[Federal Register Volume 59, Number 88 (Monday, May 9, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10647]


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[Federal Register: May 9, 1994]


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FEDERAL TRADE COMMISSION
 

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. ACF-94-X]
Youth Gang Drug Prevention Program; Availability of Fiscal Year 1994 
Funds and Request for Applications
AGENCY: Administration on Children, Youth and Families (ACYF); 
Administration for Children and Families (ACF); Department of Health 
and Human Services (DHHS).

ACTION: Announcement of the availability of funds and request for 
applications under the Youth Gang Drug Prevention Program.

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SUMMARY: The Family and Youth Services Bureau (FYSB) of the 
Administration on Children, Youth and Families (ACYF) announces the 
availability of funds for competing discretionary grants under the 
Youth Gang Drug Prevention Program. The purpose of this program is to 
conduct community-based, comprehensive and coordinated activities to 
reduce and prevent the involvement of youth in gangs that engage in 
illicit drug-related activities. This announcement is a departure from 
ACYF's traditional approach to youth gang prevention. ACYF intends to 
demonstrate that multi-dimensional prevention strategies concentrated 
in small socially and economically isolated communities have great 
potential for positively impacting young adolescents as they develop to 
adulthood.
    This announcement describes the grant application process and 
covers the single demonstration priority area for which new grants will 
be awarded in Fiscal Year 1994: Community Planning Grants.

DATES: The closing date for submittal of applications under this 
announcement is July 8, 1994.

ADDRESSES: Applications may be mailed to the Department of Health and 
Human Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
    Hand delivered applications are accepted during the normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the 
established closing date at: Administration for Children and Families, 
Division of Discretionary Grants, 370 L'Enfant Promenade, SW., 6th 
Floor, OFM/DDG, 901 D Street, SW., Washington, DC 20447.

FOR FURTHER INFORMATION CONTACT: Department of Health and Human 
Services, ACF/ACYF, Family and Youth Services Bureau, Division of 
Program Support, P.O. Box 1182, Washington, DC 20013. Telephone (202) 
205-8074.

SUPPLEMENTARY INFORMATION: This program announcement consists of six 
parts. Part I briefly discusses the importance of addressing the 
developmental needs of youth, especially those who live in socially and 
economically isolated communities, and provides background information 
on the Youth Gang Drug Prevention Program. Part II describes the 
programmatic priority area under which applications are being 
solicited. Part III describes the evaluation criteria that will be used 
to review grant applications and make funding decisions. Part IV 
describes the application process. Part V provides instructions for the 
development and submission of applications. Part VI provides 
information on the State Single Points of Contact and all the necessary 
forms and instructions for applying for a grant under this 
announcement. No additional materials are available or needed to submit 
an application.
    Applicants should note that grants to be awarded under this program 
announcement are subject to the availability of funds.

Table of Contents

Part I: General Information

A. Reframing the Youth Agenda
B. Legislative Authority and Funding History
C. Purpose and Goals of the Youth Gang Drug Prevention Program
D. Models and Programmatic Approaches of Youth Gang Drug Prevention 
Grantees
    1. Gang Prevention Models
    2. Programmatic Approaches

Part II: Priority Area--Community Planning Grants

Part III: Evaluation Criteria

Part IV: Application Process

A. Application Requirements
B. Paperwork Reduction Act of l980
C. Notification Under Executive Order 12372
D. Availability of Forms and Other Materials
E. Application Consideration

Part V: Application Assembly and Submission

Part VI: Appendices

A. State Single Points of Contact
B. Forms and Instructions

Part I. General Information

A. Reframing the Youth Agenda

    Today, as always, most American youth complete school, avoid 
committing or being victimized by violence, avoid substance abuse, and 
stay on track for a healthy and successful adulthood. Yet at the same 
time, too many youth have far less successful outcomes, and the rapid 
proliferation of youth gangs, alcohol and drug activity, and violence 
has become an ever-greater concern for youth themselves, their 
families, communities, and the broader public.
    Public and private systems, such as schools and community programs 
that traditionally support the successful healthy development of 
children through adolescence to adulthood are underfunded and 
frequently unable to keep pace with the changing developmental needs of 
youth. They are also increasingly asked to provide primary support to 
youth in response to the weakening role of the family in youth's lives.
    Gangs and their violent activities are too often a lure for youth 
who perform marginally in or drop out of school. Approximately one 
quarter of all urban schools have dropout rates around 50 percent. Of 
the 400,000 young people who dropped out of high school between October 
1989 and October 1990, one-third were unemployed in 1991. The 
relationship between dropping out of high school and unemployment is 
especially strong in socially and economically isolated communities. In 
the 50 largest U.S. cities in 1991, the higher the poverty rate of a 
census tract, the more likely adolescent males were to be unemployed 
and to have dropped out of school. While there is no definitive data on 
how many of these youth were involved in gangs, there is anecdotal data 
from FYSB grantees and other practitioners which suggest a strong 
correlation between school failure and gang involvement. The diminished 
opportunities and stressful environmental circumstances in socially and 
economically isolated communities coupled with the risk-taking behavior 
normally associated with adolescent development become critical 
obstacles for adolescents to overcome if they are to develop into 
healthy and positive adults.
    Over the past decade we have seen ever increasing numbers of 
adolescents become involved in violent and illegal risk-taking behavior 
that negatively impacts on them, their families and communities. The 
following data exemplify this trend:
     In 1992, juveniles were responsible for 17.5 percent of 
all violent crime arrests.
     Between 1990 and 1992, the number of juveniles under age 
15 arrested for violent crimes increased 25 percent.
     Arrests of juveniles under age 15 increased 23.2 percent 
for weapons violations and 18.8 percent for drug abuse violations in 
the most recent one year reporting period of the Uniform Crime Reports.
Youth Agenda Within the Context of the Social Environment
    Promoting individual change is difficult in an environment that 
does not support positive and healthy outcomes. Likewise, effecting 
community- or neighborhood-level change outside the context of the 
wider society is also difficult. For this reason, prevention strategies 
must be comprehensive, intensive and multi-dimensional, reaching across 
all aspects of a youth's social environment to effect individual 
change. At the same time, it is important to realize that individual 
change depends in part on changing community attitudes and norms.
    Our traditional, categorical perspective has tended to ignore the 
major influence that the social environment has on the behavior and 
life outcomes of youth. It has also tended to ignore the vast social 
isolation and alienation from the wider society that many youth 
experience. Increasingly, we are becoming aware that youth living in 
areas with high concentrations of poverty, unemployment, weak family 
structures, poor role models and violence have fewer opportunities for 
successful outcomes than do their counterparts in other communities. 
The normal adolescent dependence on the peer environment is greatly 
exaggerated and increasingly dangerous in many of these communities. 
Youth with little or no family and/or community supports are frequently 
prone to involvement in activities that adversely affect their life 
outcomes, such as high rates of adolescent child bearing, gang 
involvement and school dropout.
    Prevention strategies designed to counteract the attractions of 
destructive behaviors such as gang participation must take into account 
that as youth develop they need an environment that provides safety and 
comfort as well as challenging new opportunities for growth. It is our 
belief that the combination of a safe environment and access to 
opportunities and experiences allow youth to develop the self-esteem 
and decisionmaking abilities necessary to avoid non-constructive, 
delinquent, and dangerous behaviors and thereby exhibit constructive 
behaviors and participate in healthy activities. It is especially 
important that these opportunities be focused on 9 to 12 year olds and 
their families, a critical developmental stage from childhood to 
adolescence.
Flaws in the Present Response to These Needs
    For several reasons, our programmatic responses have been unable to 
keep up with the burgeoning needs of youth, their families and 
communities. Among the reasons identified by practitioners and 
observers:
    1. Public and community-based service systems are unable to 
compensate as families become more isolated from traditional sources of 
support and as youth become more isolated from both families and 
communities. Often, parents are unable to provide their children with 
the necessary emotional, psychological and material support. In 
response, parents turn to underfunded and overburdened community 
agencies such as schools, day care centers and recreation centers to 
fulfill their children's social and developmental needs.
    2. Publicly funded programs are too often defined in narrow 
categorical terms that fail to respond to the reality of youth's 
experiences, goals, strengths, and needs. Rather than providing youth a 
supportive environment that will help them develop into socially 
productive, healthy adults, we have developed a diversity of public and 
private programs that, too often, respond only to a small percentage of 
youth on a short-term basis and that provide fragmented funding for 
narrow categorical purposes.
    3. Programs targeted to youth have been slow to acknowledge the 
developmental needs of youth and the effect of changes in social and 
economic structures on youth's life choices. In developing youth 
programs, we frequently fail to realize that adolescence is a 
developmental stage when youth typically experiment with different 
activities, distance themselves from family, identify more with peers, 
and develop more independent behaviors. Historically, youth programs 
have been focused on intervening once youth have participated in 
delinquent or negative behaviors, rather than on preventing these 
behaviors and working with youth during the critical transition stage 
from childhood to adolescence (ages 9 to 12).
Reframing the Youth Agenda to Respond to Youth's Needs
    Recently, the Department of Health and Human Services along with 
the Departments of Justice, Education, Labor, and Housing and Urban 
Development participated in an effort aimed at identifying how to 
prevent youth from becoming involved in violence as perpetrators and/or 
victims. Discussions with those involved in youth issues, including 
representatives from programs, foundations, research institutions and 
universities, identified a set of core strategies that have been 
effective in involving youth in more socially positive and productive 
behaviors. They emphasized that first and foremost prevention 
strategies have to be grounded within a youth development framework 
rather than the usual problem-oriented approach. Included among their 
strategies are:
     Intervening early and providing sustained services to 
youth over a long period of time. Youth need to be connected to a 
stable force which can help them make a successful transition from 
childhood to adolescence and ultimately to adulthood. Too often youth 
in this critical age range of 9 to 12 are finding gangs the most 
stable, nurturing force in their lives.
     Involving youth in the formation and development of 
policies and programs that focus on their strengths, address their 
needs and reduce their involvement in violence and other destructive 
behaviors. The social environment in which youth develop is a critical 
factor affecting their perspective of the future and their connection 
to the broader society; thus, their environment must provide 
opportunities for youth to establish their self-worth and receive 
affirmation of their importance to society.
     Promoting the economic and social competence of youth; 
connecting them to their families, communities and society at-large; 
and fostering their ability to make positive contributions. Current 
society has developed no clear social or economic role for youth. As a 
result, it is difficult for youth to envision the positive 
contributions they can make as they move from adolescence to adulthood.
     Responding to youth as individuals, not merely as a 
monolithic group. Youth are diverse and have differing needs. They need 
services that are multi-disciplinary, gender-specific, age-appropriate, 
and culturally appropriate.
     Supporting the involvement of families (however they 
define themselves) in programs that respond to youth issues.
     Empowering community leaders and institutions in socially 
and economically isolated communities to play a more active role in 
guiding and assisting youth and in identifying and responding to the 
specific needs of youth in their communities. Local leaders must work 
collaboratively with families and other residents to change the overall 
attitudes about what is acceptable behavior in the community, and these 
attitudes and expectations must be communicated effectively to youth.
     Connecting youth services to existing institutions, 
particularly educational institutions, strengthens their role in the 
lives of youth, and enhances the ability of institutions to provide 
comprehensive and responsive care and education to youth.
    Individual strategies alone, however, do not work. Communities must 
come together to identify the developmental needs of their local youth 
and how these needs can best be addressed.

B. Legislative Authority and Funding History

    Congress enacted the Drug Education and Prevention Relating to 
Youth Gangs (Youth Gang Drug Prevention) Program as part of the Anti-
Drug Abuse Act of 1988. See 42 U.S.C. 11801-11806. The legislation 
specifically identifies the Administration on Children, Youth and 
Families (ACYF) as the administering agency.
    The program received its first appropriation of $15 million in 
Fiscal Year 1989. In response to ACYF's first announcement soliciting 
proposals for the Youth Gang Drug Prevention Program, applications were 
received from public and private agencies in 36 States and the District 
of Columbia.
    The ACYF solicited proposals again in Fiscal Years 1990 and 1992, 
and applications again were received from large and small cities, 
suburbs and rural areas all over the country.
    Since 1989, ACYF has awarded almost $76.5 million to fund 112 State 
and local efforts to respond to the nation's youth gang problem. These 
grants ranged from $1,000,000 community-based consortia projects in 
large urban centers to $50,000 planning projects in small communities.

C. Purpose and Goals of the Youth Gang Drug Prevention Program

    The Administration on Children, Youth and Families (ACYF) has 
implemented the Youth Gang Drug Prevention Program to help communities 
experiencing gang crime and violence take a proactive approach to 
halting the escalation of illegal gang activity by funding prevention 
activities targeting youth in at-risk situations. Prevention is 
increasingly at the heart of local efforts to deal with an emerging 
gang problem. It recognizes that gangs are a symptom of larger 
community problems, such as poverty, unemployment, and feelings of 
disenfranchisement due to race or socio-economic status. In 
jurisdictions with a chronic gang problem, prevention of youth 
involvement in gangs remains a critical strategy for keeping the 
situation from worsening over time.
    The Family and Youth Service Bureau's demonstration grant efforts 
are designed to:
     Expand our understanding of why youth become involved in 
gangs and in behaviors leading to gang participation and similarly 
destructive outcomes. Of equal importance is to identify factors which 
help youth develop positively especially through the difficult 
transition from childhood to adolescence and into adulthood;
     Demonstrate and assess various methods of preventing the 
further recruitment and involvement of youth in at-risk situations in 
gang activities; and
     Develop successful, replicable approaches that prevent 
youth involvement in gangs, illegal drug activities and related 
violence and delinquency.

D. Models and Programmatic Approaches of Youth Gang Drug Prevention 
Grantees

    Since there is no single cause for youth involvement in gangs, 
there is no single prevention model. Previously funded Youth Gang Drug 
Prevention Program grantees have implemented a number of different 
models and strategies designed to meet various prevention goals. 
Evaluation results of some of these previously funded projects suggest 
that those that work with the same children, youth and families over 
several years have a greater potential for positively affecting their 
lives than projects which focus on short-term (weeks, months, one-year) 
interventions. These results and feedback from grantees, coupled with 
the recommendations of the Inter-Departmental youth workgroup, have led 
to our refocusing our prevention efforts toward a youth development 
approach. Gang participation should not be viewed as a single problem 
in and of itself, but rather as part of a multi-dimensional array of 
risks facing youth. Many youth do not have the positive support systems 
necessary to transition successfully into adolescence and later into 
adulthood. Prevention and intervention strategies should seek to 
establish or strengthen neighborhood and family-based support systems 
that will enhance youth's potential for success.
D.1. Gang Prevention Models
    Community-based consortia: A major emphasis of the Youth Gang Drug 
Prevention Program has been on supporting the development of community-
based consortia to conduct innovative, comprehensive approaches to the 
current and emerging problems of youth gangs and their involvement with 
illicit drugs. Each consortium is a broad-based partnership which draws 
upon the resources, expertise, energies and commitments of many 
different groups within the community. These groups represent both the 
public and private sectors and include representatives of human service 
agencies, schools, juvenile justice system, mental health agencies, 
housing authorities, businesses, churches, media, and community-based 
organizations. The organizational structures and operational procedures 
of the community consortia vary, but the most promising consortia 
brought together a broad array of public and private agencies, 
community groups and youth to design and implement their local 
prevention strategies. As important as the comprehensive mix of 
services that these agencies brought together was the consortia's focus 
on youth gang prevention as a community-wide issue in which all parties 
have a stake.
    Community planning efforts: In order to help communities with 
emerging gang problems and those with established gangs but with no 
cohesive prevention strategies, 12 community planning grants were 
awarded in Fiscal Year 1990. It was hoped that by the end of the two-
year funding period, these grantees would be able to build the 
framework for successful consortia and/or other prevention strategies. 
The most promising grantees focused planning and community organizing 
strategies on local neighborhoods or target areas within larger 
communities. One grantee began its planning efforts by conducting a 
needs assessment to identify the specific high-need neighborhoods where 
it would focus its strategy development. Another grantee found that 
different problems and issues required different approaches and levels 
of organizing groups. For example, school issues required a 
neighborhood group organized around the school feeder areas, while a 
city-wide steering committee was essential for garnering the necessary 
political support and media attention.
    These grantees centered their activities around planning and 
organizing efforts, not on direct service delivery to youth and 
families. In several cases, these planning grantees were prohibited by 
their own charters from delivering direct services or came to a 
realization in the course of the project that they could not 
effectively facilitate planning while at the same time delivering 
services. One grantee developed action plans that addressed the 
specific needs of eight neighborhoods in a large inner city. Various 
components of these action plans were implemented, some as service 
programs and others as pilot projects to test their viability. Perhaps 
more important than the services and projects, this planning effort 
enabled the organizing group and neighborhood action teams to market 
their needs and proposed responses more effectively to other funding 
sources.
D.2. Programmatic Approaches
    Based on the experience of the Youth Gang Drug Prevention Program, 
we have found that no single prevention model fits the needs of all 
communities. Therefore, each community must assess its own needs, 
strengths, weaknesses, and resources and design a model which has the 
greatest potential for success. In developing individually appropriate 
models, communities should take advantage of adapting and using 
programmatic approaches which have shown promise in other communities. 
The following approaches are meant to be illustrative, not exhaustive.
     Many agencies focused on community organizing activities 
in an effort to assist the community in solving its own problems. For 
example, one previously-funded agency instituted community support 
groups which met monthly on block and school safety issues and 
developed a newsletter and a youth resource directory. Another agency 
used block-by-block organizing to mobilize neighborhood residents 
against drug trafficking and gang violence. Residents operated phone-
trees to gather information on new drug trafficking sites, graffiti or 
gang meeting sites. This information was then relayed to law 
enforcement officials. Residents also marched as a group through these 
areas to bring unwanted publicity to the dealers and gangs.
     Other grantees centered many of their activities around or 
in the local schools. Many grantees conducted tutoring, recreation, 
outward bound activities, and cultural programs on school grounds or in 
nearby locations after normal school hours or during summer vacation. 
One grantee instituted school-based leadership clubs and community-
based outreach clubs. Many grantees developed cooperative agreements 
with schools to use their facilities after school hours and on weekends 
to provide a wide range of recreational, social and cultural activities 
for youth. In another community, a grantee worked with two elementary 
schools to implement a self-esteem curriculum which included planning 
for a successful journey, maintaining a healthy attitude and using 
common sense.
     Another popular approach tested by many of the grantees 
involved the use of empowerment strategies with families. The intent of 
the approach was to draw on the strength of the family and its values 
in promoting the healthy development of youth. Parenting classes were 
conducted to help parents understand and use effective techniques for 
dealing with discipline, setting goals, understanding their 
responsibilities and rights and developing positive relationships with 
their children. One grantee established a School for Parents. In order 
to develop an effective curriculum, the instructors met with the 
children of the enrollees to explore their particular needs. These 
needs provided the basis for the content of the school sessions for the 
parents.
     Some grantees designed positive activities that were 
centered around cultural values to help youth accomplish the transition 
from childhood to adulthood. One grantee developed a culturally-based 
leadership training program for 13- to 18-year old youth. To 
participate in the program, youth must be recommended by a faculty 
member, maintain a 2.0 grade point average, write an essay and have a 
parent/guardian attend an orientation meeting. The youth attended a 60-
hour classroom course, including a 3-day live-in seminar, and were 
evaluated during a 60-hour field experience. The curriculum included 
philosophy and styles of leadership, perceptions and beliefs, group 
process and dynamics, individual and group assessment processes, and 
yin/yang theory.
    The common elements apparent in successful projects are the focus 
on the developmental needs of youth and their families and an emphasis 
on the provision of appropriate positive developmental opportunities 
for them.

Part II. Priority Area--Community Planning Grants

    Eligible applicants: Any State, unit of local government, 
combination of units of local government, public or nonprofit private 
agency, organization, institution, other nonprofit entity or individual 
is eligible to apply for these funds. Successful applicants under this 
competition will be eligible to compete for five year grants to 
implement the plans they develop.
    Grantees with current Youth Gang Drug Prevention Community-Based 
Consortia grants (funded under the FY 1992 announcement) are not 
eligible to apply under this announcement.
    Program purpose, goals, and objectives: The Administration on 
Children, Youth and Families (ACYF) will award approximately 10-30 
community planning grants during Fiscal Year 1994. The purpose of these 
grants is to help community and neighborhood groups organize into 
formal coalitions which will be responsible for developing five-year 
action plans that concentrate prevention resources on a specific 
socially and economically isolated neighborhood or target area. Only 
those applicants who receive planning grants under this announcement 
and who perform satisfactorily will be eligible to apply for the 8 to 
15 implementation grants, which ACYF plans to announce in Fiscal Year 
1995, subject to the availability of funds.
    Plans developed under this priority area should articulate a vision 
for youth and include community-wide strategies and interventions 
designed to change the environment, circumstances and attitudes which 
put youth at risk of unhealthy and destructive behavior so that these 
youth may develop into healthy, productive and responsible adults.
    The planning processes used by the coalitions should be 
characterized by broad consultation and involvement of youth, families, 
businesses and community organizations in identifying the developmental 
needs of youth; deciding what existing services and strategies are 
available and effective in addressing these needs; identifying gaps in 
services; and, how these gaps can best be addressed, while 
strengthening the permanent institutions (e.g., school, social, 
community health and justice systems) dedicated to the development of 
individuals and communities. The coalitions will also address the 
communities' particular youth violence problems, and the resources that 
can be brought to bear so that the developmental needs of youth are met 
and the problems of violence can be alleviated.
    Successful grantees under this announcement must participate in 
activities leading to a rigorous third-party evaluation of the program 
strategies to be funded under the Fiscal Year 1995 announcement. Active 
participation in the evaluation will be a requirement of program 
implementation funding. Evaluation activities will be funded by the 
Administration for Children and Families and will focus on measuring 
the interventions' effects on positive community and behavioral change 
and the processes by which these changes take place.
    The specific goals of this priority area are to:
     Demonstrate the feasibility of developing comprehensive 
youth development policies and programs targeting socially and 
economically isolated communities;
     Demonstrate the viability of supporting concerted planning 
efforts prior to committing Federal resources to long-term 
demonstration and evaluation efforts;
     Demonstrate the effectiveness of awarding planning grants 
that are accompanied by intensive training and technical assistance to 
narrow the field of eligible applicants for subsequent implementation 
demonstration grants;
     Evaluate whether conducting a comprehensive multi-agency 
planning effort leads to the development of more effective strategies 
for integrating and coordinating efforts to address the developmental 
needs of youth and, thereby, the issues related to youth violence;
     Rigorously evaluate whether comprehensive youth 
development policies and strategies are effective in reducing the 
amount and intensity of youth violence in targeted socially and 
economically isolated neighborhoods; and
     Identify critical elements that are needed within each 
community to positively impact community norms and to increase the 
opportunities for youth to develop into adults with a positive future.
    Background: Since 1989 the ACYF has funded a variety of activities 
aimed at aiding communities in the development of strategies for 
helping youth avoid illegal gang and drug activities and adopt positive 
lifestyles. Based on the experience of the youth gang consortia and 
planning grantees, it is clear that gang prevention is only one part of 
a continuum of integrated services that promotes healthy lifestyles for 
children and youth ranging in age from pre-school through early 
adulthood. This announcement supports the creation of community 
coalitions and the development of five-year community action plans 
which focus on comprehensive strategies that target the broader needs 
and experiences of youth in high-risk situations. The goal of these 
action plans is to concentrate services and interventions so that the 
day-to-day experiences of youth are affected. This requires focusing 
services on limited areas such as specific neighborhoods or groups of 
small community areas.
    The community action plans developed by the coalitions must 
identify a continuum of services in specifically defined socially and 
economically isolated neighborhoods that will meet the developmental 
needs of the youth residing there and foster behaviors which will 
enable youth to function positively both within and outside their 
community. The plan should incorporate existing as well as proposed 
prevention services aimed at 9 to 12 year olds and their families. 
These include, but are not limited to, educational enrichment, 
tutoring, recreational activities, conflict mediation, individual and 
family counseling, cultural enrichment, skills training, employment 
services/job counseling, support groups, mentoring, alcohol and drug 
abuse prevention education and parenting skills.
    The plan should address existing service delivery systems, their 
adequacy, and the manner of involvement of a variety of organizations 
representing the disciplines of education, social services, health and 
mental health, labor and housing in the community. The plan must 
indicate how services will be provided to meet the developmental needs 
of youth within the context of their families, their communities and 
the broader society in a manner that is culturally appropriate both in 
terms of race/ethnicity and family dynamics.
    The coalitions will also be responsible for cooperating with 
research and evaluation activities to be funded and coordinated by 
ACYF. Willingness and commitment to participate in a rigorous 
evaluation of the effectiveness of program services will be a critical 
consideration in the award of the FY 1995 implementation grants.
    Training and technical assistance (T&TA) funded by ACYF will be 
provided to planning grantees. The T&TA will include information on 
action planning, consensus building, and the developmental needs of 
youth and will include training on violence prevention and intervention 
methods.
    These are not service delivery grants. Applications that propose to 
deliver services will not be considered for funding. Agencies receiving 
funds under this priority area shall not use these funds for direct 
service provision to youth or families.
    Successful applicants who perform satisfactorily under the terms of 
this grant may be invited to apply for five-year grants to assist them 
in implementing the action plan they develop. The community action plan 
will become part of an implementation proposal they will develop and 
submit to this agency in response to a future announcement of the 
availability of funds for implementation grants. Subject to the 
availability of funds, approximately 8-15 implementation grants will be 
awarded in Fiscal Year 1995.

Part III. Evaluation Criteria

    The five criteria that follow will be used to review and evaluate 
each application and should be used in developing the program 
narrative. The point values following each criterion heading indicate 
the numerical weight each criterion will be accorded in the review 
process. In the section following the Evaluation Criteria are detailed 
descriptions of the minimum requirements for project design, in terms 
of each criterion. The Program Narrative information provided by the 
applicant in response to the priority area description identified in 
Part II of this announcement should be organized and presented 
according to these five evaluation criteria.
    Criterion 1. Objectives and need for assistance (15 Points). 
Pinpoint any relevant physical, economic, social, financial, 
institutional, or other problems requiring a solution. Demonstrate the 
need for the assistance and state the goals or service objectives of 
the project. Supporting documentation or other testimonies from 
concerned interests other than the applicant may be used. Give a 
precise location of the project site(s) and area(s) to be served by the 
proposed project. Maps or other graphic aids may be attached.
    Criterion 2. Results or benefits expected (20 Points). Identify the 
results and benefits to be derived from the project. Estimate the 
number and characteristics of the youth population this project will 
possibly affect in the future as a result of implementation of the 
community plan and the nature of the changes in services expected. 
Identify the kinds of data to be collected and maintained.
    Criterion 3. Approach (35 Points). Outline a plan of action 
pertaining to the scope of the project and detail how the planning 
coalition's work will be accomplished. Describe any unusual features of 
the project, such as extraordinary social and community involvement. 
Explain the planning methodology that will be used and how the 
objectives listed in Objectives and Need for Assistance will be 
achieved.
    Criterion 4. Staff background and organizational experience (20 
Points). List each organization, consultant, or other key individual(s) 
who will work on the project along with a short description of the 
nature of their effort or contribution. Summarize the background and 
experience of the project director and key project staff and the 
history of the organization(s). Demonstrate the ability to effectively 
manage the project including the ability to lead community planning/
organizing efforts and to coordinate activities with other agencies. 
(Applicants may refer to the staff resumes and to the Organizational 
Capability Statement included in the submission.)
    Criterion 5. Budget appropriateness (10 Points). Demonstrate that 
the project's costs are reasonable in view of the anticipated results 
and benefits. (Applicants may refer (1) to the budget information 
presented in Standard Forms 424 and 424A and in the associated budget 
justification, and (2) to the results or benefits expected as 
identified under Criterion 2.)
    Minimum requirements for project design: As part of addressing the 
evaluation criteria outlined above, each applicant must respond to the 
following items in the program narrative section of their application.

Objectives and Need for Assistance

     Identify the geographic area that the planning effort will 
target. Describe the targeted area, provide data on its general 
population and explain what makes the area an identifiable community or 
neighborhood. The area must have boundaries recognized by the residents 
in the community and be small enough to allow a concentration of 
resources that result in an appreciable difference for the youth in the 
community as a result of the proposed project.
     Describe the developmental needs of youth in the target 
community, the known strategies and services currently in place to 
address these needs and preliminary views of gaps in current plans and 
services.
     Discuss the emerging or current youth gang and violence 
problems and prevalence of other destructive behaviors among youth in 
the target community. Provide data on the number, age, gender, ethnic/
cultural background of youth in the target area, as well as data on 
family characteristics and dynamics, drug-related youth gang activity, 
and other non-constructive and health-compromising activities of 
community youth.
     Describe the goals and objectives of the proposal and how 
the proposal builds upon or differs from previous planning efforts.
     Indicate how this proposal builds upon the existing 
service delivery systems (e.g., health, mental health, child welfare, 
substance abuse) and how it could result in more relevant and/or 
expanded service delivery capabilities in the targeted area.

Results and Benefits

     Describe how this proposal will result in the development 
of a five-year action plan that describes the specific strategies and 
activities that the coalition will undertake to address the 
developmental needs of youth and to prevent or intervene in youth 
violence, especially as it relates to youth at-risk of or involved with 
gang activity and other dangerous outcomes.
     Describe how this effort will expand our knowledge and 
understanding of the critical issues surrounding: (1) Identification of 
models and strategies that will serve to meet the developmental needs 
of youth, (2) the circumstances and factors in the community which 
contribute to socially unproductive and destructive youth behavior and 
which will be affected by this effort, (3) the circumstances and 
factors in the community that contribute to positive youth development, 
(4) youth gang members, their families, and youth at risk of gang 
participation or other violent and health-compromising conduct in the 
community, and (5) how individuals' behaviors affect the overall health 
of the community or neighborhood.
     Estimate the number and characteristics of the youth 
population this project will possibly affect in the future as a result 
of implementation of the community action plan and the nature of the 
change in strategies or services expected.
     Describe how the quality of the targeted community is 
expected to improve because of the project.
     Provide evidence that the planning coalition can and 
intends to generate the financial, programmatic, policy and other types 
of support and commitments that will be required to implement the 
action plan once it is developed.
     Provide evidence that the planning coalition can secure 
the support and participation of youth, families, and community members 
in this effort.

Approach

     Describe a process for conducting an in-depth needs 
assessment of the target community following grant award.
     Describe what makes the proposal innovative.
     Describe the planning process to be used, including 
methodology, timelines and task charts as well as a discussion of why 
this methodology was chosen as most appropriate for the youth and 
families in the targeted community.
     Indicate how the planning effort will be documented as it 
unfolds so as to communicate information on successes and lessons 
learned for dissemination to and use in other communities.
     Describe planning activities which may involve locally 
sponsored forums or hearings to gather citizen and youth input and 
reaction, data collection and analysis regarding the extent of youth 
violence, community assessments of community needs and available 
resources, and development of strategies to access foundation, local, 
State and Federal resources.
     Describe the applicant's ability to coordinate with other 
Federally-funded programs which are State or locally administered. The 
applicant should specifically address the proposed inter-relationship 
between this effort and Family Support and Family Preservation State 
Planning Councils, National Service Projects, Empowerment Zones and 
Enterprise Communities, where applicable.
     In addition to the agencies mentioned above, identify and 
describe the proposed role of additional groups or organizations within 
the community such as neighborhood associations, churches, youth 
groups, local civic organizations, local businesses and community-based 
nonprofit organizations, as well as local, county or State units of 
government that might also be invited to participate as coalition 
members. Identify strategies for encouraging them to actively 
participate.
     Describe the applicant's ability to provide leadership and 
facilitate coordination and cooperation among local education, juvenile 
justice, law enforcement, employment and social services agencies; drug 
abuse referral, treatment and rehabilitation programs; mental health 
and other health care providers for the purposes of producing a plan 
which attempts to meet the developmental needs of youth; helping youth 
develop productive and healthy lifestyles; and preventing or reducing 
the participation of youth in the illegal and violent activities of 
gangs.
     Describe in detail how the applicant will achieve each of 
the goals and objectives listed above in Objectives and Need for 
Assistance.
     Provide: (1) An assurance that the applicant will 
cooperate with any data collection, research or evaluation efforts 
independently funded and sponsored by the Administration for Children 
and Families and (2) a commitment to participate in a rigorous 
evaluation of the effectiveness of proposed program services should the 
applicant be chosen for an implementation grant in FY 1995.
     Provide assurance that the applicant will cooperate with, 
and participate in the activities of, training and technical assistance 
providers sponsored by the Administration for Children and Families.

Staff Background and Organizational Experience

     Identify skills and experience criteria, as well as a 
recruitment strategy, that will be used for hiring the project director 
and other key staff.
     Demonstrate that the project director and/or other key 
staff have the knowledge and experience needed to participate in and 
collaborate with a third-party evaluator.
     Provide information on the proposed project director and 
other key staff regarding skills and experience in community planning/
organizing efforts and knowledge of youth and family issues or 
programs.
     Demonstrate the applicant agency's ability to work 
effectively with the community and to organize and coordinate a 
community-wide planning effort.
     Include letters of endorsement and/or commitment that show 
evidence of broad youth, family and community support in the geographic 
area to be served by the plan, specifying any type of direct 
involvement that organizations or individuals will have with the 
planning process and indicating the level of effort committed to the 
project.

Budget Appropriateness

     Discuss and justify the costs of the proposed project in 
terms of the size of and conditions in the target area that the plan 
will affect.
     Describe the fiscal control and accounting procedures that 
will be used to ensure prudent use, proper disbursement and accurate 
accounting of funds received under this program announcement.
     Include in the proposed budget a four-day trip to 
Washington, DC, for the project director and four other key staff 
persons to attend a grant implementation training session. For planning 
purposes the training session will be held during the first quarter of 
the grant project period (October 1-December 31, 1994). The applicant 
should plan for covering travel and per diem expenses; lodging will be 
prepaid by ACYF's contractor.
     Include in the proposed budget funds for travel to a 
Family and Youth Services Bureau-sponsored national conference in the 
Washington, DC, area during the second quarter of Fiscal Year 1995 
(January-March 1995). At a minimum, the project director must attend 
this three-day conference. All applicants must include in their budgets 
funds for this conference.
    Duration of project: This announcement solicits applications for 
one-year planning projects. Grant awards, made on a competitive basis, 
will be for a one-year (12-month) budget period. Grantees who perform 
satisfactorily will be eligible to compete for five-year implementation 
grants contingent upon the availability of funds.
    Maximum Federal share and grantee share of the project: The maximum 
Federal share of project costs is $100,000 for 12 months. The applicant 
share of project costs is 25 percent of total project costs. For 
example, a project requesting $100,000 in Federal funds must include a 
match of at least $33,333 (25 percent of a total project cost of 
$133,333).
    The non-Federal share may be met by cash or in-kind contributions. 
Federal funds provided to States and services or other resources 
purchased with Federal funds may not be used to match project grants. 
Applicants which do not provide the required percentage of non-Federal 
share will not be funded.

Part IV. Application Process

A. Application Requirements

    To be considered for a Youth Gang Drug Prevention grant, each 
application must be submitted on the forms provided at the end of this 
announcement (see Part VI, Appendix B of this announcement) and in 
accordance with the guidance provided herein. The application must be 
signed by an individual authorized both to act for the applicant agency 
and to assume responsibility for the obligations imposed by the terms 
and conditions of the grant award.
    All applicants must indicate in their applications their 
willingness to fully cooperate in any data collection, research and/or 
evaluation efforts mandated by ACF.
    If more than one agency is involved in submitting a single 
application, one entity must be identified as the applicant 
organization which will have legal responsibility for the grant.

B. Paperwork Reduction Act of 1980

    Under the Paperwork Reduction Act of 1980, Pub.L. 96-511, as 
amended, the Department is required to submit to the Office of 
Management and Budget (OMB) for review and approval any reporting and 
record-keeping requirements in regulations, including program 
announcements. This program announcement does not contain information 
collection requirements beyond those approved for ACF grant 
applications by OMB.

C. Notification Under Executive Order 12372

    This program is covered under Executive Order (E.O.) 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 E.O., States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Connecticut, 
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska, 
Oklahoma, Oregon, Pennsylvania, Virginia, Washington, American Samoa 
and Palau have elected to participate in the Executive Order process 
and have established Single Points of Contact (SPOCs). Applicants from 
these 17 jurisdictions need take no action regarding E.O. 12372. 
Applications for projects to be administered by Federally-recognized 
Indian Tribes are also exempt from the requirements of E.O. 12372. 
Otherwise, applicants must contact their SPOCs as soon as possible to 
alert them to the prospective applications and receive any necessary 
instructions. Applicants must submit any required material to the SPOCs 
as early 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 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 date to comment on proposed new or competing continuation 
awards.
    The 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 they intend to 
trigger the accommodate or explain rule.
    When comments are submitted directly to ACF, they must be addressed 
to: Youth Gang Drug Prevention Program, Department of Health and Human 
Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
    A list of the Single Points of Contact for each State and Territory 
is included as Part VI, Appendix A of this announcement.

D. Availability of Forms and Other Materials

    A copy of the forms required to be submitted as part of each 
application for a youth gang drug prevention grant, and instructions 
for completing the application, are provided in Part VI, Appendix B. 
Addresses of the State Single Points of Contact (SPOCs) to which 
applicants must submit review copies of their proposals are listed in 
Part VI, Appendix A.

E. Application Consideration

    All applications which are complete and conform to the requirements 
of this program announcement will be subject to a competitive review 
and evaluation process against the specific criteria and the Minimum 
Requirements for Project Design contained in Part III of this 
announcement. This review will be conducted in Washington, DC, by teams 
of experts knowledgeable in the areas of youth development and family 
support, youth gang prevention programs and other youth service 
programs. Applications for grants will be reviewed as a part of a 
national competition.
    The experts will review the applications based on the Evaluation 
Criteria and the specific Minimum Requirements for Project Design 
contained in Part III of this announcement and will assign a score to 
each application. The results of the competitive review will be 
analyzed by Federal staff who will select those applications to be 
recommended for funding to the Commissioner, ACYF.
    The Commissioner will make the final selection of the applicants to 
be funded. As required by the Anti-Drug Abuse Act of 1988, priority for 
funding under the Youth Gang Drug Prevention Program will be given to 
applicants who propose to carry out projects and activities (1) in 
geographical areas in which frequent and severe drug-related crimes are 
committed by gangs whose membership is composed primarily of youth, and 
(2) that the applicant demonstrates broad support of community-based 
organizations in such geographical areas.
    In addition to scores assigned by non-Federal reviewers, 
consideration also will be given to adequate geographic distribution of 
projects and the Commissioner may show preference for applications 
proposing projects in areas that would not otherwise be served. The 
Commissioner also may elect to consider an applicant's past performance 
in providing services to at-risk youth and also may elect not to fund 
any applicants having known management, fiscal or other problems which 
make it unlikely that they would be able to perform effectively.
    Grant awards will be made by September 30, 1994. Successful 
applicants will be notified through the issuance of a Financial 
Assistance Award which will set forth the amount of funds granted, the 
terms and conditions of the grant, the effective date of the grant, the 
budget period for which support will be given, the non-Federal share to 
be provided, and the total project period for which support is 
contemplated.
    Organizations whose applications will not be funded will be 
notified of that decision in writing by the Commissioner of the 
Administration on Children, Youth and Families. Every effort will be 
made to notify all unsuccessful applicants as soon as possible after 
final decisions are made.

Part V. Application Assembly and Submission

    A. Contents of application. Each application must contain the 
following items in the order listed:
    1. Application for Federal Assistance (Standard Form 424, REV 4-88) 
(page i).
    2. Budget Information (Standard Form 424A, REV 4-88) (pages ii-
iii).
    3. Budget Justification (Typed on standard size plain white paper) 
(pages iv-v).
    4. Assurances--Non-Construction Programs (Standard Form 424B, REV 
4-88) (pages vi-vii).
    5. Certification Regarding Lobbying (page viii).
    6. Project Summary Description (page ix).
    7. Program Narrative Statement (pages 1 and following; 30 pages 
maximum, double-spaced, at least half-inch margins).

    Special Note: Applicants are strongly encouraged to limit the 
program narrative statement portion of the application to 30 double-
spaced pages. Pages exceeding this limit will be discarded and not 
reviewed by panel.

    8. Organizational Capability Statement (pages OC-1 and following; 3 
pages maximum).
    9. Supporting Documents (pages SD-1 and following; 10 pages 
maximum, exclusive of letters of support or agreement).

B. Instructions for Preparing Application Components

    Standard Forms 424 and 424A: Follow the instructions in Part VI, 
Appendix B. In Item 8 of Form 424, check New. In Item 10 of the 424, 
clearly identify the Catalog of Federal Domestic Assistance Program 
Number and Title for the program for which funds are being requested 
(93.660, Youth Gang Drug Prevention Program).
    Budget justification: Provide breakdowns for major budget 
categories and justify significant costs. List amounts and sources of 
all funds, both Federal and non-Federal, that will be used for this 
project.
    Standard Form 424B, Certification Regarding Drug-Free Workplace, 
Certification Regarding Debarment, and Certification Regarding 
Lobbying: Of these forms, only the Standard Form 424B and the 
Certification Regarding Lobbying need to be signed and returned with 
the application. By signing and submitting its application, the 
applicant is certifying its compliance with the requirements set forth 
in the attached Drug-Free Workplace and Debarment certification 
notices.
    Project summary description: Clearly mark this separate page with 
the applicant name as shown in item 5 of the SF 424 and the title of 
the project as shown in item 11 of the SF 424. The summary description 
should not exceed 1,200 characters, including words, spaces and 
punctuation. These 1,200 characters become part of the computer 
database on each project.
    Care should be taken to produce a summary description which 
accurately and concisely reflects the proposal. It should describe the 
objectives of the project, the approaches to be used and the outcomes 
expected. The description should also include a list of major products 
(such as plans, training materials, manuals, etc.) that will result 
from the proposed project. The project summary description, together 
with the information on the SF 424, will constitute the project 
abstract. It is the major source of information about the proposed 
project and is usually the first part of the application that the 
reviewers read in evaluating the application.
    Program Narrative Statement: Use the Evaluation Criteria in Part 
III as a way to organize the Narrative. Be sure to address all the 
specifics contained in the Minimum Requirements for Project Design. The 
narrative section is limited to 30 typed pages, double spaced, printed 
only on one side, with at least \1/2\ inch margins. Pages over the 30-
page limit will be discarded and not reviewed by the panel. Past 
attempts by applicants to exceed page limits or to circumvent space 
limitations by using very small print have resulted in negative 
responses from reviewers. It is, therefore, in the best interest of 
applicants to ensure that the narrative statement is easy to read, 
logically developed in accordance with the preceding evaluation 
criteria and minimum requirements and adheres to page limitations.
    Organizational Capability Statement: Applicants must provide a 
description (no more than three pages, double-spaced) of how the 
applicant agency is organized; its expertise in the area of youth 
development and/or violence prevention; its ability to bring together a 
broad coalition of agencies and organizations; and the planning and 
management capabilities it possesses. Provide an organizational chart 
showing the relationship of this project to the current organization. 
If the agency is a recipient of funds from the Administration on 
Children, Youth and Families for programs other than that applied for 
in this application, identify those programs and explain the extent to 
which they might be involved in this project.
    Supporting Documentation: The maximum for supporting documentation 
is 10 pages, double spaced, exclusive of letters of support or 
agreement. These documents might include resumes, newspaper clippings, 
and evidence of the program's efforts to coordinate youth services at 
the local level. Documentation over the ten page limit will not be 
reviewed. Applicants may include as many letters of support or 
agreement as are appropriate.

C. Application Submission

    To be considered for a grant, each applicant must submit one signed 
original and two additional copies of the grant application, including 
all attachments, to the application receipt point specified below. The 
original copy of the application must have original signatures, signed 
in black ink. Each copy must be stapled (back and front) in the upper 
left corner. All copies of a single application must be submitted in a 
single package.
    Because each application will be duplicated by the government, do 
not use or include separate covers, binders, clips, tabs, plastic 
inserts, maps, brochures or any other items that cannot be processed 
easily on a photocopy machine with an automatic feed. Do not bind, 
clip, fasten or in any way separate subsections of the application, 
including supporting documentation.
1. Closing Date for the Receipt of Applications
    The closing date for submission of applications for the grant 
program contained in this announcement is July 8, 1994. Applications 
may be mailed to the Department of Health and Human Services, 
Administration for Children and Families, Division of Discretionary 
Grants, 370 L'Enfant Promenade, SW, 6th Floor East, OFM/DDG, 
Washington, DC 20447.
    Hand delivered applications are accepted during the normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the 
established closing date at: Administration for Children and Families, 
Division of Discretionary Grants, 370 L'Enfant Promenade, SW, 6th 
Floor, OFM/DDG, 901 D Street, SW, Washington, DC 20447.
    Envelopes containing applications must clearly indicate the 
specific program that the application is addressing: Youth Gang Drug 
Prevention Program.
2. Deadline for Submission of applications
    a. Deadline. Applications will be considered as meeting the 
deadline if they are either:
    i. Received on or before the deadline date at the above address, or
    ii. Sent on or before the deadline date and received by the 
granting agency in time for the independent review under DHHS GAM 1-62. 
(Applicants are cautioned to request a legibly dated U.S. Postal 
Service postmark or to obtain a legibly dated receipt from a commercial 
carrier or the U.S. Postal Service as proof of timely mailing. Private 
metered postmarks are not acceptable as proof of timely mailing.)
    b. Late applications. Applications which do not meet the criteria 
stated above are considered late applications. The Administration for 
Children and Families (ACF) will notify each late applicant that its 
application will not be considered in the current competition.
    c. Extension of deadline. The granting agency may extend the 
deadline for all applicants because of acts of God such as earthquakes, 
floods or hurricanes, etc., or when there is a widespread disruption of 
the mails. However, if ACF does not extend the deadline for all 
applicants, it may not waive or extend the deadline for any applicants.
3. Checklist for a Complete Application
____ One original application signed in black ink and dated plus two 
copies;
____ A completed SPOC certification with the date of SPOC contact 
entered in item 16 on page 1 of SF 424, if applicable;
____ SF 424 (The original application must have the word ORIGINAL hand 
printed in bold block letters at the top margin of its SF 424);
____ SF 424A;
____ Budget Justification;
____ SF 424B;
____ Certification Regarding Lobbying;
____ Project Summary Description;
____ Program Narrative Statement (maximum of 30 double-spaced pages);
____ Organizational Capability Statement (maximum of three pages 
double-spaced); and
____ Supporting Documents (maximum of 10 pages double-spaced).

(Catalog of Federal Domestic Assistance Number 93.660, Youth Gang 
Drug Prevention Program)

    Dated: April 21, 1994.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.

Appendix A--Executive Order 12372--State Single Points of Contact

Arizona

Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central 
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315

Arkansas

Tracie L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and 
Administration, PO Box 3278, Little Rock, Arkansas 72203, Telephone 
(501) 682-1074

California

Glenn Stober, Grants Coordinator, Office of Planning and Research, 
1400 Tenth Street, Sacramento, California 95814, Telephone (916) 
323-7480

Colorado

State Single Point of Contact, State Clearinghouse, Division of 
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado 
80203, Telephone (303) 866-2156

Delaware

Ms. Francine Booth, State Single Point of Contact, Executive 
Department, Thomas Collins Building, Dover, Delaware 19903, 
Telephone (302) 736-3326

District of Columbia

Rodney T. Hallman, State Single Point of Contact, Office of Grants 
Management and Development, 717 14th Street NW, Suite 500, 
Washington DC 20005, Telephone (202) 727-6551

Florida

Florida State Clearinghouse, Intergovernmental Affairs Policy Unit, 
Executive Office of the Governor, Office of Planning and Budgeting, 
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441

Georgia

Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 
254 Washington Street SW., Atlanta, Georgia 30334, Telephone (404) 
656-3855

Illinois

Steve Klokkenga, State Single Point of Contact, Office of the 
Governor, 107 Stratton Building, Springfield, Illinois 62706, 
Telephone (217) 782-1671

Indiana

Jean S. Blackwell, Budget Director, State Budget Agency, 212 State 
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610

Iowa

Mr. Steven R. McCann, Division of Community Progress, Iowa 
Department of Economic Development, 200 East Grand Avenue, Des 
Moines, Iowa 50309, Telephone (515) 281-3725

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local 
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601, 
Telephone (502) 564-2382

Maine

Ms. Joyce Benson, State Planning Office, State House Station #38, 
Augusta, Maine 04333, Telephone (207) 289-3261

Maryland

Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of 
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490

Massachusetts

Karen Arone, State Clearinghouse, Executive Office of Communities 
and Development, 100 Cambridge Street, Room 1803, Boston, 
Massachusetts 02202, Telephone (617) 727-7001

Michigan

Richard S. Pastula, Director, Michigan Department of Commerce, 
Lansing, Michigan 48909, Telephone (517) 373-7356

Mississippi

Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant 
Management and Reporting, 301 West Pearl Street, Jackson, 
Mississippi 39203, Telephone (601) 960-2174

Missouri

Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson 
City, Missouri 65102, Telephone (314) 751-4834

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron 
Sparks, Clearinghouse Coordinator

New Hampshire

Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State 
Planning, Attn: Intergovernmental Review, Process/James E. Bieber, 
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603) 
271-2155

New Jersey

Gregory W. Adkins, Acting Director, Division of Community Resources, 
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613.

    Please direct correspondence and questions to: Andrew J. 
Jaskolka, State Review Process, Division of Community Resources, CN 
814, Room 609, Trenton, New Jersey 08625-0803, Telephone (609) 292-
9025.

New Mexico

George Elliott, Deputy Director, State Budget Division, Room 190, 
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone 
(505) 827-3640, FAX (505) 827-3006

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone (518) 474-1605

North Carolina

Mrs. Chrys Baggett, Director, Office of the Secretary of Admin., 
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North 
Carolina 27603-8003, Telephone (919) 733-7232

North Dakota

N.D. Single Point of Contact, Office of Intergovernmental 
Assistance, Office of Management and Budget, 600 East Boulevard 
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094

Ohio

Larry Weaver, State Single Point of Contact, State/Federal Funds 
Coordinator, State Clearinghouse, Office of Budget and Management, 
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411, 
Telephone (614) 466-0698

Rhode Island

Mr. Daniel W. Varin, Associate Director, Statewide Planning Program, 
Department of Administration, Division of Planning, 265 Melrose 
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656, 
Please direct correspondence and questions to: Review Coordinator, 
Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia, 
South Carolina 29201, Telephone (803) 734-0494

South Dakota

Ms. Susan Comer, State Clearinghouse Coordinator, Office of the 
Governor, 500 East Capitol, Pierre, South Dakota 57501, Telephone 
(605) 773-3212

Tennessee

Mr. Charles Brown, State Single Point of Contact, State Planning 
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville, 
Tennessee 37219, Telephone (615) 741-1676

Texas

Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box 
12428, Austin, Texas 78711, Telephone (512) 463-1778

Utah

Utah State Clearinghouse, Office of Planning and Budget, Attn: 
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114, 
Telephone (801) 538-1535

Vermont

Mr. Bernard D. Johnson, Assistant Director, Office of Policy 
Research & Coordination, Pavilion Office Building, 109 State Street, 
Montpelier, Vermont 05602, Telephone (802) 828-3326

West Virginia

Mr. Fred Cutlip, Director, Community Development Division, West 
Virginia Development Office, Building #6, Room 553, Charleston, West 
Virginia 25305, Telephone (304) 348-4010

Wisconsin

Mr. William C. Carey, Federal/State Relations, Wisconsin Department 
of Administration, 101 South Webster Street, P.O. Box 7864, Madison, 
Wisconsin 53707, Telephone (608) 266-0267

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building, 
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574

Guam

Mr. Michael J. Reidy, Director, Bureau of Budget and Management 
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910, 
Telephone (671) 472-2285

Northern Mariana Islands

State Single Point of Contact, Planning and Budget Office, Office of 
the Governor, Saipan, CM, Northern Mariana Islands 96950

Puerto Rico

Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning 
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto 
Rico 00940-9985, Telephone (809) 727-4444

Virgin Islands

Jose L. George, Director, Office of Management and Budget, #41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802, Please direct correspondence to: Linda Clarke, 
Telephone (809) 774-0750.

BILLING CODE 4184-01-P

TN09MY94.011


BILLING CODE 4184-01-C

Instructions for the SF 424

    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 is 
applicable) & 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 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-P

TN09MY94.012


TN09MY94.013


BILLING CODE 4184-01-C

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 Columns (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 
Column (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.
    Lines 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 of 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.

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.

Assurances--Non-Construction Programs

    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 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 award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will established 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.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. 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 nineteen 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).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. 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) Sections 523 and 527 of the Public Health Service Act of 
1912 (42 U.S.C. 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. 3601 
et seq.), as amended, relating to non-discrimination in the sale, 
rental or financing of housing;
    (i) Any other nondiscrimination provisions in the specific 
statue(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.
    7. 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 or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 U.S.C. 
Secs. 1501-1508 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
    9. 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. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (Pub. 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.
    11. 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 (Pub. 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. 1451 et seq.); (f) conformity of Federal actions 
to State (Clear Air) Implementation Plans under Section 176(c) of 
the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 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).
    12. 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 for the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.)
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. 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.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of authorized certifying official
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Title
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Applicant organization
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Date submitted
BILLING CODE 4184-01-P

TN09MY94.014


TN09MY94.015


BILLING CODE 4184-01-C

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

    By signing and submitting this proposal, the applicant, defined as 
the primary participant in accordance with 45 CFR Part 76, certifies to 
the best of its knowledge and believe that it and its principals:
    (a) Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, or voluntarily excluded from covered transactions 
by any Federal Department or agency;
    (b) Have not within a 3-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 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 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or local) 
terminated for cause or default.
    The inability of a person to provide the certification required 
above will not necessarily result in denial of participation in this 
covered transaction. If necessary, the prospective participant shall 
submit an explanation of why it cannot provide the certification. The 
certification or explanation will be considered in connection with the 
Department of Health and Human Services (HHS) 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.
    The prospective primary participant agrees that by submitting this 
proposal, it will include the clause entitled ``Certification Regarding 
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower 
Tier Covered Transaction. ``provided below without modification in all 
lower tier covered transactions and in all solicitations for lower tier 
covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions (To Be Supplied to 
Lower Tier Participants)

    By signing and submitting this lower tier proposal, the prospective 
lower tier participant, as defined in 45 CFR Part 76, 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 from participation in this 
transaction by any federal department or agency.
    (b) Where the prospective lower tier participant is unable to 
certify to any of the above, such prospective participant shall attach 
an explanation to this proposal.
    The prospective lower tier participant further agrees by submitting 
this proposal that it will include this clause entitled ``Certification 
Regarding Debarment, Suspension, Ineligibility, and Voluntary 
Exclusion--Lower Tier Covered Transactions. ``without modification in 
all lower tier covered transactions and in all solicitations for lower 
tier covered transactions.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, 
by or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of any agency, a member 
of Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with the awarding of any Federal 
contract, the making of any Federal grant, the making of any Federal 
loan, the entering into of any cooperative agreement, and the 
extension, continuation, renewal, amendment, or modification of any 
Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with this Federal contract, grant, loan or 
cooperative agreement, the undersigned shall complete and submit 
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is an material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form-LLL ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

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Signature
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Title
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Organization
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Date

BILLING CODE 4184-01-P

TN09MY94.016


[FR Doc. 94-10647 Filed 5-6-94; 8:45 am]
BILLING CODE 4184-01-C