Page images
[ocr errors]
[ocr errors]
[ocr errors]
[ocr errors]

there i unless

Management and Budget (OMB) has issued, and will periodically update, a

directory listing of these designated Jarked


(b) Clearinghouses. The areawide and metropolitan clearinghouse(s)

inform specific local governments and Tribe

agencies, including CSA grantees if they have so requested (see $ 1067.105) and public agencies charged with

enforcing or furthering the objectives refuit of State and local civil rights laws, of

any proposed projects from other y apela agencies which would have an impact

on their programs. Also, State cleard Hie inghouses notify state agencies, such

as SEOOs, of any proposed projects sidence which would affect their statewide

plans and programs.

(c) Applicants/grantees. Applicants

are required to notify the cies sal clearinghouse(s) of the State(s) and Sie either the areawide or the metropoliis at tan area clearinghouse(s) in which the 394 te project is to be located of their intent mi to apply for CSA funds.

(d) Community Services Administra

tion–11) CSA Headquarters is respondieter sible for informing grantees and proont les spective grantees of the current reapien quirements to notify clearinghouses.

(2) CSA Regional and Headquarters Administering Offices are responsible for assuring that:

(1) Grantees are advised of new or re

designated State and/or areawide ination clearinghouses;

(ii) Grantees seeking initial funding are informed of A-95 requirements and provided copies of SF 424 at the time CSA indicates its willingness to consider their applications; (iii) Each application has received clearinghouse review where such review is required;

(iv) Each application is accompanied by a completed (Sections I and II) SF 424;

(v) Clearinghouses are notified within seven work days of any major action taken on an application that has been reviewed by the clearinghouses; and

(vi) The appropriate State and areawide clearinghouses have been notified of any application from federally-recognized Indian tribes upon its receipt.

8 1067.10-4 Procedures.

(a) Applicant Notification to Clear. inghouses of Intent to Apply_(1) Who Must Notify Clearinghouses. Applicants for CSA funds who are seeking initial funding or program year refunding for programs covered by A-95 must provide notification of intent to apply to the appropriate clearinghouses. In addition any grant action made subsequent to a program year refunding which is a major change to the work program and/or a substantial infusion of additional Federal funds in the initial application or is a new project not previously submitted to the clearinghouse also must comply with the notification procedures.

(2) Timeframe. (1) Applicants must simultaneously notify both State and area-wide clearinghouses of their intent to apply for CSA funds at least sixty days before the anticipated date of the submission of the final funding application to CSA. This 60-day lead time is necessary to allow each clearinghouse 30 days to consult with State and local agencies and regional/local governments that may be affected by the proposed project, and to submit written comments on the proposal to the applicant; and an additional 30 days, if a clearinghouse chooses, to review the final completed funding application.

(ii) For applicants seeking initial funding, notification to the clearinghouse will only begin after CSA indicates its willingness to consider applications (development of an application may be requested simultaneously or at some future date). For grantees requesting refunding, initial notification should follow immediately upon receipt of the program and funding guidance or other notice from CSA that it is willing to consider refunding.

(iii) OMB Circular A-95 contains a provision allowing Federal agencies to request procedural variations from normal review processes under certain circumstances. CSA will make use of this provision on a case-by-case basis.

(3) How. (i) Many clearinghouses have developed notification forms and instructions. Where such formas exist

[ocr errors]
[ocr errors]


tion ASUL


[ocr errors]
[ocr errors]
[ocr errors]
[ocr errors]
[ocr errors]
[ocr errors]
[ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors]

applicants shall use them to notify planned project. The clearinghouse clearinghouses. ?

may work with the applicant in the (i) Where clearinghouses do not re resolution of any problems. If differ. quire use of their own forms or for ences are not resolved, the clearing. mats, applicants have the option of house may inform the applicant of its submitting one of the following to the desire to review, and its intention to clearinghouses. However, as the SF prepare comments to accompany, the 424 must accompany every application completed funding application. submitted to CSA it is assumed that (2) Applications for refunding not most applicants will use the SF 424 as submitted to or acted on by CSA Notice of Intent to Apply.

within one year after completion of (A) SF 424, Federal Assistance, with

clearinghouse review will be subject to Section I completed PLUS a statement

rereview upon request of the clearingas to whether environmental impact house. information will be required; OR

(c) Submission of the Completed Ap(B) A summary of the following:

plication to the Clearinghouse. (1) (1) Identity of the applicant agency; When within the initial 30 day period (2) Geographic coverage of the pro

the clearinghouse signs off or indi. gram proposed;

cates that it has no comments regard(3) A brief description of the pro

ing the proposed project, the applicant posed program including type;

may proceed to submit the final fund. (4) Purpose;

ing application to CSA without fur(5) General size or scale;

ther delay. In such cases the applicant (6) Estimated cost;

is not required to submit a copy of its (7) Beneficiaries; or (8) Other characteristics which will

funding application to the clearing. enable the clearinghouse to identify

house. However, the clearinghouse agencies of a State or local govern

may request an information copy. ment having plans, programs,

(2) However, if within the initial 30

or projects that might be affected by the

day period the clearinghouse asks to

review the final application, the appliproposed programs; (9) A statement as to whether envi.

cant will submit a copy of the funding ronmental impact information will be

application to the clearinghouse. In required;

such cases, the clearinghouse(s) shall (10) The Federal program title and

have an additional 30 days to submit number and agency under which as

their formal comments on the subject sistance will be sought as indicated in

application. If the applicant failed to the latest "Catalog of Federal Domes

submit to the clearinghouse an initial tic Assistance"; and

notification of its intent to apply for (11) The estimated date the appli

CSA funds and submitted only a comcant expects to formally file its fund

pleted application, the clearinghouse ing request.

shall have a full 66 days to review and (b) Review by Clearinghouses of No

submit comments on the application, tification. (1) The clearinghouse may (3) It should be noted that areawide notify the applicant, within 30 days of clearinghouses must submit to applireceipt of notice, of its own or other cants any written comments received State or local interests. During this

from other jurisdictions or agencies or period differences may arise between

parties when the comments are at clearinghouses particular State variance with the clearinghouse comagencies or local governments as to

ments. They also must list others who the merit and/or designation of the

were solicited and from whom they received comments.

(d) Submission of SF 424's and In accordance with OMB Circular A-95

Clearinghouse Comments to CSA. Be(Revised) private non-profit applicants are not required to include confidential infor.

ginning with the effective date of this mation concerning the financial status or

Instruction, the applicant will submit structure or the personnel of their agency

to the appropriate CSA Regional or even though this information might be re Headquarters administering office & quired to be sent to CSA as part of the SF 424 with each application for inifunding process.

tial funding, program year refunding,

[ocr errors][merged small][ocr errors][ocr errors][ocr errors]


[ocr errors][ocr errors][ocr errors][merged small]
[merged small][ocr errors][ocr errors][merged small][ocr errors][ocr errors][ocr errors][merged small][ocr errors]

major change to work program and/or major action taken on an application, level of Federal assistance, and new i.e. award, rejection, deferral, return projects regardless of whether or not for amendment, or withdrawal, the apthe program is covered by the A-95 propriate CSA Regional Office or process. Grant applications will be un Headquarters office will notify the acceptable if not accompanied by the clearinghouse(s) which reviewed the completed SF 424. (See Appendix for a

application. In addition if a clearingcopy of SF 424 with instructions for house recommended against the fundcompletion including instructions spe ing of the application and CSA has decifically designed for applicants for cided to award the grant, CSA will inCSA funds).

clude in Section IV of SF 424 a state(1) For programs not covered by the

ment of explanation to the clearingA-95 process or for which CSA has re

house. ceived an exemption, the applicant

(2) CSA will notify the will complete information required in

clearinghouse(s) by completing SecSection I of the SF 424 and indicate

tion III of the SF 424 and returning "not applicable" in Section II, Item

the form, along with any explanatory 22.b.

attachments, to the clearinghouse(s). (2) For programs covered by the A95 process, the applicant will complete

8 1067.10–5 CSA grantee participation in all information required in Sections I

A-95 coordination process.
and II of SF 424 and attach any com-
ments or recommendations received

Since OEO Form 394 is no longer refrom the clearinghouse(s) along with a

quired, CSA reminds those SEOOs statement that such comments have who currently are not receiving applibeen considered prior to submission of cations for CSA-funded programs for the application. In addition, the appli- review through the clearinghouse, cant will include in Section IV of SF that they inform the clearinghouse of 424 a position statement on any con

their interest in receiving these appliflicts that have not been resolved be cations for review. CSA grantees, partween the clearinghouses and the ap ticularly CAAs and SEOOs, should acplicant.

tively seek to review, in addition, ap

plications for Federal assistance from NOTE: It would be in the applicant's best interest to notify CSA immediately if any

other agencies in their clearinghouse comments have been received or are antici

area for programs included in the A-95 pated which recommend not funding the ap process. (See attachments C and D to plication.

Circular A-95). Review of notifications (1) Applications that do not carry

and applications for Federal funds

should be directed to those programs evidence that both areawide and State

which could have an impact on the clearinghouses have been given an opportunity to review the application

poor. will be returned to the applicant to

8 1067.10–6 Section 712-On-going and comply with A-95 procedures.

post-grant coordination.
(ii) If a clearinghouse has recom-
mended against approval of a project

(a) Because of the nature of the Secbecause it conflicts with or duplicates

tion 712 Special Impact Program and another Federal or federally assisted the funding process followed by CSA's project, the administering office will

Office of Economic Development for consult with the agency assisting the

community development corporations referenced project prior to acting if

(CDCs) under Section 712, there is the administering office plans to rec

limited opportunity for, or value to, ommend approval of the project.

clearinghouse review of CDC grant ap(iii) CSA will not accept the grant plications prior to funding by CSA for processing until the clearinghouse and, therefore, the A-95 process is apcomments have been received or until plicable only to certain Title VII the final 30 day period has elapsed.

grants. (See § 1067.10-1). For example: (e) Notification to Clearinghouses by (1) Once a CDC has received its ini. CSA of Major Grant Actions. (1) tial funding from CSA through a planWithin seven working days of any

ning grant (which is subject to clear

[merged small][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors]
[ocr errors][merged small][ocr errors][merged small][ocr errors][ocr errors][merged small][ocr errors][ocr errors]

inghouse review), the basic issue of generally not prior to grant approval),
the community's need for the CDC of non-proprietary venture plans.
has been resolved. Therefore, subse (e) Each CDC, including planning
quent refundings of the CDC's central grantees, must include in its next
administrative budget are exempted funding application submitted to CSA
from clearinghouse review.

after 60 days from the effective date (2) Since CDCs are refunded for two of this subpart, a copy of an agreeyear periods, much of the investment ment signed by the CDC and the apcapital funding requested in refunding propriate areawide or metropolitan applications is not earmarked to spe clearinghouse(s) which specifies how cific ventures; only in the subsequent this required ongoing and post-grant two years, following grant approval, coordination shall be implemented. All are specific plans for most ventures future grant applications and postdeveloped and submitted to CSA for grant venture feasibility proposals approval. Accordingly, there is little in must include evidence that the rethe CDC's investment capital budget quired coordination, as provided in the for clearinghouses to review prior to signed agreement, has in fact taken grant approval.

place. (3) The bulk of the CDC's proposed EDITORIAL NOTE. Section 1067.10-6 was ventures, whether specified in the re suspended in part at 42 FR 29873, June 10, funding application to CSA or identi. 1977. fied and developed after grant approval, fall into the "business development

8 1067.10-7 SF 424-Availability. program” category, and are according An initial supply of SF 424, Federal ly exempt from clearinghouse review Assistance, will be distributed to all because of their proprietary nature. grantees. It should be noted that CSA Most of the feasibility data for such has overprinted the SF 424 to provide ventures, whether submitted to CSA additional information for use of its as part of a refunding application or grantees and administering offices. subsequently, could not be released to Therefore supplies of SF 424 should the clearinghouses.

be acquired from CSA only. When the (b) Accordingly, only that small por: initial supply has been exhausted adtion of a CDC's refunding application ditional forms may be obtained by which is earmarked for specific ven- writing to: CSA Publications and Distures in the "community develop tribution Center, 5458 3rd Street NE, ment” and “training, public service Washington, DC 20001. employment, and social services” categories is appropriate for review by the Subpart 1067.16-Amending a Grant clearinghouse prior to funding.

Under Title VII of the Community (c) Even some data related to com

Services Act (CSA Instruction munity development ventures, such as

6710-7) land acquisition plans and costs are exempted from clearinghouse review SOURCE: 41 FR 26688, June 29, 1976, unless due to the proprietary nature of the otherwise noted. data. (d) Despite such limitations, it is the

8 1067.16-1 Applicability. policy of CSA that CDCs coordinate

This subpart applies to all communi. their programs with local governments ty economic development grants under and related private agencies and orga Title VII of the Community Services nizations, and that CDCs develop Act of 1974, meaningful mechanisms with their local clearinghouses for insuring such

& 1067.16-2 Definitions. coordination on an ongoing basis. (a) Amendment. Any budgetary or Such coordination should include, at a programmatic change in a grant which minimum, (1) periodic discussions of requires prior CSA approval and the CDC's overall program and objec which is not a refunding. tives, and (2) appropriate reviews,

(b) Refunding. An extension of an prior to CSA release of funds (though existing grant for (1) more than four

[ocr errors][ocr errors][ocr errors][ocr errors][merged small]

prin months beyond its current terminaolans tion date which obligates additional police CSA funds, or (2) more than 12 ir months even if no additional CSA ed w funds are obligated.

ADN 81067.16-3 Purpose. and they

This subpart identifies the kinds of tripes budgetary and programmatic changes ciis : in Title VII grants which constitute posito amendments and prescribes the procemenied dures for requesting prior approval and a from CSA's Office of Economic Develpropi opment (OED) for such amendments. Et be' Procedures for requesting OED apideda proval for grant extensions which confaci istitute 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

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.

[ocr errors]


[ocr errors]
[ocr errors]

78 e 12 st

proved 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:

(1) 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 exceeds CSA limitations on salary increases or CSA wage comparability standards as prescribed in (OEO Instruction 6900-01 and 6900-02).

(i) (NOTE: even if OED has approved a given salary level for a posi

[ocr errors][ocr errors]

8 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 å venture autonomy agreement ap

[ocr errors][ocr errors][ocr errors][ocr errors]
« PreviousContinue »