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/ Thursday, June 20, 2002
[Federal Register: June 20, 2002 (Volume 67, Number 119)]
[Notices]
[Page 42027-42052]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20jn02-100]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of Community Services
[Program Announcement No. OCS-2002-12]
Request for Applications Under the Office of Community Services'
Fiscal Year 2002 Community Food and Nutrition Program--Nationwide
Initiative
AGENCY: Office of Community Services, Administration for Children and
Families, Department of Health and Human Services.
ACTION: Announcement of availability of funds and request for
competitive applications under the Office of Community Services'
Community Food and Nutrition Program (CFNP)--Nationwide Initiative.
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SUMMARY: The Administration for Children and Families (ACF), Office of
Community Services (OCS), invites eligible entities to submit
competitive grant applications for the award of one cooperative
agreement for the Community Food and Nutrition Program (CFNP)--
Nationwide Initiative pursuant to the Secretary's discretionary
authority under section 681 of the Community Services Block Grant Act,
as amended (Sec. 42 U.S.C. 9922). This Program Announcement contains
forms and instructions for submitting an application. The awarding of
the cooperative agreement under this Program Announcement is subject to
the availability of funds for support of this activity.
DATES: To be considered for funding, applications must be received on
or before August 5, 2002. Applications received after that date will
not be accepted for consideration. See Part IV of this announcement for
more information on submitting applications.
FOR FURTHER INFORMATION CONTACT: The OCS Operations Center at 1-800-
281-9519 for referral to the appropriate contact person in OCS for
programmatic questions or send an e-mail to: OCS@lcgnet.com or contact
Catherine Rivers at (202) 401-5252.
For a copy of this announcement, Contact: OCS Operations Center,
1815 North Fort Myer Drive, Suite 300, Arlington, Virginia 22209, 1-
800-281-9519
In addition, this announcement is accessible on the OCS Web site
for reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/
kits1.htm
The Catalog of Federal Domestic Assistance (CFDA) number for this
program is 93.571. The title is Community Food and Nutrition Program--
Nationwide Initiative.
SUPPLEMENTARY INFORMATION: This Program Announcement consists of seven
parts plus attachments:
Part I: Background Information
A. Legislative Authority
B. Program Purpose
C. Project Goals
D. Form of Award
E. Definition of Terms
Part II: Program Objectives and Requirements
A. Project Requirements
B. Program Priority Areas
C. Eligible Applicants
D. Availability of Funds and Grant Amounts
E. Mobilization of Resources
F. Project and Budget Periods
G. Indirect Costs
H. Program Beneficiaries
I. Number of Projects in Application
J. Multiple Submittal
K. Sub-Contracting or Delegating Projects
Part III: The Project Description, Program Proposal Elements and Review
Criteria
A. Purpose
B. Project Summary/Abstract
C. Objectives and Need for Assistance
D. Results or Benefits Expected
E. Approach
F. Organizational Profiles
G. Budget and Budget Justification
H. Evaluation Criteria
Part IV: Application Procedures
A. Application Development/Availability of Forms
B. Application Submission
C. Intergovernmental Review
D. Initial OCS Screening
E. Consideration of Applications
Part V: Instructions for Completing Forms SF-424
A. SF-424--Application for Federal Assistance (attachment B)
B. SF-424A--Budget Information--Non-Construction Programs
(attachment C)
C. SF-424B--Assurances--Non-Construction Programs (attachment D)
Part VI: Contents of Application and Receipt Process
A. Contents of Application
B. Application Format
C. Acknowledgment of Receipt
Part VII: Post Award Information and Reporting Requirements
A. Notification of Grant Award
B. Reporting Requirements
C. Audit Requirements
D. Prohibitions and Requirements with Regard to Lobbying
E. Applicable Federal Regulations
Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average 10 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed and
reviewing the collected information.
The project description is approved under OMB control number 0970-
0139 which expires 12/31/2003.
A person is not required to respond to an information request from
an agency unless a currently valid OMB control number is displayed.
Part I. Background Information
A. Legislative Authority
The Community Services Block Grant Act, as amended, authorizes the
Secretary of Health and Human Services to make funds available under
several programs to support program activities which will result in
direct benefits targeted to low-income people. This Program
Announcement covers the grant authority found at Section 681 of the
Community Services Block Grant Act, (The Act) (Pub. L. 97-35) as
amended by the Community Opportunities, Accountability, and Training
and Educational Services Act of 1998 (Pub. L. 105-285), Community Food
and Nutrition Programs. The Act authorizes the Secretary to award
grants on a competitive basis to eligible entities for community-based,
local and statewide and national programs including programs
benefitting Indians (as defined in 42 USC 9911) and migrant and
seasonal farm workers. Grant funds are provided to: (1) Coordinate
private and public food assistance resources, wherever the grant
recipient involved determines such coordination to be inadequate, to
better serve low-income populations; (2) to assist low-income
communities in identifying potential sponsors of child nutrition
programs and to initiate such programs in underserved or unserved
areas; and (3) to develop innovative approaches at the national, State
and local level to meet the nutrition needs of low-income individuals.
B. Program Purpose
The Department of Health and Human Services (DHHS) is committed to
improving the overall health and nutritional well-being of all
individuals, including low-income persons, through improved preventive
health care and promotion of personal responsibility.
DHHS also recognizes that improving the health and nutrition status
of low-income persons can also be improved by access to healthy,
nutritious foods. The DHHS encourages community efforts to improve the
coordination and integration of health and social services for all low-
income families, and to
[[Page 42028]]
identify opportunities for collaborating with other programs and
services for this population. Such collaboration can increase a
community's capacity to leverage resources and promote an integrated
approach to health and nutrition through existing programs and
services.
C. Project Goals
The goal of the Community Food and Nutrition Program (CFNP)--
Nationwide Initiative is to identify the characteristics, practices and
needs of current grantees, as well as the barriers they face in
achieving project goals. Specific attention will be given to (1)
ensuring compliance with the legislative mandates of the CFNP, (2)
identifying needs that may be unique to a particular geographic area or
community, (3) identifying projects beneficial to children, (4)
identifying ``best practices'' within the grantee community, (5)
developing a CFNP database for use and maintenance by the Office of
Community Services, and (6) collecting, reviewing and analyzing program
data submitted by the network of CFNP grantees nationwide.
D. Form of Award
The Office of Community Services plans to support the Community
Food and Nutrition Program--Nationwide Initiative through a Cooperative
Agreement. A Cooperative Agreement is an award instrument of financial
assistance when substantial involvement is anticipated between the
awarding federal office and the recipient during the performance of the
contemplated project.
The Office of Community Services (OCS) and the successful applicant
will function as partners sharing responsibility for the design,
coordination, and implementation of the project. OCS Staff will be the
Administration of Children and Families (ACF) individuals primarily
responsible for efforts under this cooperative agreement. In addition,
ACF regional office staff may work closely with OCS and the applicant
in planning and implementing the proposed work plan of the project. The
purpose of the cooperative agreement is to ensure cooperation and
coordination between OCS and the grantee.
The Office of Community Services will outline a plan of interaction
with the grantee for implementation under the cooperative agreement.
The respective responsibilities of the Office of Community Services and
the successful applicant will be identified and incorporated into the
Cooperative Agreement during pre-award negotiations. The OCS
responsibilities will not change the project requirements found in this
Announcement.
The plan under the cooperative agreement will describe the general
and specific responsibilities of the grantee and the grantor as well as
foreseeable joint responsibilities. A schedule of tasks will be
developed and agreed upon in addition to any special conditions
relating to implementation of the project.
E. Definition of Terms
For purposes of this Program Announcement, the following
definitions apply:
Budget period: The interval of time into which a grant period of
assistance (project period) is divided for budgetary and funding
purposes.
Cooperative Agreement: An award instrument of financial assistance
when substantial involvement is anticipated between the awarding
federal office and the grant recipient during the performance of the
contemplated project.
Displaced worker: An individual who is actively pursuing employment
but has been unemployed for six months or longer.
Eligible entity: State and local governments, as well as Indian
tribes, and public and private nonprofit agencies/organizations
including Community Action Agencies. (See Part II). Faith-based
organizations are eligible to apply for these grants.
Empowerment Zones and Enterprise Communities: Those communities
designated as such by the Secretary of Agriculture or the Secretary of
Housing and Urban Development.
Indian tribe: A tribe, band, or other organized group of Native
American Indians recognized in the State or States in which it resides
or considered by the Secretary of the Interior to be an Indian tribe or
an Indian organization for any purpose.
Innovative project: One that departs from, or significantly
modifies, past program practices and tests a new approach.
Migrant farmworker: An individual who works in agricultural
employment of a seasonal or other temporary nature who is required to
be absent from his/her place of permanent residence in order to secure
such employment.
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
support, including any approved extensions.
Seasonal farmworker: Any individual employed in agricultural work
of a seasonal or other temporary nature who is able to remain at his/
her place of permanent residence while employed.
Self-sufficiency: A condition where an individual or family does
not need, and is not eligible to receive, assistance under the
Temporary Assistance for Needy Families (TANF) program under Title I of
the Personal Responsibility and Work Opportunity Reconciliation Act of
1996 (Part A of Title IV of the Social Security Act).
Underserved area (as it pertains to child nutrition programs): A
locality in which less than one-half of the low-income children
eligible for assistance participate in any child nutrition program.
Part II. Program Objectives and Requirements
The Office of Community Services (OCS) invites qualified entities
to submit competing grant applications for the award of one Cooperative
Agreement for the Community Food and Nutrition Program (CFNP)--
Nationwide Initiative. The CFNP--Nationwide Initiative is a national
research project to study the impact of current CFNP projects on low-
income communities, families, and children nationwide. The results of
the study will enable OCS (1) to improve the quality of service OCS
provides to the network of CFN, and (2) assess the program's impact on
improving the health and nutritional well being of low-income families,
children and individuals nationwide.
The duties and responsibilities of the applicant and ACF/OCS in
fulfilling the Agreement during each phase will include the following:
The Applicant--Role and Responsibilities
The successful applicant shall be responsible for the following:
1. In collaboration with OCS, design, coordinate, and implement the
project.
2. Attend a 2-3 day meeting in Washington, DC to discuss and
finalize the major goals and objectives of the overall project, the
fiscal year work plans, and exchange and share information on
strategies for achieving the goals and objectives of the project.
3. Establish subordinate objectives to guide the focus of their
research based upon the needs assessed in the major objectives.
4. Development a CFNP database for use and maintenance by OCS.
ACF/OCS--Role and Responsibilities
The grantor agency, ACF/OCS, shall be responsible for the
following:
[[Page 42029]]
1. Throughout the term of the Agreement, provide the time and
expertise of OCS to help the applicant implement the goals and
objectives of the project. Specifically, OCS will organize periodic
consultations and teleconferences to review planned activities, to
share information, and to promote nationwide coordination.
2. Provide to the applicant a complete listing of current CFNP
grantees.
3. Organize a 2-3 day meeting in Washington, DC to discuss and
finalize the major goals and objectives of the overall project, the
fiscal year work plans, and to exchange program information, and to
share information on strategies for achieving the goals and objectives
of the project.
4. Throughout the term of this Agreement, review and comment on
quarterly progress reports and other relevant materials prior to their
finalization.
5. Throughout the term of this Agreement, make available to the
applicant program information and/or products from OCS activities that
are available and relevant to the project.
6. Throughout the term of this Agreement, promote the involvement
of the applicant in meetings, conferences, and other initiatives to
strengthen their knowledge and resource base for providing effective
assistance to OCS and CFNP grantees.
A. Project Requirements
In order to successfully compete under this Announcement, the
applicant should:
1. Outline a plan of interaction with OCS for implementation under
a cooperative agreement including, as appropriate, activities involving
OCS Headquarter's agency staff;
2. Describe the needs to be addressed under the Nationwide
Initiative and provide information on the specific services your
organization has provided and currently provides and what need(s) and
information would be provided as the selected grantee.
3. Present the technical approach and the specific work plans for
the provision of assistance to the network of CFNP grantees that is
nationwide in scope and that includes a plan for continued contact with
the field; direct mailings; a plan for the implementation and effective
use of electronic communication capability with the network; and a plan
for the development and use of a network of experts for the provision
of direct training and consultation, including fees for service, if
necessary.
4. Describe the efforts that would be initiated to coordinate the
CFNP-Nationwide Initiative with national food and nutrition advocacy
groups and organizations, other related national resource centers and
clearinghouses, and Federal, State, Indian Tribe and Migrant and
Seasonal Farmworker agencies; identify the agencies/organizations and
how the initiation of coordination with them will enhance the CFNP--
Nationwide Initiative activities and avoid a duplication of efforts;
5. Provide a plan describing the manner in which the applicant
would design and implement special projects relating to policy issues,
training curricula, service delivery models, or other aspects of
service; related to improving the health and nutritional status of low-
income families and individuals;
6. Provide a plan and schedule to collect and disseminate data from
the nationwide network of CFNP grantees on project outcomes;
7. Provide a plan and schedule for evaluating and reporting on the
effectiveness of the project 6 months after the effective date of the
grant;
8. Describe the proposed staff with appropriate definition of each
expertise; and
9. Describe the administrative and organizational structure, the
management plan, and the cost structure within which the project will
operate; describe the administrative, operational and organizational
relationships to be developed and established within the CFNP network
of grantees that will constitute a national network. Charts depicting
these structures and the ensuing relationships must be included.
Additionally, in carrying out such activities, the project funded
under this program should: (a) Be designed and intended to provide
support to a nationwide network of food and nutrition providers who
provide not only nutrition benefits but also the benefits of disease
prevention, to a targeted low-income group of people; (b) Provide
outreach and public education to this network of other nutritional
services available to them under the various Federally-assisted
programs; (c) Carry out targeted communications and social marketing to
improve communication among this network of grantees; and (d) Consult
with and/or inform the national arms of local offices that administer
other food programs such as Women, Infants, and Children (WIC) and Food
Stamps, where applicable, to ensure effective coordination which can
jointly target services to increase their effectiveness. Such
consultation may include involving these offices in planning grant
applications.
The Office of Community Services views this program as a capacity
building program, rather than a service delivery program.
B. Program Priority Areas
The Community Food and Nutrition Program has two Program Priority
Areas for Fiscal Year 2002: Priority Area 1.0, General Projects, which
is covered under a separate Program Announcement published in the
Federal Register on May 7, 2002, and Priority Area 2.0, Nationwide
Initiative, under which OCS will accept applications as described
below.
1. General Projects--Priority Area 1.0
The applicants selected to operate CFNP general projects were asked
in their application to describe the target area and population to be
served and discuss the nature and extent of the problem to be solved.
The application was required to contain a detailed and specific work
program that is sound and feasible. Projects funded under Priority Area
1.0 are required to produce lasting and measurable results that fulfill
the purposes of the CFNP. The OCS grant funds awarded, in combination
with private and/or other public resources, must be targeted to low-
income individuals and communities.
Grantees are required to certify in their submission that projects
will only serve the low-income population as stipulated in the DHHS
Poverty Income Guidelines (Attachment A). Failure to certify that only
beneficiaries that meet the DHHS Poverty Income Guidelines may result
in the application not being considered for funding.
2. Nationwide Initiative--Priority Area 2.0
The Community Food and Nutrition Program--Nationwide Initiative is
a national research project to study the impact of current CFNP
projects on low-income communities, families, and children nationwide.
The applicant selected to manage the Nationwide Initiative will be
responsible for performing this task in coordination with the Office of
Community Services.
C. Eligible Applicants
Eligible applicants are State and local governments, Indian tribes,
and public and private nonprofit agencies/organizations with a
demonstrated ability to successfully develop and implement programs and
activities similar to those enumerated above. The Office of Community
Services encourages Historically Black Colleges
[[Page 42030]]
and Universities, minority institutions and faith-based organizations
to submit applications. Eligible applicants with programs benefitting
Native Americans and migrant or seasonal farmworkers are also
encouraged to submit applications.
Any nonprofit organization submitting an application must submit
proof of its nonprofit status in its application at the time of
submission. The nonprofit agency can accomplish this by providing a
copy of either the applicant's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations 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 certifying non-profit status according to criteria
for the State in which the corporation or association is domiciled.
Faith-based organizations are eligible to apply for these Community
Food and Nutrition Program--Nationwide Initiative funds.
D. Availability of Funds and Grant Amounts
1. Fiscal Year 2002 Funding
The funds available for the cooperative agreement under the
Community Food and Nutrition Program (CFNP)--Nationwide Initiative in
Fiscal Year 2002 are:
Nationwide Initiative--Priority Area 2.0--$300,000*
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*All grant awards are subject to the availability of
appropriated funds.
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2. Grant Amounts
No individual grant application will be considered for an amount in
excess of $300,000 for applications submitted under the CFN--
Nationwide Initiative.
E. Mobilization of Resources
The Office of Community Services would like to mobilize as many
resources as possible to enhance the Cooperative Agreement funded under
the CFNP--Nationwide Initiative. OCS supports and encourages
applications submitted by applicants whose programs will leverage other
resources, either cash or third party in-kind.
F. Project and Budget Periods
This announcement is inviting applications for project periods up
to three years. Awards, on a competitive basis, will be for a one-year
budget period, although project periods may be for three years.
Applications for continuation grants funded under these awards beyond
the one-year budget period but within the three-year project period
will be entertained in subsequent years on a noncompetitive basis,
subject to the availability of funds, satisfactory progress of the
grantee and a determination that continued funding would be in the best
interest of the Government.
G. Indirect Costs
Indirect costs consistent with approved indirect cost rate
agreements are allowable. Applicants should enclose a copy of the
current approved rate agreement. However, it should be understood that
indirect costs are part of, and not in addition to, the amount of funds
awarded in the subject grant.
H. Program Beneficiaries
Projects proposed for funding under this Announcement must result
in direct benefits targeted toward low-income people as defined in the
most recent annual update of the Poverty Income Guidelines published by
DHHS. Attachment A to this Announcement is an excerpt from the most
recently published guidelines. Annual revisions of these guidelines are
normally published in the Federal Register in February or early March
of each year and are applicable to projects being implemented at the
time of publication. Grantees will be required to apply the most recent
guidelines throughout the project period. The Federal Register may be
obtained from public libraries, Congressional offices, or by writing
the Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402. The Federal Register is also available on the
Internet through GPO Access at the following web address: http://
www.access.gpo.gov/su--docs/aces/aces140.html
You may also access the DHHS Poverty Guidelines direct at the
following web address: http://aspe.os.dhhs.gov/poverty/02poverty.htm
No other government agency or privately defined poverty guidelines
are applicable to determining low-income eligibility for this OCS
program.
I. Number of Projects in Application
An application may contain only one proposed project and this
project must address the basic criteria found in Parts II and III of
this Program Announcement. Applications not complying with these
requirements will not be funded.
J. Multiple Submittal
There is no limit to the number of applications that can be
submitted by an eligible applicant as long as each application is for a
different project. However, no applicant will receive more than the one
cooperative agreement.
K. Sub-Contracting or Delegating Projects
The Office of Community Services will not fund any project where
the role of the eligible applicant is primarily to serve as a conduit
for funds to other organizations.
Part III. The Project Description, Program Proposal Elements and Review
Criteria
A. Purpose
The project description provides the 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.
B. Project Summary/Abstract
Provide a summary of the project description (one page or less)
with reference to the funding request.
C. Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
instructional, 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.
[[Page 42031]]
D. Results or Benefits Expected
Identify the results anticipated and the benefits to be derived.
For example, describe the population to be served by the Community Food
and Nutrition Program--Nationwide Initiative. Explain the ways in which
the project will be used to reach your client base and how it will
benefit low-income participants, including whether it may aid some
participants in moving towards self-sufficiency.
E. 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 served and the number of activities
accomplished. When accomplishments cannot be quantified by activity or
function, list them in chronological order to show the schedule of
accomplishments and their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. Note that clearance from the U.S. Office of Management
and Budget (OMB) might be needed prior to a ``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.
F. 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 either the
applicant's listing in the Internal Revenue Service's (IRS) most recent
list of tax-exempt organizations, or the currently valid IRS tax
exemption certificate, or the articles of incorporation bearing the
seal of the State in which the corporation or association is domiciled
which certifies that the organization has met the state's criteria as a
nonprofit organization.
G. Budget and Budget Justification
Provide a 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
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. For purposes
of preparing the budget and budget justification, ``Federal resources''
refers only to the ACF grant for which you are applying. Non-Federal
resources are all other Federal and non-Federal resources. It is
suggested that budget amounts and computations be presented in a
columnar format: first column, object class categories; second column,
Federal budget; next column(s), non-Federal budget(s), and last column,
total budget. The budget justification should be a narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project (in months), time commitment to the project
(as a percentage or full-time equivalent), annual salary, grant salary,
wage rates, etc. Do not include the costs of consultants or personnel
costs of delegate agencies or of specific project(s) or businesses to
be financed by the applicant.
Fringe Benefits
Description: Costs of employee fringe benefits, unless treated as
part of an approved indirect cost rate. Justification: Provide a
breakdown of the amounts and percentages that comprise fringe benefit
costs such as health insurance, FICA, retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
Travel costs for key staff to attend ACF-sponsored workshops should be
detailed in the budget.
Justification: For each trip, show the total number of traveler(s),
travel destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances.
Equipment
Description: ``Equipment'' means an article of non-expendable,
tangible personal property having a useful life of more than one year
and an acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for the financial
statement purposes, or (b) $5,000.
(Note: Acquisition cost means the net invoice unit price of an
item of equipment, including the cost of any modifications,
attachments, accessories, or auxiliary apparatus necessary to make
it usable for the purpose for which it is acquired. Ancillary
charges, such as taxes, duty, protective in-transit insurance,
freight, and installation shall be included in, or excluded from,
acquisition cost in accordance with the organization's regular
written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of units,
the total cost, and a plan for use on the project, as well as use or
disposal of the equipment after the project ends. An applicant
organization that uses its own definition of equipment should provide a
copy of its policy or section of its policy which includes the
equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which supports
the amount requested.
[[Page 42032]]
Contractual
Description: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and subrecipients, other than States that are
required to use part 92 procedures, must justify any anticipated
procurement action that is expected to be awarded without competition
and exceed the simplified acquisition threshold fixed at 41 U.S.C. part
403(11) (currently set at $100,000.) Recipients might be required to
make available to ACF pre-award review and procurement documents, such
as request for proposals or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other
Enter the total of all other costs. Such costs, where applicable
and appropriate, may include but are not limited to insurance, food,
medical and dental costs (noncontractual), professional services costs,
space and equipment rentals, printing and publication, computer use,
training costs such as tuition and stipends, staff development costs,
and administrative costs.
Justification: Provide computations, a narrative description and a
justification for each cost under this category.
Non-Federal Resources
Amounts of non-Federal resources that will be used to support the
project as identified in Block 15 of the SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process. A detailed budget must be prepared for
each funding source.
H. Evaluation Criteria
Proposal Elements and Review Criteria for Applications
Each application which passes the initial screening described in
Part IV, Section D of this Program Announcement will be assessed and
scored by three independent reviewers. Each reviewer will give a
numerical score for each application. 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 proposals will be based on the degree to
which applicants:
(1) Adhere to the requirements in PART II and (2) incorporate each
of the Elements and Sub-Elements below into their proposals, so as to
describe convincingly a project that will develop new food and
nutrition services/activities to benefit low-income households
including displaced workers, elderly people, children, and the working
poor.
In order to simplify the application preparation and review
process, OCS seeks to keep grant proposals cogent and brief.
Applications with project narratives (excluding Project Summaries,
Budget Justifications and Appendices) exceeding 30 letter-sized pages
of 12 c.p.i. type or equivalent on a single side will not be reviewed.
Applicants should prepare and assemble their project descriptions 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 consecutively and a table of contents
should be included for easy reference. Applicants are reminded that the
overall Project Narrative must not exceed 30 pages.
When writing their Project Narratives, applicants should respond to
the review criteria using the same sequential order.
Criteria for Review and Evaluation of Applications Submitted Under this
Program Announcement
Note: The review criteria both reiterate and explain in greater
detail the information requirements contained in Part II of this
Announcement.
Evaluation Criterion 1: Objectives and Need for Assistance
Element I. Description of Target Population and Analysis of Needs/
Priorities (0 to 10 Points)
Sub-Element I(a) Description of Target Population. (0 to 4 Points)
In addressing this criterion, the applicant should describe the
target area and population to be served, including specific details on
any minority population(s) to be served.
Sub-Element I(b) Analysis of Needs/Priorities (0 to 6 Points)
In addressing the above criterion, the applicant should discuss the
nature and extent of the problem(s) and/or need(s), including specific
information on minority population(s).
Evaluation Criterion 2: Approach I
Element II. Adequacy of Work Program (0 to 25 Points)
Sub-Element II(a). Realistic Quarterly Time Lines (0 to 10 Points)
Applicant should provide realistic quarterly projections of the
activities to be carried out including the projected number of
beneficiaries to be served each quarter.
Sub-Element II(b). Detailed Work Plan (0-15)
Applicant must insure that activities are adequately described and
appear reasonably likely to achieve results which will have a desired
impact on the identified problems and/or needs.
In addressing this criterion, the applicant should address the
basic criteria and other mandated activities found in Part II and
should include:
(1) Project priorities, and rationale for selecting them, which
relate to the specific nutritional problem(s) and/or need(s) of the
target population identified under Criterion I;
(2) Goals and objectives that speak to the(se) problem(s) and/or
need(s); and
(3) Project activities that, if successfully carried out, can
reasonably be expected to result in achieving these goals and
objectives.
Evaluation Criterion 3: Results or Benefits Expected
Element III. Significant and Beneficial Impact (0-25 Points)
Sub-Element III(a). Improvement in Nutrition Services to Low-Income
People (0 to 10 Points)
Applicants shall address how they propose to significantly improve
or increase nutrition services to low-income people and indicate how
such improvements or increases are quantified.
Sub-Element III(b). Promotional Health and Social Service
Activities
[[Page 42033]]
Included in Nutrition Services (0 to 10 Points)
Applicant incorporates into the project awareness of broader health
and social services activities for low-income people along with
nutritional services. The goal being to launch a nationwide campaign to
promote healthy communities.
Sub-Element III(c). Commitment of Resources (0 to 5 Points)
Applicant indicates that the project will significantly leverage or
mobilize other community resources. These resources are detailed and
quantified.
In addressing the above criterion, the applicant must include
quantitative data for items (a), (b), and (c), and discuss how the
beneficial impact relates to the relevant legislatively-mandated
program activities identified in Part II and the problems and/or needs
described under Criterion I.
Evaluation Criterion 4: Approach II
Element IV. Coordination/Services Integration (0 to 15 Points)
Sub-Element IV(a). Coordinated Community-Based Planning (0 to 10
Points)
Application demonstrates evidence of coordinated community-based
planning in its development, including strategies in the work program
to collaborate with other locally-funded Federal programs (such as DHHS
health and social services and USDA Food and Consumer Service programs)
in ways that will eliminate duplication and will, for example: (1)
Unite funding streams at the local level to increase program outreach
and effectiveness; (2) facilitate access to other needed social
services by coordinating and simplifying intake and eligibility
certification processes for clients; or (3) bring project participants
into direct interaction with holistic family development resources in
the community where needed.
Sub-Element IV(b). Native American and Migrant and Seasonal
Farmworker Empowerment Consideration (0 to 5 Points)
Special consideration will be given to applicants who can
demonstrate that they have experience working with Native American and
Migrant and Seasonal Farmworker organizations. Applicants should
document their involvement in preparing and planned implementation of
services to these unique communities to achieve both economic and human
development in an integrated manner.
Evaluation Criterion 5: Organizational Profiles
Element V. Organizational Experience and Administrative Capability (0
to 20 Points)
Sub-Element V(a). Organizational Experience in Program Area (0-5
Points)
The applicant should document the organization's capability and
relevant experience in developing and operating programs which deal
with poverty and health and nutrition problems similar to those to be
addressed by the proposed project. Documentation provided should
indicate that projects previously undertaken have been relevant and
effective and have provided permanent benefits to the low-income
population. Organizations proposing training and technical assistance
should have detailed competence in the program area and expertise in
training and technical assistance. If applicable, information provided
by these applicants also addresses related achievements and competence
of each cooperating or sponsoring organization.
Sub-Element V(b). Management History (0-10 Points)
Applicants must demonstrate their ability to implement sound and
effective management practices. If they have been recipients of other
Federal or other governmental grants, they must also document their
compliance with financial and program progress reporting and audit
requirements. Such documentation may be in the form of references to
any available audit or progress reports and should be accompanied by a
statement from a Certified or Licensed Public Accountant as to the
sufficiency of the applicant's financial management system to protect
adequately any Federal funds awarded under the application submitted.
Sub-Element V(c). Staff Skills, Resources and Responsibilities (0-5
Points)
The application should adequately describe the experience and
skills of the proposed Project Director, showing that the individual is
not only well qualified, but that his/her professional capabilities are
relevant to successfully implement the project. If the key staff person
has not yet been identified, the application contains a comprehensive
position description indicating that the responsibilities to be
assigned to the project director are relevant to successfully implement
the project. The application must indicate that the applicant has
adequate facilities and resources (i.e. space and equipment) to carry
out the work plan successfully.
In addressing the above criterion, the applicant must clearly show
that sufficient time of the Project Director and other senior staff
will be budgeted to assure timely project implementation and oversight
and that the assigned responsibilities of the staff are appropriate to
the tasks identified.
Evaluation Criterion 6: Budget and Budget Justification
Element VI. Appropriateness of Budget (0 to 5 Points)
Every application must include a Budget Justification, placed after
the budget forms SF 424 and 424A, explaining the sources and uses of
project funds. The budget is adequate and administrative costs are
appropriate to the services proposed.
Part IV. Application Procedures
A. Application Development/Availability of Forms
To be considered for a grant under this program announcement, an
application must conform to the Program Requirements set out in Part II
and be prepared in accordance with the guidelines set out in Part III.
It must be submitted on the forms supplied in the attachments to this
Announcement and in the manner prescribed below. Attachments A through
K contain all standard forms necessary to apply for awards under this
OCS program. These attachments and Parts V and VI of this Announcement
contain all the general instructions required for submitting
applications.
Additional copies may be obtained by writing or telephoning the
office listed under the section entitled FOR FURTHER INFORMATION
CONTACT at the beginning of this announcement. In addition, this
Announcement is accessible on the Internet through the OCS Web site for
reading or downloading at: http://www.acf.dhhs.gov/programs/ocs/
kits1.htm under ``Funding Opportunities.''
The applicant must be aware that in signing and submitting the
application for this award, it is certifying that it will comply with
the Federal requirements concerning the drug-free workplace, the
Certification Regarding environmental tobacco smoke, and debarment
regulations set forth in Attachments E, J, and F.
Part III contains instructions for the substance and development of
the project narrative. Part V contains instructions for completing
application forms. Part VI, Section A, describes the contents and
format of the application as a whole.
B. Application Submission
1. Number of Copies Required. One signed original application and
two
[[Page 42034]]
copies must be submitted at the time of initial submission. (OMB 0970-
0139). Two additional optional copies would be appreciated to
facilitate the processing of applications.
2. Closing Date. The closing date for submitting applications is
August 5, 2002. Applications received after 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, Community Food and Nutrition
Program Operations Center, 1815 North Fort Myer Drive, Suite 300,
Arlington, VA 22209; Attention: Application for Community Food and
Nutrition Program. Applicants are responsible for mailing applications
well in advance, when using all mail services, to ensure that the
application is 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. to
4:30 p.m. EST at the U.S. Department of Health and Human Services,
Administration for Children and Families, Community Food and Nutrition
Program Operations Center: 1815 North Fort Myer Drive, Suite 300,
Arlington, VA 22209 between Monday and Friday (excluding Federal
holidays). This address must appear on the envelope/package containing
the application with the note ``Attention: Application for Community
Food and Nutrition Program''. Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
3. 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.
4. 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 the mail service, or in
other rare cases. A determination to extend or waive deadline
requirements rest with the Chief Grants Management Officer.
C. Intergovernmental Review
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
Program and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
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 27 jurisdictions do not need to
take action regarding E.O. 12372. Applicants for projects to be
administered by Federally-recognized Indian Tribes are also exempt from
the requirements of E.O. 12372. Otherwise, applicants should contact
their SPOCs as soon as possible to alert them of the prospective
applications and receive any necessary 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. It is imperative that the applicant submit all required
materials, if any, to the SPOC and indicate the date of this submittal
(or indicate ``not applicable'' 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, Office of Grants Management, 370 L'Enfant
Promenade, SW., 4th floor West, Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Attachment G to this Announcement. You may also find
this list at the following web address: http://www/whitehouse.gov/omb/
grants/spoc.html
D. Initial OCS Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that the application was received by
the closing date and submitted in accordance with the instructions in
this Announcement.
All applications that meet the published deadline requirements as
provided in this Program Announcement 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.
The following requirements must be met by all applicants except as
noted:
(1) The application must contain a signed Standard Form 424
Application for Federal Assistance'' (SF-424), Attachment B, a budget
(SF-424A), Attachment C, and signed ``Assurances'' (SF 424B),
Attachment D, completed according to instructions published in Part V
and Attachments A, B, and C of this Program Announcement. The 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. Applicant must also be aware that 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).
(2) A project narrative must also accompany the standard forms. OCS
requires that the narrative portion of the application be no more than
30 letter-size pages, numbered consecutively , and typewritten on one
side of the paper only with one-inch margins and type face no smaller
than 12 characters per inch (c.p.i.) or equivalent. Applications with
project narratives (excluding Project Summaries and appendices) of more
than 30 letter-size pages of 12 c.p.i. type or equivalent on a single
side will not be reviewed for funding.
The budget narrative, charts, exhibits, resumes, position
descriptions, letters of support or commitment are not counted against
this page limit and should be in the Appendix. It is strongly
recommended that applicants adopt for their program project narratives
the sequence and content described in Part III, Section I.
(3) Application must contain documentation of the applicant's tax
[[Page 42035]]
exempt status as required under PART II, Section C.
Applicants are strongly encouraged to mobilize additional
resources, which may be cash or in-kind contributions, Federal or non-
Federal. [See Part E]
E. Consideration of Applications
Applications which pass the initial OCS screening will be reviewed
and rated by an independent review panel on the basis of requirements
set forth in Parts II and III. These review criteria were designed to
assess the quality of a proposed project and determine the likelihood
of its success. The review criteria are closely related and are
considered as a whole in judging the overall quality of an application.
Points are awarded only to applications which are responsive to the
program elements and review criteria within the context of this Program
Announcement.
Reviewers' scores will assist the Director and OCS program staff in
considering competing applications. Reviewers' 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 reviewers. However, highly ranked applications are
not guaranteed funding because other factors are taken into
consideration. These include, but are not limited to: The timely and
proper completion by applicant of projects funded with OCS funds
granted in the last five (5) years; comments of reviewers and
government officials; staff evaluation and input; amount and duration
of the grant requested and the proposed project's consistency and
harmony with OCS goals and policy; geographic distribution of
applications; previous program performance of applicants; compliance
with grant terms under previous HHS grants, including the actual
dedication to program of mobilized resources as set forth in project
applications; audit reports; investigative reports; and applicant's
progress in resolving any final audit disallowance on previous OCS or
other Federal agency grants.
Applicants may omit from the application the specific salary rates
or amounts for individuals identified in the application budget.
Rather, only summary information is required. OCS reserves the right to
discuss applications with other Federal or non-Federal funding sources
to verify the applicant's performance record and the documents
submitted.
Part V. Instructions for Completing Forms SF-424
All application forms are now available on the ACF website for
downloading at: http://www.acf.dhhs.gov/programs/ofs/forms.htm
The standard forms attached to this announcement shall be used to
apply for funds under this program announcement.
It is suggested that you reproduce single-sided copies of the SF-
424 and SF-424A, and type your application on the copies. Please
prepare your application in accordance with instructions provided on
the forms (Attachments B .C. and D) as modified by the instructions set
forth in PART III. above, and the OCS specific instructions set forth
below:
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 which describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs. (Note: The Budget detail and
Narrative Budget Justification should follow the SF 424 and 424A, and
are not counted as part of the Project Narrative.)
A. SF-424--Application for Federal Assistance (Attachment B)
Where the applicant is a previous DHHS grantee, enter the Central
Registry System Employee Identification Number (CRS/EIN) and the
Payment Identifying Number, if one has been assigned, in the Block
entitled Federal Identifier located at the top right hand corner of the
form (third line from the top).
Item 1. For the purposes of this announcement, all projects are
considered Applications; there are no Pre-Applications.
Item 7. If applicant is an Indian Tribe enter ``K'' in the box. If
applicant is a non-profit organization enter ``N'' in the box.
Item 9. Name of Federal Agency--Enter DHHS-ACF/OCS.
Item 10. The Catalog of Federal Domestic Assistance number for OCS
programs covered under this announcement is 93.571. The title is
``Community Food and Nutrition Program (CFNP)--Nationwide Initiative.''
Item 11. In addition to a brief descriptive title of the project,
indicate the priority area for which funds are being requested. Use the
following letter designations: Use Priority Area 2.0 for the Nationwide
Intiative.
Item 13. Proposed Project Dates--Show 36-month project period (See
Part II). In addition, the project start date must begin on or before
September 30, 2002; the ending date should be calculated on the basis
of a 36-month project period.
Item 14. Congressional District of Applicant/Project--Enter the
number(s) of the Congressional District where the applicant's principal
office is located and the number(s) of the Congressional District(s)
where the project will be located.
Item 15. Estimated Funding--Item 15a. Show the total amount
requested for the entire project period; Item 15b-e. For each line
item, show both cash and third party in-kind contributions for the
total project period; Item 15f. Show the estimated amount of program
income for the total project period; Item 15g. Enter the sum of all the
line items.
B. SF-424A--Budget Information--Non-Construction Programs (Attachment
C)
In completing these sections, the Federal Funds budget entries will
relate to the requested OCS Community Food and Nutrition Program--
Nationwide Initiative funds only, and Non-Federal will include funds
mobilized from all other sources--applicant, state, local, and other.
Federal funds other than those requested from the Community Food and
Nutrition Program--Nationwide Initiative should be included in Non-
Federal entries.
Sections A and D of SF-424A must contain entries for both Federal
(OCS) and non-Federal mobilized funds.
Section A--Budget Summary
Lines 1-4
Column (a) Line 1--Enter OCS CFNP
Column (b) Line 1--Enter 93.571
Columns (c) and (d)--Not Applicable
Columns (e), (f) and (g)--Line 1--Enter appropriate amounts needed
to support the project for the entire project period.
Line 5
Enter the figures from Line 1 for all columns completed, (e), (f),
and (g).
Section B--Budget Categories
This section should contain entries for OCS funds only. For all
projects, the first budget period of 12 months will be entered in
Column (1).
Allocability of costs is governed by applicable cost principles set
forth in
[[Page 42036]]
the Code of Federal Regulations (CFR), Title 45, Parts 74 and 92.
Budget estimates for administrative costs must be supported by
adequate detail for the grants officer to perform a cost analysis and
review. Adequately detailed calculations for each budget object class
are those which reflect estimation methods, quantities, unit costs
salaries, and other similar quantitative detail sufficient for the
calculation to be duplicated. For any additional object class
categories included under the object class other, identify the
additional object class(es) and provide supporting calculations.
Supporting narratives and justifications are required for each
budget category, with emphasis on unique/special initiatives; large
dollar amounts; local, regional, or other travel; new positions; major
equipment purchases; and training programs.
A detailed itemized budget with a separate budget justification for
each major item should be included as indicated below:
Line 6a
Personnel--Enter the total costs of salaries and wages.
Justification--Identify the project director and staff. Specify by
title or name the percentage of time allocated to the project, the
individual annual salaries and the cost to the project (both Federal
and non-Federal) of the organization's staff who will be working on the
project.
Line 6b
Fringe Benefits--Enter the total costs of fringe benefits unless
treated as part of an approved indirect cost rate which is entered on
Line 6j.
Justification--Enter the total costs of fringe benefits, unless
treated as part of an approved indirect cost rate. Provide a breakdown
of amounts and percentages that comprise fringe benefit costs.
Line 6c
Travel--Enter total cost of all travel by employees of the project.
Do not enter costs for consultant's travel.
Justification--Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, mileage rate, transportation costs
and subsistence allowances. Traveler must be a person listed under the
personnel line or employee being paid under non-Federal share.
Note: Local transportation and consultant travel costs are
entered on Line 6h.
Line 6d
Equipment--Enter the total costs of all equipment to be acquired by
the project. Equipment means an article of non-expendable, tangible
personal property having a useful life of more than one year and an
acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for financial
statement purposes, or (b) $5,000.
[Note: If an applicant's current rate agreement was based on
another definition for equipment, such as ``tangible personal
property $500 or more,'' the applicant shall use the definition used
by the cognizant agency in determining the rate(s). However,
consistent with the applicant's equipment policy, lower limits may
be set.]
Justification--Equipment to be purchased with Federal funds must be
required to conduct the project, and the applicant organization or its
sub-grantees must not already have the equipment or a reasonable
facsimile available to the project.
Line 6e
Supplies--Enter the total costs of all tangible personal property
other than that included on line 6d.
Justification--Provide a general description of what is being
purchased such as type of supplies (office, classroom, medical, etc.).
Include equipment costing less than $5,000 per item.
Line 6f
Contractual--Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and sub-recipients, other than States that are
required to use Part 92 procedures, must justify any anticipated
procurement action that is expected to be awarded without competition
and exceed the simplified acquisition threshold fixed at 41 USC 403(11)
currently set at $100,000. Recipients might be required to make
available to ACF pre-award review and procurement documents, such as
request for proposals or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Line 6g
Construction--Not applicable.
Line 6h
Other--Enter the total of all other costs. Such costs, where
applicable, may include, but are not limited to, insurance, food,
medical and dental costs (non-contractual); fees and travel paid
directly to individual consultants; local transportation (all travel
which does not require per diem is considered local travel); space and
equipment rentals; printing and publication; computer use training
costs including tuition and stipends; training service costs including
wage payments to individuals and supportive service payments; and staff
development costs.
Line 6j
Indirect Charges--Enter the total amount of indirect costs. This
line should be used only when the applicant currently has an indirect
cost rate approved by DHHS or other Federal agencies.
If the applicant organization is in the process of initially
developing or renegotiating a rate, it should, immediately upon
notification that an award will be made, develop a tentative indirect
cost rate proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the pertinent DHHS Guide
for Establishing Indirect Cost Rates and submit it to the appropriate
DHHS Regional Office. It should be noted that when an indirect cost
rate is requested, those costs included in the indirect cost pool
cannot also be budgeted or charged as direct costs to the grant.
Indirect costs consistent with approved indirect cost rate agreements
are allowable. Also, if the applicant is requesting a rate which is
less than what is allowed under the program, the authorized
representative of the applicant organization must submit a signed
acknowledgment that the applicant is accepting a lower rate than
allowed.
Line 6k
Totals--Enter the total amount of Lines 6i and 6j.
Line 7
Program Income--Enter the estimated amount of income, if any,
expected to be generated from this project. Separately show expected
program income generated from OCS support and income generated from
other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification--Describe the nature, source and anticipated use of
program income in the Program Narrative Statement.
[[Page 42037]]
Section C--Non-Federal Resources
This section is to record the amounts of non-Federal resources that
will be used to support the project. Non-Federal resources mean other
than OCS funds for which the applicant has received a commitment.
Provide a brief explanation, on a separate sheet, showing the type of
contribution, broken out by Object Class Category, (see SF-424A,
Section B.6) and whether it is cash or third party in-kind. The firm
commitment of these required funds must be documented and submitted
with the application in order to be given credit in the criterion.
This documentation must be in the form of letters of commitment or
letters of intent from the organization(s)/individuals from which funds
will be received.
Line 8
Column (a)--Enter the project title.
Column (b)--Enter the amount of cash or donations to be made by the
applicant.
Column (c)--Enter the State contribution.
Column (d)--Enter the amount of cash and third party in-kind
contributions to be made from all other sources.
Column (e)--Enter the total of columns (b), (c), and (d).
Lines 9, 10 and 11
Leave Blank
Line 12
Carry the total of each column of Line 8, (b) through (e). The
amount in Column (e) should be equal to the amount on Section A, Line
5, Column (f).
Justification--Describe third party in-kind contributions, if
included.
Section D--Forecasted Cash Needs
Line 13
Federal--Enter the amount of Federal (OCS) cash needed for this
grant, by quarter, during the 12-month budget period.
Line 14
Non-Federal--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15
Totals--Enter the total of Lines 13 and 14.
Section F--Other Budget Information
Line 21
Direct Charges--Include narrative justification required under
Section B for each object class category for the total project period.
Line 22
Indirect Charges--Enter the type of DHHS or other Federal agency
approved indirect cost rate (provisional, predetermined, final or
fixed) that will be in effect during the funding period, the estimated
amount of the base to which the rate is applied and the total indirect
expense. Also, enter the date the rate was approved, where applicable.
Attach a copy of the approved rate agreement.
Line 23
Provide any other explanations and continuation sheets required or
deemed necessary to justify or explain the budget information.
C. SF-424B--Assurances Non-Construction Programs (Attachment D)
All applicants must sign and return the ``Assurances'' with the
application.
Part VI. Contents of Application and Receipt Process
A. Contents of Application
Each CFNP application must include all of the following, in the
order listed below:
1. Table of Contents
2. An 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 type of project, the target population, and the major elements of
the work plan.
3. A 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. (Attachment B)
4. Budget Information-Non-Construction Programs (SF-424A)
(Attachment C);
5. A narrative budget justification for each object class category
required under Section B, SF-424A.
6. Certification and Assurances Required: Applicants requesting
financial assistance for a 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 (See Attachment D).
Applicants must provide a certification regarding lobbying when
applying for an award in excess of $100,000. Applicants must sign and
return the certification with their application (See Attachment H).
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 compete a disclosure
form to report lobbying. Applicants must sign and return the disclosure
form, if applicable, with their applications (See Attachment H).
Applicants must make the appropriate certification of their
compliance with the Drug-Free Workplace Act of 1988. By signing and
submitting the applications, applicants are providing the certification
and need not mail back the certification with the applications (See
Attachment E).
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification with the
applications. (See Attachment F)
Applicants must make the appropriate certification of their
compliance with all Federal statues relating to nondiscrimination. By
signing and submitting the applications, applicants are providing the
certification and need not mail back a certification form.
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. (See
Attachment J)
7. A Project Narrative of no more than 30 pages consisting of the
Elements described in Part III of this announcement set forth in the
order therein presented and preceded by a consecutively numbered table
of contents.
The total number of pages for the narrative portion of the
application package must not exceed 30 pages (See Part IV.D.2 for pages
that do not count against the 30-page limit).
8. Appendices--proof of nonprofit tax-exempt status as outlined in
Part II, Section C; Single Point of Contact comments, if applicable,
and resumes and position descriptions. Pages should be numbered
sequentially throughout, including appendices, beginning with the
Abstract as page 1.
B. Application Format
Applications must be uniform in composition since OCS may find it
necessary to duplicate them for review purposes. Therefore,
applications must be submitted on white 8\1/2\ x 11 inch paper only.
Applicants must not include colored, oversized or folded materials.
Applicants should not include organizational brochures or other
promotional materials, slides, films, clips, etc. Such material will be
discarded if included. Applications must be bound or enclosed in loose-
leaf binder notebooks. Preferably, applications should be two-holed
[[Page 42038]]
punched at the top center and fastened separately with a compressor
slide paper fastener, or a binder clip.
C. Acknowledgment of Receipt
All applicants will receive an acknowledgment with an assigned
identification number. Applicants are requested to supply a self-
addressed mailing label with their Application, or a FAX number or e-
mail address which can be used for acknowledgment. The assigned
identification number, along with any other identifying codes, must be
referenced in all subsequent communications concerning the Application.
If an acknowledgment is not received within three weeks after the
deadline date, please notify the OCS Operations Center at 1-800-281-
9519.
Part VII. Post Award Information and Reporting Requirements
A. Notification of Grant Award
Following approval of the applications selected for funding, notice
of project approval and authority to draw down project funds will be
made in writing. The official award document is the Financial
Assistance Award which specifies the amount of Federal funds approved
for use in the project, the project and budget period for which support
is provided, the terms and conditions of the award.
B. Reporting Requirements
Grantees will be required to submit semi-annual program progress
and financial reports (SF 269) as well as a final progress and
financial report.
C. Audit Requirements
Grantees are subject to the audit requirements in 45 CFR part 74
(non-profit organizations) or part 92 (governmental entities) which
require audits under OMB Circular A-133.
D. Prohibitions and Requirements With Regard to Lobbying
Section 319 of Public Law 101-121, signed into law on October 23,
1989, imposes prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans. It provides limited
exemptions for Indian tribes and tribal organizations. Current and
prospective recipients (and their subtier contractors and/or grantees)
are prohibited from using appropriated funds for lobbying Congress or
any Federal agency in connection with the award of a contract, grant,
cooperative agreement or loan. In addition, for each award action in
excess of $100,000 (or $150,000 for loans) the law requires recipients
and their subtier contractors and/or sub-grantees (1) to certify that
they have neither used nor will use any appropriated funds for payment
to lobbyists, (2) to submit a declaration setting forth whether
payments to lobbyists have been or will be made out of non-appropriated
funds and, if so, the name, address, payment details, and purpose of
any agreements with such lobbyists whom recipients or their subtier
contractors or sub-grantees will pay with the non-appropriated funds
and (3) to file quarterly up-dates about the use of lobbyists if an
event occurs that materially affects the accuracy of the information
submitted by way of declaration and certification.
The law establishes civil penalties for noncompliance and is
effective with respect to contracts, grants, cooperative agreements and
loans entered into or made on or after December 23, 1989. See
Attachment H, for certification and disclosure forms to be submitted
with the applications for this program.
E. Applicable Federal Regulations
Attachment K indicates the regulations which apply to all
applicants/grantees under the Community Food and Nutrition Program.
Dated: June 9, 2002.
Clarence H. Carter,
Director, Office of Community Services.
List of Attachments
A. 2002 Poverty Income Guidelines
For updates see: http://aspe.os.dhhs.gov/poverty/02poverty.htm
B. Standard Form 424, Application for Federal Assistance
C. Standard Form 424A, Budget Information--Non-Construction Programs
D. Standard Form 424B, Assurances--Non-Construction Programs
E. Certification Regarding Drug-Free Workplace Requirements
F. Certification Regarding Debarment, Suspension and Other
Responsibility Matters
G. Intergovernmental Review State Single Point Of Contact (SPOC)
List
H. Certification Regarding Lobbying and Disclosure of Lobbying
Activities, Standard Form LLL
I. Applicant's Checklist
J. Certification Regarding Environmental Tobacco Smoke
K. DHHS Regulations Applying to All Applicants/Grantees Under the
Community Food and Nutrition Program (CFNP)
BILLING CODE 4184-01-P]
Attachment A
------------------------------------------------------------------------
Poverty
Size of family unit guideline
------------------------------------------------------------------------
2002 Poverty Guidelines for the 48 Contiguous States and the District of
Columbia \1\
------------------------------------------------------------------------
1.......................................................... $8,860
2.......................................................... 11,940
3.......................................................... 15,020
4.......................................................... 18,100
5.......................................................... 21,180
6.......................................................... 24,260
7.......................................................... 27,340
8.......................................................... 30,420
------------------------------------------------------------------------
2001 Poverty Guidelines for Alaska \2\
------------------------------------------------------------------------
1.......................................................... $11,080
2.......................................................... 14,930
3.......................................................... 18,780
4.......................................................... 22,630
5.......................................................... 26,480
6.......................................................... 30,330
7.......................................................... 34,180
8.......................................................... 38,030
------------------------------------------------------------------------
2001 Poverty Guidelines for Hawaii \3\
------------------------------------------------------------------------
1.......................................................... $10,200
2.......................................................... 13,740
3.......................................................... 17,280
4.......................................................... 20,820
5.......................................................... 24,360
6.......................................................... 27,900
7.......................................................... 31,440
8.......................................................... 34,180
------------------------------------------------------------------------
\1\ For family units with more than 8 members, add $3,080 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
\2\ For family units with more than 8 members, add $3,850 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
\3\ For family units with more than 8 members, add $3,540 for each
additional member. (The same increment applies to smaller family sizes
also, as can be seen in the figures above).
BILLING CODE 4180-01-M
[[Page 42039]]
[GRAPHIC] [TIFF OMITTED] TN20JN02.004
BILLING CODE 4180-01-C
Attachment B, page 2
Instructions for the SF-424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do no return your completed form to the Office of
Management and Budget.
[[Page 42040]]
Send it to the address provided by the sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-M
[[Page 42041]]
[GRAPHIC] [TIFF OMITTED] TN20JN02.005
[[Page 42042]]
[GRAPHIC] [TIFF OMITTED] TN20JN02.006
BILLING CODE 4184-01-C
[[Page 42043]]
Attachment C, Page 3
Instruction for the SF-424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0044),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4 Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the Catalog program title and the Catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the Catalog program title on each line
in Column (a) and the respective Catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Column (c) and (d) blank. For each
line entry in columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement, the nature and source of income. The estimated
amount of program income may be considered by the Federal grantor
agency in determining the total amount of the grant.
Attachment C, Page 4
Instructions for the SF-424A (continued)
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e), When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (Provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
[[Page 42044]]
Attachment D, Page 1
OMB Approval No. 0348-0042
Assurances--Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0042),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget. Send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
Awarding Agency. Further, certain Federal assistance awarding
agencies may require applicants to certify to additional assurances.
If such is the case, you will be notified.
As the duly authorized representative of the applicant, I
certify that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the assistance; and will
establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will not dispose of, modify the use of, or change the terms
of the real property title, or other interest in the site and
facilities without permission and instructions from the awarding
agency. Will record the Federal interest in the title of real
property in accordance with awarding agency directives and will
include a covenant in the title of real property acquired in whole
or in part with Federal assistance funds to assure non-
discrimination during the useful life of the project.
4. Will comply with the requirements of the assistance awarding
agency with regard to the drafting, review and approval of
construction plans and specifications.
5. Will provide and maintain competent and adequate engineering
supervision at the construction site to ensure that the complete
work conforms with the approved plans and specifications and will
furnish progress reports and such other information as may be
required by the assistance awarding agency or State.
6. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
7. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
8. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
9. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead-
based paint in construction or rehabilitation of residence
structures.
10. Will comply with all Federal statutes relating to non-
discrimination. These include but are not limited to: (a) Title VI
of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681 1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. Secs. 290 dd-3 and 290
ee 3), as amended relating to confidentiality of alcohol and drug
abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U.S.C. Secs. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i)
any other nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being made; and,
(j) the requirements of any other nondiscrimination statute(s) which
may apply to the application.
11. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal and federally-
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
12. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
13. WIll comply, as applicable, with the provisions of the
Davis-Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act
(40 U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333) regarding
labor standards for federally-assisted construction subagreememts.
14. Will comply with flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L.
93-234) which requires recipients in a special flood hazard area to
participate in the program and to purchase flood insurance if the
total cost of insurable construction and acquisition is $10,000 or
more.
15. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) Institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended
(P.L. 93-523); and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
16. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
17. Will assist the awarding agency in assuring compliance will
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. Sec. 470), EO 11593 (identiication and protection
of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. Secs. 469a-1 et seq.).
18. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act Amendments
of 1966 and OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit organizations.''
19. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
this program.
-----------------------------------------------------------------------
Signature of Authorized Certifying Official
Title------------------------------------------------------------------
Applicant Organization-------------------------------------------------
Date Submitted---------------------------------------------------------
Attachment E, Page 1
Certification Regarding Drug-Free Workplace Requirements
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Section 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that a
Federal
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agency may designate a central receipt point for STATE-WIDE AND
STATE AGENCY-WIDE certifications, and for notification of criminal
drug convictions. For the Department of Health and Human Services,
the central pint is: Division of Grants Management and Oversight,
Office of Management and Acquisition, Department of Health and Human
Services, Room 517-D, 200 Independence Avenue, SW Washington, DC
20201.
Certification Regarding Drug-Free Workplace Requirements
(Instructions for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplace in question
(see paragraph five).
Attachment E, Page 2
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
Check if there are workplaces on file that are not identified
here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
Certification Regarding Debarment, Suspension and Other Responsibility
Matters
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which
[[Page 42046]]
reliance was placed when the department or agency determined to
enter into this transaction. If it is later determined that the
prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the
Federal Government, the department or agency may terminate this
transaction for cause of default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this cause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Attachment F, Page 3
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is proving the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition go other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediately written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason for changed circumstances.
4. The terms covered transaction, debarred suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this change, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the Department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitted this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A. participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
Attachment F, Page 4
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause.
The knowledge and information of a participant is not required
to exceed that which is normally possessed by a prudent person in
the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transactions, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue
[[Page 42047]]
available remedies, including suspension and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility an
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
prepared debarred, suspended, proposal for debarment, declared
ineligible, or voluntarily excluded from participation in its
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Attachment G
Intergovernmental Review (SPOC List)
It is estimated that in 2001 the Federal Government will outlay
$305.6 billion in grants to State and local governments. Executive
Order 12372, ``Intergovernmental Review of Federal Programs,'' was
issued with the desire to foster the intergovernmental partnership
and strengthen federalism by relying on State and local processes
for the coordination and review of proposed Federal financial
assistance and direct Federal developmemt. The Order allows each
State to designate an entity to perform this function. Below is the
official list of those entities. For those State that have a home
page for their designated entity, a direct link has been provided
below.
State that are not listed on this page have chosen not to
participate in the intergovernmental review process, and therefore
do not have a SPOC. If you are located within one of these States,
you may still send |
