(ii) Where clearinghouses do not require use of their own forms or formats, applicants have the option of submitting one of the following to the clearinghouses. However, as the SF 424 must accompany every application submitted to CSA it is assumed that most applicants will use the SF 424 as Notice of Intent to Apply.

(A) SF 424, Federal Assistance, with Section I completed PLUS a statement as to whether environmental impact information will be required; OR

(B) A summary of the following: (1) Identity of the applicant agency; (2) Geographic coverage of the program proposed;

(3) A brief description of the proposed program including type;

(4) Purpose;

(5) General size or scale; (6) Estimated cost;

(7) Beneficiaries; or

(8) Other characteristics which will enable the clearinghouse to identify agencies of a State or local government having plans, programs, or projects that might be affected by the proposed programs;

(9) A statement as to whether environmental impact information will be required;

(10) The Federal program title and number and agency under which assistance will be sought as indicated in the latest "Catalog of Federal Domestic Assistance"; and

(11) The estimated date the applicant expects to formally file its funding request.

(b) Review by Clearinghouses of Notification. (1) The clearinghouse may notify the applicant, within 30 days of

'In accordance with OMB Circular A-95 (Revised) private non-profit applicants are not required to include confidential information concerning the financial status or structure or the personnel of their agency even though this information might be required to be sent to CSA as part of the funding process.

receipt of notice, of its own or other State or local interests. During this period differences may arise between clearinghouses or particular State agencies or local governments as to the merit and/or designation of the planned project. The clearinghouse may work with the applicant in the resolution of any problems. If differences are not resolved, the clearinghouse may inform the applicant of its desire to review, and its intention to prepare comments to accompany, the completed funding application.

(2) Applications for refunding not submitted to or acted on by CSA within one year after completion of clearinghouse review will be subject to rereview upon request of the clearinghouse.

(c) Submission of the Completed Application to the Clearinghouse. (1) When within the initial 30 day period the clearinghouse signs off or indicates that it has no comments regarding the proposed project, the applicant may proceed to submit the final funding application to CSA without further delay. In such cases the applicant is not required to submit a copy of its funding application to the clearinghouse. However, the clearinghouse may request an information copy.

(2) However, if within the initial 30 day period the clearinghouse asks to review the final application, the applicant will submit a copy of the funding application to the clearinghouse. In such cases, the clearinghouse(s) shall have an additional 30 days to submit their formal comments on the subject application. If the applicant failed to submit to the clearinghouse an initial notification of its intent to apply for CSA funds and submitted only a completed application, the clearinghouse shall have a full 60 days to review and submit comments on the application.

(3) It should be noted that areawide clearinghouses must submit to applicants any written comments received from other jurisdictions or agencies or parties when the comments are at variance with the clearinghouse comments. They also must list others who were solicited and from whom they received comments.

(d) Submission of SF 424's and Clearinghouse Comments to CSA. Be

ginning with the effective date of this Instruction, the applicant will submit to the appropriate CSA Regional or Headquarters administering office a SF 424 with each application for initial funding, program year refunding, major change to work program and/or level of Federal assistance, and new projects regardless of whether or not the program is covered by the A-95 process. Grant applications will be unacceptable if not accompanied by the completed SF 424. (See Appendix for a copy of SF 424 with instructions for completion including instructions specifically designed for applicants for CSA funds).

(1) For programs not covered by the A-95 process or for which CSA has received an exemption, the applicant will complete information required in Section I of the SF 424 and indicate "not applicable" in Section II, Item 22.b.

(2) For programs covered by the A95 process, the applicant will complete all information required in Sections I and II of SF 424 and attach any comments or recommendations received from the clearinghouse(s) along with a statement that such comments have been considered prior to submission of the application. In addition, the applicant will include in Section IV of SF 424 a position statement on any conflicts that have not been resolved between the clearinghouses and the applicant.

NOTE: It would be in the applicant's best interest to notify CSA immediately if any comments have been received or are anticipated which recommend not funding the application.

(i) Applications that do not carry evidence that both areawide and State clearinghouses have been given an opportunity to review the application will be returned to the applicant to comply with A-95 procedures.

(ii) If a clearinghouse has recommended against approval of a project because it conflicts with or duplicates another Federal or federally assisted project, the administering office will consult with the agency assisting the referenced project prior to acting if the administering office plans to recommend approval of the project.

(iii) CSA will not accept the grant for processing until the clearinghouse comments have been received or until the final 30 day period has elapsed.

(1)

(e) Notification to Clearinghouses by CSA of Major Grant Actions. Within seven working days of any major action taken on an application, i.e. award, rejection, deferral, return for amendment, or withdrawal, the appropriate CSA Regional Office or Headquarters office will notify the clearinghouse(s) which reviewed the application. In addition if a clearinghouse recommended against the funding of the application and CSA has decided to award the grant, CSA will inIclude in Section IV of SF 424 a statement of explanation to the clearinghouse.

(2) CSA will notify the clearinghouse(s) by completing Section III of the SF 424 and returning the form, along with any explanatory attachments, to the clearinghouse(s).

§ 1067.10-5 CSA grantee participation in A-95 coordination process.

Since OEO Form 394 is no longer required, CSA reminds those SEOOS who currently are not receiving applications for CSA-funded programs for review through the clearinghouse, that they inform the clearinghouse of their interest in receiving these applications for review. CSA grantees, particularly CAAS and SEOOS, should actively seek to review, in addition, applications for Federal assistance from other agencies in their clearinghouse area for programs included in the A-95 process. (See attachments C and D to Circular A-95). Review of notifications and applications for Federal funds should be directed to those programs which could have an impact on the poor.

plications prior to funding by CSA and, therefore, the A-95 process is applicable only to certain Title VII grants. (See § 1067.10-1). For example:

(1) Once a CDC has received its initial funding from CSA through a planning grant (which is subject to clearinghouse review), the basic issue of the community's need for the CDC has been resolved. Therefore, subsequent refundings of the CDC's central administrative budget are exempted from clearinghouse review.

(2) Since CDCs are refunded for twoyear periods, much of the investment capital funding requested in refunding applications is not earmarked to specific ventures; only in the subsequent two years, following grant approval, are specific plans for most ventures developed and submitted to CSA for approval. Accordingly, there is little in the CDC's investment capital budget for clearinghouses to review prior to grant approval.

(3) The bulk of the CDC's proposed ventures, whether specified in the refunding application to CSA or identified and developed after grant approval, fall into the "business development program" category, and are accordingly exempt from clearinghouse review because of their proprietary nature. Most of the feasibility data for such ventures, whether submitted to CSA as part of a refunding application or subsequently, could not be released to

the clearinghouses.

(b) Accordingly, only that small portion of a CDC's refunding application which is earmarked for specific ventures in the "community development" and "training, public service employment, and social services" categories is appropriate for review by the clearinghouse prior to funding.

(c) Even some data related to community development ventures, such as land acquisition plans and costs are exempted from clearinghouse review due to the proprietary nature of the data.

(d) Despite such limitations, it is the policy of CSA that CDCs coordinate their programs with local governments and related private agencies and organizations, and that CDCs develop meaningful mechanisms with their local clearinghouses for insuring such

coordination on an ongoing basis. Such coordination should include, at a minimum, (1) periodic discussions of the CDC's overall program and objectives, and (2) appropriate reviews, prior to CSA release of funds (though generally not prior to grant approval), of non-proprietary venture plans.

(e) Each CDC, including planning grantees, must include in its next funding application submitted to CSA after 60 days from the effective date of this subpart, a copy of an agreement signed by the CDC and the appropriate areawide or metropolitan clearinghouse(s) which specifies how this required ongoing and post-grant coordination shall be implemented. All future grant applications and postgrant venture feasibility proposals must include evidence that the required coordination, as provided in the signed agreement, has in fact taken place.

NOTE: Section 1067.10-6 was suspended in part at 42 FR 29873, June 10, 1977.

§ 1067.10-7 SF 424-Availability.

An initial supply of SF 424, Federal Assistance, will be distributed to all grantees. It should be noted that CSA has overprinted the SF 424 to provide additional information for use of its grantees and administering offices. Therefore supplies of SF 424 should be acquired from CSA only. When the initial supply has been exhausted additional forms may be obtained by writing to: CSA Publications and Distribution Center, 5458 3rd Street NE, Washington, DC 20001.

Subpart 1067.16-Amending a Grant Under Title VII of the Community Services Act (CSA Instruction 6710– 7)

SOURCE: 41 FR 26688, June 29, 1976, unless otherwise noted.

§ 1067.16-1 Applicability.

This subpart applies to all community economic development grants under Title VII of the Community Services Act of 1974.

§ 1067.16-2 Definitions.

(a) Amendment. Any budgetary or programmatic change in a grant which requires prior CSA approval and which is not a refunding.

(b) Refunding. An extension of an existing grant for (1) more than four months beyond its current termination date which obligates additional CSA funds, or (2) more than 12 months even if no additional CSA funds are obligated.

§ 1067.16-3 Purpose.

This subpart identifies the kinds of budgetary and programmatic changes in Title VII grants which constitute amendments and prescribes the procedures for requesting prior approval from CSA's Office of Economic Development (OED) for such amendments. Procedures for requesting OED approval for grant extensions which constitute refundings may be found in § 1067.15-1 through § 1067.15-12 (CSA Instruction 6710-6). Grantees who are in doubt as to whether proposed grant changes require prior OED approval or whether the procedures in this subpart or in § 1067.15--1 through § 1067.15-12 (CSA Instruction 6710-6) should be followed should consult with the OED project manager for the grant.

§ 1067.16-4 Grant changes requiring prior OED approval.

Grant changes which constitute amendments, and which therefore require prior OED approval, fall into two basic categories; those involving changes in the grant program and those involving changes in the grant budget.

(a) Programmatic Changes which Constitute Amendments. (1) Basic changes in the overall strategy, objectives, milestones, implementation plan, or major activities of the project as approved by OED.

(2) Significant changes in the number or type of participants or beneficiaries.

(3) Changes in the target area served (if any) under the grant.

(4) Changes in delegate agencies, if any.

(5) Changes in the grantee's articles of incorporation or by-laws.

(6) Changes in or waiver of grant conditions.

(7) Uses of Investment Capital funds for purposes other than those approved by OED or than as provided in a venture autonomy agreement approved by OED or in CSA Instructions.

(8) Changes in the duration of the approved funding period or in the length of time the project will operate.

(9) Restoration of personnel positions or program elements specifically disapproved by OED, or deletion of positions or program elements specifically added by OED, as specified on the OEO Form 325c or special conditions attached to the grant.

(b) Budgetary Changes Which Constitute Amendments. (1) Changes which will increase the CSA-funded program costs (i.e., the approved grant budget as shown in Column F (1) of the CSA Form 325) for the current funding period, regardless of whether such increased cost will:

(i) Require increased (i.e., supplemental) OED funds; or

(ii) Require no additional OED funds because of the availability of larger than anticipated unexpended balances from prior funding periods (Note: the availability of unexpended funds from prior funding periods does not constitute the authority to spend them).

(2) Changes in the expenditure rate for continuing costs such that total grant funds will be expended prior to the termination date of the current grant, thereby necessitating refunding (where applicable) prior to the scheduled date.

(3) Changes in the expenditure rate for continuing costs such that even if total funds will not be expended prior to the termination date of the current grant the annualized costs in subsequent funding periods will be significantly higher.

(4) Any increase or decrease in the OED-approved budget for cost category 2.5, Investment Capital, by shifting funds from or to other cost categories. (5) Any increase in the OED-approved budget for cost category 3.0, Indirect Costs, where applicable.

(6) Any initial salary, or any increase in salary, for any position which ex

Except as provided in § 1067.16-4 or as prohibited by CSA grant conditions or regulations, Title VII grantees may make other programmatic and budgetary changes in their approved grants without prior OED approval (in accordance, of course, with their own bylaws, published personnel policies, regulations, etc.). Such changes include: (a) Creation or abolishment of staff positions, or changes in duties.

(b) Increases or decreases in salaries for individual positions.

(c) Increases or decreases in budget cost categories 1.1-2.4 and 2.6, or decreases in cost category 3.0, by shifting funds among such cost categories.

§ 1067.16-6

Submission of amendment requests to OED for approval. (a) Any programmatic or budgetary change constituting an amendment (see § 1067.16-4) may not be made by a Title VII grantee without prior OED approval. Such approval must be in writing and may be given only by the Director of OED or his Deputy (the only OED officials authorized to approve Title VII grants). Oral "authorization" by any OED employee or written “authorization" by any OED employee other than the director or his deputy shall not constitute OED approval. Moreover no grant amendment may become effective until the date the written approval is signed.

(b) The documentary requirements for amendment requests are relatively simple. An amendment request consists of from one to four numbered forms as follows:

(1) OEO Form 315a Grantee Quarterly Financial Report (requests for nocost extension in excess of months).

4

(2) CSA Form 325b, Request for Amendment to Grant (all requests). (3) CSA Form 325, Budget Summary (requests for budgetary changes).

(4) CSA Form 325a Budget Support Sheets (requests for budgetary charges).

(c) Copies of these forms may be found in Appendix A1 to this subpart. (d) An original and seven copies of all amendments requests, regardless of the OED division that monitors the projects, should be mailed to:

(1) Program Management and Support Division, Office of Economic Development, Community Services Administration, 1200 19th Street N.W., Washington, D.C. 20506.

(e) Distribution of copies to the OED project manager and other appropriate CSA/OED personnel will be handled by the Program Management and Support Division.

(f) Specific instructions on the preparation of these forms are provided in paragraphs (f)(1) through (4) of this section:

(1) OEO Form 315a, Grantee Quarterly Financial Report. See CSA Instruction 6807-2.

(2) CSA Form 325b, Request for Amendment to Grant. This form is used for all amendment requests. Where the request involves no budgetary changes, the CSA Form 325b is the only form required. The form is self-explanatory; it provides essentially for a narrative description of the programmatic and/or budget changes requested. Blank sheets should be used to complete any continuation pages. If the amendment involves changes in the grantee target area, bylaws, etc., appropriate documents such as maps, new proposed by-laws, etc., should be attached to the CSA Form 325b.

(3) CSA Form 325, Budget Summary. This form is used when the requested amendment involves an increase in the total program cost (whether or not supplementary funds are required), an increase or decrease in the Investment Capital cost category, an increase in the Indirect Cost category (if applica

'Not filed with the Office of the Federal Register. Forms available from the Community Services Administration.