project. 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 and projected to be available;
(e) Brief summary discussing any further capital requirements and
methods or projected methods for obtaining needed resources.
(13) Critical Risks and Assumptions: This section covers the risks
faced by the project and assumptions surrounding them. This includes a
description of the risks and critical assumptions relating to the
industry, the venture, its personnel, the product or service market
appeal, and the timing and financing of the venture.
(14) Community Benefits: This section describes other economic and
non-economic benefits to the community such as development of a
community's physical assets; provision of needed, but currently
unsupplied, services or products to the community; or improvement in
the living environment.
Work Plan
An applicant must include a detailed work plan covering the
activities to be undertaken and benchmarks that demonstrate progress
toward stated goals and measurable objectives.
Third Party Agreements
Applicants submitting an application for funding under Priority
Area 3, Incremental Development Projects--Native Americans, that
proposes to use some or all of the requested CED funds to enter into a
third party agreement are required to either submit the signed Third
Party Agreement in the application, along with the business plan, for
approval by OCS, or in the narrative, explain who the prospective third
party (parties) would be and their contributions to the project. It
should be noted that the portion of a grant that will be used to fund
project activities related to a third party agreement will not be
released (in any instances) until the agreement has been approved by
OCS.
All third party agreements must include written commitments as
follows: From third party (as appropriate):
(1) Low-income individuals will fill a minimum of 60% of the jobs
to be created from project activities as a result of the injection of
grant funds.
(2) The grantee will have the right to screen applicants for jobs
to be filled by low-income individuals and to verify their eligibility.
(3) If the grantee's equity investment equals 25% or more of the
business' assets, the grantee will have representation on the board of
directors.
(4) Reports will be made to the grantee regarding the use of grant
funds on a quarterly basis or more frequently, if necessary.
(5) Procedures will be developed to assure that there are no
duplicate counts of jobs created.
(6) That the third party will maintain documentation related to the
grant objectives as specified in the agreement and will provide the
grantee and HHS access to that documentation. From the grantee:
(1) Detailed information on how the grantee will provide support
and technical assistance to the third party in areas of recruitment and
retention of low-income individuals.
(2) How the grantee will provide oversight of the grant-supported
activities of the third party for the life of the agreement. Detailed
information must be provided on how the grant funds will be used by the
third party by submitting a Sources and Uses of Funds Statement.
From the grantee and third party:
Signatures of the authorized officials of the grantee and third
party organization.
A third party agreement covering an equity investment must contain,
at a minimum, the following:
(1) Purpose(s) for which the equity investment is being made.
(2) The type of equity transaction (e.g. stock purchase).
(3) Cost per share and basis on which the cost per share is
derived.
(4) Number of shares being purchased.
(5) Percentage of CDC ownership in the business.
(6) Term of duration of the agreement.
(7) Number of seats on the board, if applicable.
(8) Signatures of the authorized officials of the grantee and third
party organization.

[[Page 28904]]

A third party agreement covering a loan transaction must contain,
at a minimum, the following information:
(1) Purpose(s) for which the loan is being made.
(2) Interest rates and other fees.
(3) Terms of the loan.
(4) Repayment schedules.
(5) Collateral security.
(6) Default and collection procedures.
(7) Signatures of the authorized officials of the lender and
borrower.
All third party agreements must be accompanied by a signed
statement from a Certified or Licensed Public Accountant as to the
sufficiency of the third party's financial management system in
accordance with 45 CFR 74 and financial statements for the third party
organization for the prior three years. If such statements are not
available because the organization is a newly formed entity, the
application must include a statement to this effect. The grantee is
responsible for ensuring that grant funds expended by it and the third
party are expended in compliance with Federal regulations of 45 CFR,
Part 74 and OMB Circular A-122.
Evaluation
Applications must include provision for an independent,
methodologically sound evaluation of the effectiveness of the
activities carried out with the grant and their efficacy in creating
new jobs and business ownership opportunities. There must be a well-
defined process evaluation, and an outcome evaluation whose design will
permit tracking of project participants throughout the proposed project
period. The evaluation must be conducted by an independent evaluator,
i.e., a person with recognized evaluation skills who is
organizationally distinct from, and not under the control of, the
applicant. It is important that each successful applicant have a third-
party evaluator selected, and implement their role at the very latest
by the time the work program of the project is begun, and if possible
before that time so that he or she can participate in the design of the
program, in order to assure that data necessary for the evaluation will
be collected and available.
Competitive procurement regulations (45 CFR, Part 74, Section
74.40-74.48, especially Section 74.43) apply to service contracts such
as those for evaluators.

V. Application Review Information

1. Criteria

Paperwork Reduction Act of 1995 (Public Law 104-13)

Public reporting burden for this collection of information is
estimated to average 25 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection of information.
The project description is approved under Office of Management and
Budget (OMB) Control Number 0970-0139.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
Purpose
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. In preparing your project
description, all information requested through each specific evaluation
criteria should be provided. Awarding offices use this and other
information in making their funding recommendations. It is important,
therefore, that this information be included in the application.
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions and the specified evaluation criteria. The
instructions give a broad overview of what your project description
should include while the evaluation criteria expands and clarifies more
program-specific information that is needed.
Project Summary/Abstract
Provide a summary of the project description (a page or less) with
reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated; supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
Results or Benefits Expected
Identify the results and benefits to be derived. For example,
describe the population to be served by the program and the number of
new jobs that will be targeted to the target population. Explain how
the project will reach the targeted population, how it will benefit
participants including how it will support individuals to become more
economically self-sufficient.
Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of activities
accomplished. Account for all functions or activities identified in the
application. Cite factors that might accelerate or decelerate the work
and state your reasons for taking the proposed approach rather than
others. Describe any unusual features of the project such as design or
technical innovations, reductions in cost or time or extraordinary
social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in, for
example such terms as the ``number of people served.'' When
accomplishments cannot be quantified by activity or function, list them
in chronological order to show the schedule of accomplishments and
their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget

[[Page 28905]]

(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
Priority Area 3. Incremental Development Projects--Native Americans

Evaluation Criterion I: Approach (Maximum: 38 points)
The application describes the project, its scope and methods that
will be used to ensure that the project results in employment and
business development opportunities for low income individuals. (0-5
points)
The applicant has site control or the possibility of site control
within 12 months. (0-5 points)
The work plan is results-oriented and related to job creation and
business development opportunities for low income individuals. The
application addresses the following: specific outcomes to be achieved;
performance targets that the project is committed to achieving,
including a discussion of and how the project will verify the
achievement of these targets; critical milestones which must be
achieved if results are to be gained; organizational support, the level
of support from the applicant organization; past performance in similar
work; and specific resources contributed to the project that are
critical to success. The project is able to be implemented soon after a
grant award is made. (0-10 points)
The business plan meets the requirements of ``Part 6. Other
Submission Requirements Business Plan.'' (0-5 points) Required
financial documents are contained in the application and demonstrate
that the project is viable if funding is leveraged as expected. (0-5
points) Where applicable, third party agreements meet the requirements
of ``Part 6. Other Submission Requirements Third Party Agreements'' and
can be expected to be executed within 12 months after receipt of a
grant award. (0-8 points)
Evaluation Criterion II: Objectives and Need for Assistance (Maximum:
16 points)
The application documents that the project addresses a vital need
in a distressed community. ``Distressed community'' is defined as a
geographic urban neighborhood or rural community with high unemployment
and pervasive poverty. The application documents that both the
unemployment rate and poverty level for the targeted neighborhood or
community must be equal to or greater than the state or national level.
(0-3 points) The application cites the most recent available statistics
from published sources, e.g. the recent U.S. Census or updates, the
State, county, city, election district and other information provided
in support of its contention. (0-3 points)
The application documents that the applicant is an active partner
in either a new or on-going comprehensive community revitalization
project such as: a federally-designated Empowerment Zone, Enterprise
Community or Renewal Community project that has clear goals of
strengthening economic and human development in target neighborhoods; a
State or local-government supported comprehensive neighborhood
revitalization project; a foundation supported community revitalization
initiative. (0-3 points)
The application demonstrates a commitment to, or agreements with,
local agencies to ensure that low-income individuals will be trained
and placed in the newly created jobs. Low income individuals include
welfare recipients, at-risk youth, displaced workers, public housing
residents, persons who are homeless, persons with disabilities and
custodial and non-custodial parents. The application provides written
agreements from the local TANF, employment education and training
office, and child support enforcement agency indicating what actions
will be taken to integrate or coordinate services that relate directly
to the project or a narrative that describes such agreements to be
entered into. (0-3 points) The agreements include: (1) The goals and
objectives that the applicant and the TANF, employment education and
training office and/or child support enforcement agency expect to
achieve through their collaboration. (2) The specific activities that
will be undertaken to integrate or coordinate services on an on-going
basis. (3) The target population that this collaboration will serve.
(4) The mechanism(s) to be used in integrating or coordinating
activities. (5) How those activities will be significant in relation to
the goals

[[Page 28906]]

and objectives to be achieved through the collaboration. (6) How these
activities will be significant in relation to their impact on the
success of the OCS-funded project. (0-4 points)
Evaluation Criterion III: Results or Benefits Expected (Maximum: 16
points)
The application describes the business(es) that will be established
or expanded as a result of the project. The applicant documents the
number of jobs that will be created. (0-3 points)
During the project period, the proposed project will create new,
permanent jobs or maintain permanent jobs for low-income residents at a
cost-per-job not to exceed $10,000 in CED funds. If the project
involves construction or major renovation, the cost-per-job will not
exceed $15,000 and the applicant demonstrates the need to exceed
$10,000 per job. (0-3 points)
The application documents that the jobs to be created for low-
income people have career development opportunities that will promote
self-sufficiency. (0-2 points)
A non-Indian applicant submits a signed letter of agreement to
participate in the Incremental Development Project--Native American by
officials of the affected tribe. (0-8 points)

Note 1: Cash resources such as cash or loans contributed from
all project sources (except for those contributed directly by the
applicant) are documented by letters of commitment from third
parties making the contribution.

Note 2: The value of in-kind contributions for personal property
is documented by an inventory valuation for equipment and a
certified appraisal for real property. Also, a copy of a deed or
other legal document is required for real property.

Note 3: Anticipated or projected program income such as gross or
net profits from the project or business operations will not be
recognized as mobilized or contributed resources.

Evaluation Criterion IV: Organizational Profiles (Maximum: 15 points)
a. Organizational profile (sub-rating: 0-8 points)

The application demonstrates that the applicant has the management
capacity, organizational structure and successful record of
accomplishment relevant to business development, commercial
development, physical development, and/or financial services and that
it has the ability to mobilize other financial and in-kind resources.

b. Staff skills and resources (sub-rating: 0-7 points)

The application describes in brief resume form the experience and
skills of the project director who is not only well qualified, but
whose professional capabilities are relevant to the successful
implementation of the project. If the key staff person has not yet been
identified, the application contains a comprehensive position
description that indicates that the responsibilities to be assigned to
the project director are relevant to the successful implementation of
the project. (0-5 points)
The applicant has adequate facilities and resources (i.e. space and
equipment) to successfully carry out the work plan. (0-3 points)
Evaluation Criterion V: Project Evaluation (Maximum: 10 points)
The application contains the outline of a project evaluation plan.
The outline explains how the applicant proposes to answer key questions
about how effectively the project is implemented; whether the project
activities, or interventions, achieved the expected immediate outcomes,
and why or why not (the process evaluation); and whether and to what
extent the project achieved its stated goals, and why or why not (the
outcome evaluation). Together, the process and outcome evaluations
answer the question: ``What did this program accomplish and why did it
work/not work?'' Applicants are not being asked to submit a complete
and final evaluation plan as part of their application, but the plan
must include:
(1) An outline of an evaluation plan that identifies the principal
cause-and-effect relationships to be tested and that demonstrates the
applicant's understanding of the role and purpose of both process and
outcome evaluations, and the effectiveness of the project in fostering
self-sufficiency in low-income populations. (0-3 points)
(2) A reporting format based on the grantee's demonstration of its
activities (interventions) and their effectiveness, to be included in
the grantee's semi-annual progress reports to OCS. These reports are
expected to provide OCS with insights and lessons learned, as they
become evident, concerning the various aspects of the work plan, such
as recruitment, training, support, public-private partnerships, and
coordination with other community resources, as they are relevant to
the proposed project. (0-3 points)
(3) The identity and qualifications of the proposed third-party
evaluator, if not selected at the time of application, the
qualifications which will be sought in choosing an evaluator. The
evaluator must have knowledge about and experience in conducting
process and outcome evaluations in the business development or job
creation field and have a thorough understanding of the range and
complexity of the problems faced by the target population. It is
important that the 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 in order for the
evaluator to 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. OCS must approve selection of a third party evaluator. (0-2
points)
(4) Process for completing a final evaluation design and plan, in
collaboration with the approved evaluator and OCS, during the six-month
start-up period of the project. Applicants should ensure that the
evaluation design is consistent with the project design, identifying
key project assumptions about the target populations and their needs;
hypotheses, or expected cause-effect relationships, to be tested in the
project; and the proposed project activities, or interventions, that
will address needs in ways that will lead to self-sufficiency. The
design also identifies in advance the most important process and
outcome measures that will be used to identify performance success and
expected changes in individual participants, the grantee organization,
and the community. (0-2 points)
Evaluation Criterion VI: Budget and Budget Justification (Maximum: 5
points)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. (0-2 points)
The application includes a detailed budget breakdown and a
narrative justification for each of the budget categories in the SF-
424A. The applicant presents a reasonable administrative cost. (0-2
points)
The estimated cost to the government of the project also is
reasonable in relation to the anticipated results. (0-1 point)
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

[[Page 28907]]

for completeness and conformity with the following requirements. Only
complete applications that meet the requirements listed below will be
reviewed and evaluated competitively. Incomplete applications,
including applications that do not originate from a nonprofit Native
American CDC or a non-Indian CDC with a signed partnership agreement
with the affected Indian tribe, 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 for Non-Construction Projects, or signed Standard Form 424B
Budget Information for Construction Projects. These forms must be
completed according to instructions provided in this Program
Announcement and must be signed by an official of the applicant
organization who has legal authority to obligate the organization. The
applicant's legal name as required on the SF-424 (Item 5) must match
that listed as corresponding to the Employer Identification Number
(Item 6);
(b) The application must include a project narrative that meets
requirements set forth in this announcement.
(c) The application must contain documentation of the applicant's
tax-exempt and community development corporation 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; geographic
distribution of applications; previous program performance of
applicants, including compliance with programmatic and financial
reporting requirements; compliance with grant terms under previous HHS
grants, including the actual dedication to program of mobilized
resources as set forth in project applications; audit reports;
investigative reports; and applicant's progress in resolving any final
audit disallowance on previous OCS or other Federal agency grants.

VI. Award Administration Information

1. Award Notices
90 days after the due date of applications.
The successful applicants will be notified through the issuance of
a Financial Assistance Award document which sets forth the amount of
funds awarded, the terms and conditions of the award, the effective
date of the award, the budget period for which support is granted, and
the total project period for which support is contemplated. The
Financial Assistance Award will be signed and issued via postal mail by
an authorized Grants Officer.
2. Administrative and National Policy Requirements
45 CFR Part 74.
3. Reporting Requirements
Programmatic Reports: Semi-annually with a final report due 90 days
after the project end date.
Financial Reports: Semi-annually with a final report due 90 days
after the project end date.
Special Reporting Requirements: None.

VII. Agency Contacts

Program Office Contact

Debra Brown, Office of Community Services, 370 L'Enfant Promenade,
SW., Suite 500 West, Aerospace Building, Washington, DC 20447-0002,
Email: ocs@lcgnet.com, Telephone: (800) 281-9519.

Grants Management Office Contact

Barbara Ziegler-Johnson, Office of Grants Management, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., Aerospace Building,
Washington, DC 20447-0002, Email: ocs@lcgnet.com, Telephone: (800) 281-
9519.

VIII. Other Information

Additional information about this program and its purpose can be
located on the following Web site: http://www.acf.hhs.gov/programs/ocs.

Dated: May 11, 2004.
Clarence H. Carter,
Director, Office of Community Services.
[FR Doc. 04-11236 Filed 5-18-04; 8:45 am]

BILLING CODE 4184-01-P