The Community Services Block Grant (CSBG) Act of 1981, as amended, (Section 680 of the Community Opportunities, Accountability, and Training and Educational Services Act of 1998), authorizes the Secretary to award grants and provide technical and financial assistance for economic
The Office of Community Services (OCS) will accept competing applications for grants in the form of cooperative agreements for Community Development Corporation/National Philanthropic Institution Projects (CDC/NPI) that support neighborhood transformation and create jobs and business ownership opportunities for low-income residents of urban areas. Faith-based organizations that meet the eligibility requirements specified in this announcement may apply for these grants.
Applicants must be non-profit community development corporations (CDCs) including faith-based CDCs that:
(a) Propose a project that will focus on neighborhoods located in a city with at least 250,000 residents where a comprehensive neighborhood transformation initiative is planned or underway;
(b) Demonstrate firm and substantial support (financial or other support) for the proposed project from one or more locally based philanthropic institution(s); and
(c) Demonstrate firm and substantial support (financial or other support) for the proposed project from a consortium of national philanthropic institutions, financial institutions, and government agencies that is strengthening community development and community revitalization in urban neighborhoods throughout the nation.
The following definitions apply:
OCS seeks to stimulate positive collaborative relationships between a small number of local private non-profit CDCs, locally based philanthropic institutions, and a national consortium of philanthropic institutions, financial services organizations and government agencies, to support neighborhood transformation in urban localities and to create long-term employment or business ownership opportunities for low-income people through business or commercial development.
OCS seeks to support a total of four (4) CDC/NPI projects. Each project will be in a city with 250,000 or more residents. OCS will fund projects in two phases: (1) Phase One—the initial portion of the project when the grantee CDC and its partners analyze needs and opportunities, develop collaborative relationships, and finalize plans for job creation or business ownership strategies in the context of a neighborhood transformation effort. During this phase, the CDC and its partners also develop a thorough business plan for the job creation or business ownership strategy to be implemented in Phase Two. OCS will release no more than $200,000 for this phase. (2) Phase Two—the portion of the project when the grantee CDC and its partners execute the project plan to establish the business or commercial development or other activities that create jobs or business ownership opportunities for low-income persons in the target neighborhoods. OCS will release the balance of the grant award for Phase Two activities when the grantee CDC meets relevant program requirements such as, for example, presenting a final business plan concerning the job creation or business ownership strategy.
This announcement uses a cooperative agreement as the vehicle for funding Community Development Corporation/National Philanthropic Institution Projects. A cooperative agreement is an assistance instrument for which substantial involvement is anticipated between the awarding office and the recipient during performance of the funded activity. Substantial involvement may include collaboration or participation by designating awarding office staff in activities specified in the award and, as appropriate, decision-making at specified milestones related to performance. Potential types of substantial involvement under a cooperative agreement include, but are not limited to, collaborating in the design of a research protocol or a training or service delivery model; approving research protocols or analytical approaches or approving the initiation of a subsequent phase in a phased activity; training project staff in participating organizations; assisting in the evaluation of potential contractors; participating in the presentation of research results, including co-authorship of papers; or providing other assistance in program management or technical performance.
OCS and the grantee CDCs will each be responsible for particular duties and responsibilities throughout the project.
Business Plans are vital for the long-term success of OCS-funded business development projects. As described by the Small Business Administration, a business plan precisely defines a business, identifies its goals, and serves as the business' resume. The plan helps the supporting CDC, the business and other partners allocate resources property, handle unforeseen complications, and make good business decisions. Please see Section VI. Award Administration Information for details about the Business Plan that will be required before the beginning of Phase Two.
Nonprofits having a 501(c)(3) status with the IRS, other than institutions of higher education and Nonprofits that do not have a 501(c)(3) status with the IRS, other than institutions of higher education.
Faith-based organizations are eligible to apply for these grants.
Applicants must demonstrate proof of non-profit status and this proof must be included in their applications (
(a) A reference to the applicant organization's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in the IRS code.
(b) A copy of a currently valid IRS tax exemption certificate.
(c) A statement from a State taxing body, State Attorney General, or other appropriate State official certifying that the applicant organization has a non-profit status and that none of the net earnings accrue to any private shareholders or individuals.
(d) A certified copy of the organization's certificate of incorporation or similar document that clearly establishes non-profit status.
(e) Any of the items in the subparagraphs immediately above for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local non-profit affiliate.
In addition to demonstrating proof of non-profit status, applicants must also demonstrate proof of CDC status. This proof must be included in their applications. Proof of CDC status is any one of the following:
• A list of governing board members along with their designation as a community resident or business or civic leader; and
• Documentation that the applicant organization has as a primary purpose planning, developing or managing low-income housing or community development activities. This documentation may include incorporation documents or other official documents that identify the organization.
Applicants are cautioned that the ceiling for individual awards is $500,000. An application that exceeds the upper value of the dollar range specified will be considered “non-responsive” and will be returned to the applicant without further review.
Applicants must demonstrate firm and substantial support (financial or other support) from one or more locally based philanthropic institution(s) and additional support from a consortium of national philanthropic institutions, financial institutions and government agencies that is strengthening community development and community revitalization in urban neighborhoods throughout the nation. OCS anticipates that funded projects will require significant financial support from other sources.
None.
On June 27, 2003 the Office of Management and Budget published in the
Please ensure that your organization has a DUNS number. You may acquire a DUNS number at no cost by calling the dedicated toll-free DUNS number request line on 1–866–705–5711 or you may request a number on-line at
Applications are cautioned that the ceiling for individual awards is $500,000. Applications exceeding the $500,000 threshold will be considered non-responsive and returned without review.
Office of Community Services, Operations Center, 1815 North Fort Myer Drive, Suite 300, Arlington, Virginia 22209, E-mail:
URL to Obtain an Application Package:
This subsection provides detailed instructions for developing the application. Please see Section V “Application Review Information” for additional relevant information.
You may submit your application to us in either electronic or paper format. To submit an application electronically, please use the
Please note the following if you plan to submit your application electronically via Grants.gov:
• Electronic submission is voluntary.
• When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation. We strongly recommend that you do not wait until the application deadline date to begin the application process through Grants.gov.
• To use Grants.gov, you, as the applicant, must have a DUNS Number to register in the Central Contractor Registry (CCR). You should allow a minimum of five days to complete the CCR registration.
• You will not receive additional point value because you submit a grant application in electronic format, nor
• You may submit all documents electronically, including all information typically included on the SF 424 and all necessary assurance and certifications.
• Your application must comply with any page limitation requirements described in this program announcement.
• After you electronically submit your application, you will receive an automatic acknowledgement from Grants.gov that contains a Grants.gov tracking number. The Administration for Children and Families will retrieve your application from Grants.gov.
• We may request that you provide original signatures on forms at a later date.
• You may access the electronic application for this program on
Each application must include the following components:
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• A reference to the applicant organization's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in the IRS code.
• A copy of a currently valid IRS tax exemption certificate.
• A statement from a State taxing body, State Attorney General, or other appropriate State official certifying that the applicant organization has a non-profit status and that none of the net earnings accrue to any private shareholders or individuals.
• A certified copy of the organization's certificate of incorporation or similar document that clearly establishes non-profit status.
• Any of the items in the subparagraphs immediately above for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local non-profit affiliate.
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• A list of governing board members along with their designation as a community resident or business or civic leader; and
• Documentation that the applicant organization has as a primary purpose planning, developing or managing low-income housing or community development activities. This documentation may include incorporation documents or other official documents that identify the organization.
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Applicants should submit one signed original application and two additional copies of the same application document.
Submit application materials on white 8
Please do not include organizational brochures or other promotional materials, slides, films, clips, etc.
The font size may be no smaller than 12 pitch and the margins must be at least one inch on all sides.
Number all application pages sequentially throughout the package, beginning with the abstract of the proposed project as page number one.
Please present application materials either in loose-leaf notebooks or in folders with pages two-hole punched at the top center and fastened separately with a slide paper fastener.
The application package including sections for the Table of Contents, Project Abstract, and Project Narrative may not exceed 65 pages. The page limitation does not include the following attachments and appendices: Standard Forms for Assurances, Certifications, Disclosures, appendices, and any other supplemental documents as required in this announcement.
Applicants requesting financial assistance for a non-construction project must sign and return Standard Form 424B, Assurances: Non-Construction Programs with their applications.
Applicants must provide a Certification Regarding Lobbying. Prior to receiving an award in excess of $100,000, applicants shall furnish an executed copy of the lobbying certification. Applicants must sign and return the certification with their applications.
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. By signing and submitting the applications, applicants are providing the certification and need not mail back a certification form.
Private, non-profit organizations are encouraged to submit with their applications the survey located under “Grant Related Documents and Forms” titled “Survey for Private, Non-Profit Grant Applicants.” The forms are located on the Web at
The closing time and date for receipt of applications is 4:30 p.m. (Eastern Standard Time) on June 25, 2004. Mailed or hand carried applications received after 4:30 p.m. on the closing date will be classified as late.
Applications hand carried by applicants, applicant couriers, other representatives of the applicant, or by overnight/express mail couriers shall be considered as meeting an announced deadline if they are received on or before the deadline date, between the hours of 8 a.m. and 4:30 p.m., EST, at the U.S. Department of Health and
This program is covered under Executive Order 12372, “Intergovernmental Review of Federal Programs,” and 45 CFR Part 100, “Intergovernmental Review of Department of Health and Human Services Programs and Activities.” Under the Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. As of June 20, 2001, the following jurisdictions have elected not to participate in the Executive Order process. Applicants from these jurisdictions or for projects administered by federally-recognized Indian Tribes need take no action in regard to E.O. 12372:
All States and Territories except Alabama, Alaska, Arizona, Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington and Wyoming have elected to participate in the Executive Order process and have established Single Point of Contacts (SPOCs). Applicants from these twenty-five jurisdictions need take no action regarding Executive Order 12372.
Although the jurisdictions listed above no longer participate in the process, entities which have met the eligibility requirements of the program are still eligible to apply for a grant even if a State, Territory, Commonwealth, etc. does not have a SPOC. All remaining jurisdictions participate in the Executive Order process and have established SPOCs. Applicants from participating jurisdictions should contact their SPOCs as soon as possible to alert them about the prospective applications and receive instructions. Applicants must submit any required material to the SPOCs as soon as possible so that the program office can obtain and review SPOC comments as part of the award process. The applicant must submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations. Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations which may trigger the “accommodate or explain” rule.
Comments should be submitted directly to Department of Health and Human Services, Administration for Children and Families, Office of Grants Management, Division of Discretionary Grants, 370 L'Enfant Promenade, SW., Washington, DC 20447. A list of the Single Points of Contact for each State and Territory is included with the application materials for this announcement.
OCS will not fund projects with a cost-per-job that exceeds $10,000 in OCS Community Economic Development (CED) grant funds. An exception will be made if the project includes purchase or major renovation of real estate. In this instance, the applicant must explain the factors that raise the cost beyond $10,000. In no instance will OCS allow for more than $15,000 cost per job in CED funds. Cost per job is calculated by dividing the number of jobs to be created by the total grant amount.
If an applicant is proposing a project that will affect a property listed in, or eligible for, inclusion in the National Register of Historic Places, it must identify this property in the application narrative (the Phase One or Phase Two Work Plans) and explain how it has complied with the National Historic Preservation Act of 1996, as amended. If there is any question as to whether property is listed in or eligible for inclusion in the National Register of Historic Places, the applicant must consult with the State Historic Preservation Officer and describe in the narrative the results of this consultation.
OCS will not consider applications that propose projects where the applicant would serve primarily as a conduit of funds to other organizations. Grantee CDCs must have a substantive role in implementing the proposed project. Grantees may award sub-grants or enter into sub-contracts with other organizations for specific services or activities.
Each application may include only one proposed project.
OCS will not consider applications that propose to establish either a Small
OCS will not consider applications for projects that focus primarily on education and job training or that involve training and placement for existing vacant jobs. Grantees may use OCS funds to support specific job-related training for individuals who have been selected for employment in the grant support project.
OCS will not consider applications for projects that would result in the relocation of a business from one geographic area to another resulting in job displacement.
Pre-award costs will not be covered by an award.
The following are instructions and guidelines on how to prepare the “project summary/abstract” and “Full Project Description” sections of the application. The generic UPD requirement is followed by the evaluation criterion specific to the Community Economic Development National Philanthropic Institution Projects program. Public Reporting for this collection of information is estimated to average 25 hours per response, including the time for reviewing instructions, gathering and maintaining the data needed, and reviewing the collection information.
The project description is approved under OMB Control Number 0970–0139 which expires 3/31/2004.
An agency may nor conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
The project description provides a major means by which an application is evaluated and ranked to compete with other applications for available assistance. The project description should be concise and complete and should address the activity for which Federal funds are being requested. Supporting documents should be included where they can present information clearly and succinctly. In preparing your project description, all information requested through each specific evaluation criteria should be provided. Awarding offices use this and other information in making their funding recommendations. It is important, therefore, that this information be included in the application.
Applicants required to submit a full project description shall prepare the project description statement in accordance with the following instructions and the specified evaluation criteria. The instructions give a broad overview of what your project description should include while the evaluation criteria expands and clarifies more program-specific information that is needed.
Provide a summary of the project description (a page or less) with reference to the funding request.
Clearly identify the physical, economic, social, financial, institutional, and/or other problem(s) requiring a solution. The need for assistance must be demonstrated and the principal and subordinate objectives of the project must be clearly stated; supporting documentation, such as letters of support and testimonials from concerned interests other than the applicant, may be included. Any relevant data based on planning studies should be included or referred to in the endnotes/footnotes. Incorporate demographic data and participant/beneficiary information, as needed. In developing the project description, the applicant may volunteer or be requested to provide information on the total range of projects currently being conducted and supported (or to be initiated), some of which may be outside the scope of the program announcement.
Identify the results and benefits to be derived. Explain how the project will reach the targeted population and how it will benefit participants or the community.
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, for example, such terms as the “number of people served.” When accomplishments cannot be quantified by activity or function, list them in chronological order to show the schedule of accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated, clearance may be required from the U.S. Office of Management and Budget (OMB). This clearance pertains to any “collection of information that is conducted or sponsored by ACF.”
List organizations, cooperating entities, consultants, or other key individuals who will work on the
Provide a narrative addressing how the results of the project and the conduct of the project will be evaluated. In addressing the evaluation of results, state how you will determine the extent to which the project has achieved its stated objectives and the extent to which the accomplishment of objectives can be attributed to the project. Discuss the criteria to be used to evaluate results, and explain the methodology that will be used to determine if the needs identified and discussed are being met and if the project results and benefits are being achieved. With respect to the conduct of the project, define the procedures to be employed to determine whether the project is being conducted in a manner consistent with the work plan presented and discuss the impact of the project's various activities on the project's effectiveness.
Provide information on the applicant organization(s) and cooperating partners such as organizational charts, financial statements, audit reports, documentation of professional accreditation, information on compliance with Federal/State/local government standards, documentation of experience in the program area, and other pertinent information. A non-profit agency can accomplish this by providing a copy of the applicant's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in Section 501(c)(3) of the IRS code, or by providing a copy of the currently valid IRS tax exemption certificate, or by providing a copy of the articles of incorporation bearing the seal of the State in which the corporation or association is domiciled.
Provide line item detail and detailed calculations for each budget object class identified on the Budget Information form. Detailed calculations must include estimation methods, quantities, unit costs, and other similar quantitative detail sufficient for the calculation to be duplicated. The detailed budget must also include a breakout by the funding sources identified in Block 15 of the SF–424.
Provide a narrative budget justification that describes how the categorical costs are derived. Discuss the necessity, reasonableness, and allocability of the proposed costs.
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Applications that pass the initial program eligibility screening will be reviewed and rated by a panel based on the program elements and review criteria presented in relevant sections of this program announcement.
The review criteria are designed to enable the review panel to assess the quality of a proposed project and determine the likelihood of its success. The criteria are closely related to each other and are considered as a whole in judging the overall quality of an application. The review panel awards points only to applications that are responsive to the program elements and relevant review criteria within the context of this program announcement.
The OCS Director and program staff use the reviewer scores when considering competing applications. Reviewer scores will weigh heavily in funding decisions, but will not be the only factors considered.
Applications generally will be considered in order of the average scores assigned by the review panel. Because other important factors are taken into consideration, highly ranked applications are not guaranteed funding. These other considerations include, for example: the timely and proper completion by the applicant of projects funded with OCS funds granted in the last five (5) years; comments of reviewers and government officials; staff evaluation and input; amount and duration of the grant requested and the proposed project's consistency and harmony with OCS goals and policy; geographic distribution of applications; previous program performance of applicants; 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.
Following approval of the applications selected for funding, notice of project approval and authority to draw down projects will be made in writing. The official award document is the Financial Assistance Award, which provides the amount of Federal funds approved for use in the project, the project and budget periods for which support is provided, the terms and conditions of the award, and the total project period for which support is contemplated. The Financial Assistance Award will be signed by the Grants Officer.
Grantees are subject to the requirements in 45 CFR part 74 (non-governmental) or 45 CFR part 92 (governmental).
Upon successful completion of Phase I, the final and thorough Phase II Business Plan is due. Applicants NEED NOT submit this information with their applications. However, applicants should note that this information will be required prior to receiving funds for Phase II activities. The Phase II Business Plan must follow the following format and include the following information:
(1) Executive Summary.
(2) Description of the business: The business as a legal entity and its general business category. Business activities must be described by Standard Industrial Codes (SIC) using the North American Industry Classification System (NAICS) and jobs by occupational classification. This information is published by the U.S. Department of Commerce in the Statistical Abstract of the United States, 1998, Tables No. 679 and 680. These tables include information necessary to meet this requirement.
(3) Description of the industry, current status and prospects.
(4) Products and services, including detailed descriptions of:
(a) Products or services to be sold;
(b) Proprietary position of any of the product,
(c) Features of the product or service that may give it an advantage over the competition;
(5) Market Research: This section describes the research conducted to assure that the business has a substantial market to develop and achieve sales in the face of competition. This includes researching:
(a) Customer base: Describe the actual and potential purchasers for the product or service by market segment.
(b) Market size and trends: Describe the site of the current total market for the product or service offered;
(c) Competition: Provide an assessment of the strengths and weaknesses of the competition in the current market;
(d) Estimated market share and sales: Describe the characteristics of the product or service that will make it competitive in the current market;
(6) Marketing Plan: The marketing plan details the product, pricing, distribution, and promotion strategies that will be used to achieve the estimated market share and sales projections. The marketing plan must describe what is to be done, how it will be done and who will do it. The plan addresses overall marketing, strategy, packaging, service and warranty, pricing, distribution and promotion.
(7) Design and Development Plans: If the product, process or service of the proposed venture requires any design and development before it is ready to be placed on the market, describe the nature, extent and cost of this work. The section covers items such as development status and tasks, difficulties and risks, product improvement and new products and costs.
(8) Operations Plan: An operations plan describes the kind of facilities, site location, space, capital equipment and labor force (part and/or full time and wage structure) that are required to provide the company's product or service.
(9) Management Team: This section describes the technical, managerial and business skills and experience to be brought to the project. It is a description of key management personnel and their primary duties; compensation and/or ownership; the organizational structure and placement of this proposed project within the organization; the board of directors; management assistance and training needs; and supporting professional services.
(10) Overall Schedule: This section is the implementation plan which shows the timing and interrelationships of the major events or benchmarks necessary to launch the venture and realize its objectives. This includes a month-by-month schedule of activities such as product development, market planning, sales programs, production and operations. If the proposed project is for construction, this section lays out timeframes for conduct of predevelopment, architectural, engineering and environmental and other studies, and acquisition of permits for building, use and occupancy that are required for the project.
(11) Job Creation: This section describes the job creation activities and projections expected as a result of this project. This includes a description of the strategy that will be used to identify and hire individuals who are low-income, including those on TANF. This section includes the following:
(a) The number of permanent jobs that will be created during the project period, with particular emphasis on jobs for low-income individuals.
(b) For low-income individuals, the number of jobs that will be filled by low income individuals (this must be at least 60 percent of all jobs created); the number of jobs that have career development opportunities and a description of those jobs; the number of jobs that will be filled by individuals receiving TANF; the annual salary expected for each person employed.
(c) For low income individuals who become self-employed, the number of self-employed and other ownership opportunities created; specific steps to be taken including on-going management support and technical assistance provided by the grantee or a third party to develop and sustain self-employment after the businesses are in place; and expected net profit after deductions of business expenses.
OCS will not recognize job equivalents nor job counts based on economic multiplier functions; jobs must be specifically identified.
(12) Financial Plan: The financial plan demonstrates the economic supports underpinning the project. It shows the project's potential and the timetable for financial self-sufficiency. The following exhibits must be submitted for the first three years of the business's operation:
(a) Profit and Loss Forecasts—quarterly for each year;
(b) Cash Flow Projections—quarterly for each year;
(c) Pro forma balance sheets—quarterly for each year;
(d) Sources and Use of Funds Statement for all funds available to the project;
(e) Brief summary discussing any further capital requirements and methods or projected methods for obtaining needed resources.
(13) Critical Risks and Assumptions: This section covers the risks faced by the project and assumptions surrounding them. This includes a description of the risks and critical assumptions relating to the industry, the venture, its personnel, the product or service market appeal, and the timing and financing of the venture.
(14) Community Benefits: This section describes other economic and non-economic benefits to the community such as development of a community's physical assets; provision of needed, but currently unsupplied, services or products to the community; or improvement in the living environment.
All grantees are required to submit semi-annual program and financial reports (SF–269) with a final report due 90 days after the project end date. A suggested format for the program report will be sent to all grantees after the awards are made.
Debbie Brown, Office of Community Services, 370 L'Enfant Promenade, SW., Suite 500 West, Aerospace Building, Washington, DC 20447–0002, E-mail:
Barbara Ziegler Johnson, Office of Grants Management, Division of Discretionary Grants, 370 L'Enfant Promenade, SW., Aerospace Building, Washington, DC 20447–0002, E-mail:
Office of Community Services, Operations Center, 1815 North Fort Myer Drive, Suite 300, Arlington, Virginia 22209, E-mail:
Additional information about this program and its purpose can be located on the following Web site: