[Federal Register Volume 60, Number 10 (Tuesday, January 17, 1995)]
[Notices]
[Pages 3416-3433]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-831]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families; Office of Refugee 
Resettlement


Availability of Discretionary Grants To Promote Increased 
Placement of Newly Arrived Refugees* in Preferred Communities, To 
Respond to Unanticipated Arrivals or Significant Increases in Arrivals 
of Refugees to Communities Where Adequate or Appropriate Services Do 
Not Exist, or To Strengthen the Role of Ethnic Community National or 
Multi-State Organizations To Promote Economic Independence Among 
Refugees of Those Ethnic Groups

    *In addition to persons who meet all requirements of 45 CFR, 
400.43, eligibility for refugee social services also includes: (1) 
Cuban and Haitian entrants, under section 501 of the Refugee 
Education Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain 
Amerasians from Vietnam who are admitted to the U.S. as immigrants 
under section 584 of the Foreign Operations, Export Financing, and 
Related Programs Appropriations Act, 1988, as included in the FY 
1988 Continuing Resolution (Pub. L. No. 100-202); and (3) certain 
Amerasians from Vietnam, including U.S. citizens, under title II of 
the Foreign Operations, Export Financing, and Related Programs 
Appropriations Act, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No. 
101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term 
``refugee'' is used in this notice to encompass all such eligible 
persons unless the specific context indicates otherwise.
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AGENCY: Office of Refugee Resettlement (ORR), ACF, DHHS.

SUMMARY: This is a standing announcement for a two-year period from 
date of application. It makes slight modifications to the Categories I 
and II grant programs published in the Federal Register on May 18, 1994 
(59 FR 25929) and reinstates as Category III herein, a grant program 
initially published in the Federal Register on July 8, 1991 (56 FR 
30968). This announcement supersedes all prior announcements. The three 
categories are as follows:
    Category 1--Preferred Communities: To promote increased placement 
of arriving refugees in ``Preferred Communities'' where refugees have 
the best opportunities to achieve early employment and sustain economic 
independence without public assistance. Preferred communities should 
have a history of low welfare utilization by newly arriving refugees. 
In addition, refugees should have a favorable earned income potential 
relative to the cost of living and to [[Page 3417]] public assistance 
benefits in such communities. Quality of life and sociocultural 
adjustment factors will also be considered. Concurrently, ORR seeks to 
decrease placements in communities where there has been a history of 
extended welfare use. Awards in this category will be made as 
Cooperative Agreements.
    Category 2--Unanticipated Arrivals or Significant Increases in 
Arrivals of Refugees to Communities where Adequate or Appropriate 
Services do not Exist: To provide services to significant numbers of 
refugee arrivals, who were previously unanticipated, in communities 
that are unable to provide appropriate services. Such communities must 
demonstrate a specific need for supplementation of available resources 
for such populations. The arrivals may be new populations to the U.S. 
or merely new to the location requesting additional resources. 
Alternatively, the arrivals may be a significant and unanticipated 
number of an already existing ethnic group in the community. Awards in 
this category will be grants and not Cooperative Agreements.
    Category 3--Support for Ethnic Community Organizations: To 
strengthen the role of ethnic community-based national organizations 
and acknowledged ethnic leadership of refugee communities. ORR's goal 
is to help maintain a national network of ethnic community-based 
organizations as a vehicle for communities to organize their collective 
resources to promote refugee community building, to provide leadership 
in domestic refugee resettlement issues, to provide representation of 
the communities, and to serve as partners with ORR in developing 
strategies to articulate and address the needs of the communities.
    Projects and services allowed under this announcement are described 
in Sections I, II, and III below. The application must state 
specifically for which of the three types of projects the application 
is being submitted.
    Awards for Preferred Communities will be for one-year budget 
periods, although project periods may be for up to three years.
    Applications for continuation grants to extend activities funded 
beyond the one-year budget period will be entertained in subsequent 
years on a noncompetitive basis, subject to availability of funds, 
timely and successful completion of activities during the budget 
period, and ACF's determination that such continuations would be in the 
best interest of the Government.
    Awards for Unanticipated Arrivals will be for a single 17-month 
budget period. Applicants should view these resources as a temporary 
solution to an emergency created by unanticipated arrivals. ORR expects 
that by the end of one project period, States will have incorporated 
services for these particular refugees into their refugee services 
network, which is funded by formula social service dollars.
    Project periods for Ethnic Community Organizations will be for two 
years. Applications for continuation grants to extend activities beyond 
the first year budget period will be entertained for a second year of 
funding on a noncompetitive basis, subject to availability of funds, 
timely and successful completion of activities during the budget 
period, and ACF's determination that such continuations would be in the 
best interest of the Government.

AVAILABLE FUNDS: In FY 1995, ORR expects to make individual grant 
awards in amounts ranging from $20,000 to $150,000. Amounts in 
subsequent years will depend upon the availability of funding, need, 
and the best interests of the Government. Approximately $400,000 will 
be available for awards for Preferred Communities, $200,000 for 
Unanticipated Arrivals, and $500,000 for Ethnic Community 
Organizations.
    The Director reserves the right to award more or less than the 
funds described above depending upon the quality of the applications or 
such other circumstances as may be deemed to be in the best interest of 
the Government.

AUTHORIZATION: Authority for this activity is contained in Section 
412(c)(1)(A) of the Immigration and Nationality Act, which authorizes 
the Director ``to make grants to, and enter into contracts with, public 
or private nonprofit agencies for projects specifically designed-- * * 
* (iii) to provide where specific needs have been shown and recognized 
by the Director, health (including mental health) services, social 
services, educational, and other services.'' In addition, section 
412(a)(1)(B)-(C) gives the Director the responsibility to promote/
encourage refugee resettlement in communities where the prospects for 
early self-sufficiency are good and the history of welfare utilization 
is low.

APPLICATION SUBMISSION: Forms and instructions for submitting an 
application may be obtained by contacting the Office of Refugee 
Resettlement at the address below. Applications which fail to stipulate 
the category for which funding is being sought will not be considered 
for funding.
    An original and two copies of all applications should be submitted 
to: Administration for Children and Families, Division of Discretionary 
Grants, 370 L'Enfant Promenade SW., Sixth Floor, Washington, DC 20447.

STANDING ANNOUNCEMENT: This is a standing announcement, effective until 
canceled or modified by the Director of the Office of Refugee 
Resettlement. As stated in the March 18, 1994 announcement cited above, 
the Director will observe closing dates for applications in Categories 
I and II of March 15, July 15, and November 15 of each year. There will 
be a single annual closing date, March 1, for Category III 
applications. Applicants should specify the category in which they are 
submitting an application.

FOR FURTHER INFORMATION CONTACT:
    Preferred Communities: Ms. Marta Brenden.
    Unanticipated Arrivals: Ms. Judith May.
    Ethnic Community Organizations: Ms. Anna Mary Portz, Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW., Washington, D.C. 
20447, Telephone: Ms. Brenden (202) 205-3589, Ms. May (202) 205-3586, 
Ms. Portz (202) 401-1196.

I. Category 1: Preferred Communities

A. Purpose and Scope

    Through this notice, successful applicants will receive funds to be 
applied toward the costs associated with resettling refugees in 
preferred communities and reducing the numbers of refugees placed in 
high impact sites. To be considered under the announcement, a proposed 
preferred community would need to receive a minimum of 100 refugees 
annually.
    Preferred Community sites refer to those localities where refugees 
have the best opportunities to achieve early employment and sustain 
economic independence without public assistance. Preferred communities 
should have a history of low welfare utilization by newly arriving 
refugees. In addition, refugees should have a favorable earned income 
potential relative to the cost of living and to public assistance 
benefits in such communities. These communities should also have a 
moderate cost of living, good employment opportunities in a strong 
entry level labor market, affordable housing, low out-migration rates 
for refugees, religious facilities--if important to the refugees--local 
community support, receptive school environments, and related community 
[[Page 3418]] features which contribute to a favorable quality of life 
for arriving refugees.
    ORR suggests that applicants will want to consider refugees for 
preferred community sites who have the following characteristics:
    a. Free cases: Those refugees who are determined in the allocation 
process to be ``free cases,'' which means they are unrelated to persons 
already living in high-impact communities.
    b. New refugee populations: Those refugees from populations 
recently determined to be refugees who have no/few existing communities 
within the impacted areas of the United States.
    c. Other refugees: The applicant may identify refugees who would 
accept the opportunity for resettlement in (diversion to) the preferred 
community: e.g., refugees who would otherwise be resettled under the 
rubric of ``family reunification'', but in fact are distant relatives 
and friends. These refugees may voluntarily elect placement in the 
designated sites.

B. Preferred Community Site Selection

    ORR recognizes that extensive planning has to occur in order to 
increase placements to preferred communities while concurrently 
reducing placements in impacted sites. Thus, under the Cooperative 
Agreement it will be incumbent upon ORR and the grantee to assure that 
planning and coordination occur locally and nationally. This means that 
the grantee and its local sites will plan and coordinate with ORR, 
Department of State and other voluntary agencies where their local 
affiliates place refugees in the same sites, and with State governments 
for both site selection and the program strategies to be developed.
    The application must be submitted with the sites selected. The 
application shall include a description of the site, the rationale for 
selection, the planning process and coordination activities that 
occurred prior to selection. Site selection after application approval 
will require ORR concurrence under the terms of the Cooperative 
Agreement.
    The site selected may be one that has had successful refugee 
placements and may have capacity for additional successful placements. 
Or the site may be one where refugees have not previously been placed, 
but which has all the elements of a successful refugee resettlement 
community, listed in section E. 2, below.
    To resettle refugees successfully, the community must have adequate 
social services. ORR formula social services funding is awarded 
proportionate to the number of new arrivals in the previous three 
years. This announcement recognizes that increasing resettlement in 
specific sites will not be reflected fully in the ORR formula social 
services awards until three years after the placements. For this 
reason, services that would otherwise be provided through the State 
formula social services allocations may be included in the applications 
to this announcement. Planning to assure an orderly transition and 
complement of services must be done in concert with the State. The 
applicant shall describe and document this coordination and planning.

C. Eligible Applicants

    Eligible Applicants are public and private non-profit agencies 
which currently resettle newly arriving refugees under a Reception and 
Placement Grant with the Department of State or with the Department of 
Justice. This announcement is restricted to these agencies, because 
placements of new arrivals are implemented under the terms of these 
grants and no other agencies place new arrivals or participate in 
determining the sites where they will be placed. Applications shall 
include documentation that the applicant is a recipient of a Reception 
and Placement Grant. Applications lacking this documentation will not 
be considered.

D. Allowable Activities

    ORR will accept applications under this announcement for the costs 
incurred in diverting new refugee placements from one area, for 
increasing placements in preferred communities, for services needed for 
the increased placements in the preferred communities, for the planning 
and coordination processes, and for the national and local program 
management costs associated with these activities.

E. Application Content

    In preparing the application, the applicant must include the 
following:
    1. Description of the proposed program. Include the rationale for 
how the program will meet the goals of this Notice: the increased 
placement of refugees in preferred communities and the diversion of 
refugees from communities with histories of extended use of welfare. 
Description should include anticipated improved resettlement 
opportunities; the employment services available in the new location 
including those to be funded under this grant, if awarded; and the cost 
implications in both the impacted and preferred sites for the 
population shifts in local resettlement services.
    2. A description of sites from which placements will be diverted 
and the rationale. A list of the designated and potential sites and the 
rationale for each site with respect to the following criteria:

--Local community support: Show by letters, financial and in-kind 
donations, news clippings, etc. that the community supports the 
placement of these refugees in their area;
--State consultation: Provide documentation, e.g. copies of letters; 
notes of planning/coordination meetings;
--Evidence of availability of entry level and other appropriate 
employment opportunities: e.g., Letters from employers who have 
refugees working for them and would hire more;
--History of low out-migration rates for proposed sites (show 
documentation for the last two years);
--Moderate cost of living: Needs and payments standards from AFDC 
programs from the state, statements of volag affiliates, statements 
from refugees;
--Low welfare grant level relative to earnings potential;
--Qualified staff: give job description and show how they will be 
linguistically and culturally appropriate to the prospective 
refugee(s);
--Affordable housing: provide average rental costs for apartments of 
specified number of bedrooms and describe access to and distance from 
services and potential employment.

    3. A description of the caseload(s) (free cases, ethnicity, new or 
existing ethnic group, etc.) to be served, what interventions will be 
used to promote stability of placements, proposed numbers, proposed 
placement schedule, back-up strategy should the proposed placement 
schedule fail.
    4. Budget, including line items and a narrative justification for 
each line. Clearly state the costs for national and local planning and 
project coordination. Discuss relationship between costs proposed for 
this grant and costs, e.g., for services, which will be covered by 
existing refugee or mainstream funding and which will be covered by 
this grant.
    5. A description of the national and local planning process, of 
coalitions formed to support the new placements, and the consultative 
process used to support the implementation. If several local agencies 
are planning a coordinated project, e.g., placing refugees from the 
same ethnic groups in the same designated sites, describe the 
coordination of these plans. Include [[Page 3419]] discussion of 
anticipated outcomes of the placement strategy for new arrivals.
    6. A description of national/local project management. A discussion 
of the project's anticipated outcomes, e.g., employment and retention 
rates, welfare avoidance, reductions, and terminations. Include report 
form and narrative outline for the outcome measures which will be 
reported to ORR. These must include the increase in placements in 
Preferred Communities and the diversion of placements from communities 
where there is a history of extended welfare use.

F. Review Criteria

    Preferred Communities applications will be reviewed, scored and 
ranked utilizing the following criteria:
    1. Clarity of description of proposed program and soundness of 
rationale for achieving the goals of the Announcement. Reasonableness 
of cost implications in both the impacted and preferred communities. 
Adequacy of the anticipated improved resettlement opportunities as well 
as the diversion of placements from sites with histories of extended 
welfare usage. Soundness of refugee social services in the new 
community and choice of services to be funded by this grant. (20 
Points)
    2. Clear and comprehensive description of the preferred sites 
proposed in terms of community support, Federal, State/local government 
consultation, and linkages, cost-of-living, out-migration history, 
housing, and employment availability, welfare grant levels relative to 
potential earnings, and quality of life features, such as school 
environment and available religious facilities. Adequacy of description 
of sites from which refugees will be diverted and the rationale for 
diverting cases from them. (25 Points)
    3. Appropriateness to the targeted population of the proposed 
shift, and strategies to be used to promote stability of placements. 
(15 Points)
    4. Reasonableness of the budget and adequacy of line item 
narrative; coordination of these grant funds with other funds. (15 
Points)
    5. Adequacy of planning process and reasonableness of anticipated 
outcomes. (15 Points)
    6. Adequacy of national/local management, including objectives and 
outcomes, reporting procedures, outcome measures, data collection and 
monitoring. (10 Points)

II. Category 2: Unanticipated Arrivals or Increases in Arrivals of 
Refugees to Communities Where Adequate or Appropriate Services Do Not 
Exist

A. Purpose and Scope

    This grant program is intended to provide an emergency response 
capability by funding services for unanticipated new arrivals for whom 
the existing service system cannot respond adequately because available 
ORR funding is already committed. It is intended to enable communities 
to respond to the following situations: (1) The arrival of new ethnic 
populations of refugees and entrants in communities where the existing 
services system does not have appropriate bi-lingual capacity, or where 
the arrivals of such populations are in communities where refugee 
services do not presently exist; or (2) significant increases in 
arrivals of an already existing ethnic group where the existing service 
capacity is not sufficient to accommodate them. Applications will be 
accepted only for proposals of service in communities which have 
received, or expect to receive, minimally 100 or more persons annually 
as an unexpected population to a single local community. This is a 
minimum, not a standard. The reasonableness of the proposal will depend 
on the number of unanticipated arrivals relative to the anticipated 
number. The applicant will need to establish that the unanticipated 
number is significant in the local context by documenting all arrivals, 
both anticipated and unanticipated. Applications which do not 
satisfactorily document all arrivals will not be considered.
    ORR encourages the formation of coalitions of organizations which 
propose to serve the new population(s) jointly, but only one agency may 
be designated as grantee, and that agency will be responsible for 
administration of the project.
    As noted above, grantees should view these resources as a temporary 
solution to the challenge of program transition. This grant program is 
intended to supplement a State's existing refugee services network by 
responding to unmet needs of the new refugee populations, with the 
expectation that a State will have incorporated services for these new 
populations into their refugee services network, funded by formula 
social service dollars, by the end of the grant project period.

B. Eligible Applicants

    Public and private non-profit organizations are eligible to apply.

C. Allowable Services

    ORR will accept applications under this announcement for the types 
of activities generally funded by States under their social services 
formula allocation, in accordance with section 412(c)(1) of the 
Immigration and Nationality Act for refugee social services. In 
general, such service categories are defined as employment services, 
language services, and support services. Applications under this 
section should contain references to provision of appropriate bi-
lingual and bi-cultural service delivery and the development and 
dissemination of appropriate orientation materials. Services provided 
by all grantees, whether private or public, must comport with the 
regulations at 45 CFR 400.147(b), .150, and .153-.156 regarding 
eligibility for services, scope of services and priorities for 
services.

D. Application Content

    1. A description of the applicant agency's qualifications, 
including key personnel, to carry out the proposed activities for the 
target population to be served.
    2. A discussion of the characteristics of the target population and 
the needs which cannot be addressed with the refugee program currently 
in existence in the community. Include a letter from the sponsoring 
national voluntary agency or agencies substantiating that there will be 
the unanticipated arrival of at least 100 or more refugees or entrants 
from the target population.
    3. A description of the planning process used in developing the 
proposal, and the names and roles of the organizations participating in 
this process, as well as the roles of all organizations which will be 
involved in serving the population.
    4. A description of the strategy to be used and services to be 
provided. If the proposal was developed by a consortium or other 
combination of entities, the role of each must be detailed. The 
applicant must describe the specific geographic area(s) and client 
group(s). Include a letter from the State verifying that the services 
are needed, not currently available and not fundable from existing 
resources, and discussing whether the State intends to integrate these 
services into the State refugee services network.
    5. A description of the anticipated outcomes, including the number 
of job placements and 90-day retentions; and the anticipated cases of 
welfare avoidance, reductions and terminations.
    6. A management plan providing for oversight, monitoring, and 
submission of reports. [[Page 3420]] 
    7. A line-item budget with narrative justification for each line, 
including a description of the staffing plan.

E. Application Review Criteria

    Applications in the Unanticipated Arrivals category will be 
reviewed, scored, and ranked in accordance with the following criteria:
    1. Qualifications of the applicant agency to carry out the proposed 
activities for the target population to be served. (15 Points)
    2. Adequate discussion of the unique characteristics of the target 
population to demonstrate that the applicant understands the 
characteristics requiring the additional services. (10 Points)
    3. Demonstration that the planning process leading to development 
of the proposal was appropriate. (15 Points)
    4. Appropriateness of the strategy and operational plan in meeting 
the needs of the target population, including joint planning activities 
and leveraging of other Refugee Program or mainstream service 
providers. (20 Points)
    5. Appropriateness of the anticipated outcomes. (15 Points)
    6. Adequacy of management plan. (10 points)
    7. Appropriateness, cost-effectiveness, and reasonableness of the 
budget, including the staffing plan and qualifications of key 
personnel. (15 Points)

III. Category 3--Support for Ethnic Community Organizations

A. Purpose and Scope

    The purpose of this program is to assist ethnic organizations, 
comprised mainly of refugees or former refugees, to conduct multi-State 
or national activities which address issues of community-building, 
community and family strengthening, cultural adjustment, and mutually 
supportive activities among ethnic organizations, such as information 
exchange, leadership training, resource development, and building 
volunteer networks.
    Respondents to this program announcement will be of two general 
types:
    Established national ethnic organizations which propose to conduct 
activities with a national network of ethnic community organizations as 
vehicles for organizing community resources. Such organizations are 
anticipated to work as partners with ORR in leadership training, ethnic 
community development, public education, information dissemination on 
ethnic-specific issues, resource development, including translation of 
ethnic-specific publications, and the convening of national or regional 
meetings around issues of community concern, and family strengthening/
cultural adjustment activities.
    Emerging local and multi-State (inter-state) organizations which 
seek to develop new multi-State or national ethnic-specific networks or 
expand existing multi-State or national networks of ethnic-specific 
groups for the same purposes as above. Support to a local organization 
would not be provided for local activities, for the core costs of the 
local activities, or for the costs related to maintaining a local 
organization. Funding under this announcement is reserved for the costs 
associated with the multi-State or national activities described 
herein.
    Organizations meeting the criteria may make application to ORR for 
funds in support of activities described herein. ORR's intent is to 
supplement the funding of such organizations to enable them to carry 
out these activities. These funds may not be used for capital equipment 
purchase. They are intended solely to cover the costs to the grantee of 
the ethnic community network-building and sustaining activities 
themselves.
    Applicants should undertake a planning and consultation process 
which results in the application, detailing their intent and capacity 
to bring together key communities and local ethnic leadership to work 
on vital issues affecting the economic self-support, cultural 
adjustment, and community and family strengthening of refugees who 
share the same ethnic heritage and culture.
    Applicants must demonstrate a need for the special focus of their 
proposed activities. Applicants should relate their project goals to 
the needs which they have identified, and describe objectives to 
achieve these goals.
    Applicants must demonstrate existing support for their agency by 
community leaders and their proposed project from a multi-State or 
national base. This support should extend across the State lines in 
which the proposed activities are to take place.
    Applicants must give assurance that their governing bodies, boards 
of directors, or advisory bodies are representative (but not 
necessarily entirely constituted) of the refugee communities being 
served and have both male and female representation.

B. Allowable Activities

    Applicants should focus on activities that coalesce a broad group 
of ethnically-related communities into a multi-State or a national 
coalition to achieve stated goals. Allowable activities include:

--Ethnic community development;
--Technical assistance to local ethnic organizations;
--Public education;
--Information dissemination on ethnic-specific issues;
--Leadership training;
--Resource development;
--Convening of national or regional meetings to examine issues of 
social adjustment and economic independence, to develop consensus on 
appropriate actions to be taken to reduce welfare dependency, to 
promote community and family strengthening and/or to promote cultural 
adjustment; or
--Development or translation of ethnic-specific publications.

    Activities should be designed to supplement, rather than to 
supplant, the existing array of refugee services available in the 
community. Proposed activities should be ones that are not normally 
funded under the State refugee program.
    Non-allowable activities: Funds will not be awarded to applicants 
for the purpose of engaging in activities of a distinctly political 
nature, activities designed to promote the preservation of a specific 
cultural heritage, or activities with an international objective (i.e. 
activities related to events in the refugees' country of origin).

C. Eligible Applicants

    Eligible applicants are public or private non-profit organizations 
and institutions. If an applicant represents a consortium (that is, the 
applicant includes other types of agencies among its membership), the 
single organization identified to be the grant recipient with primary 
administrative and fiscal responsibilities must be a non-profit 
organization.

D. Application Content

    Applications for Ethnic Community Organizations should contain the 
following information:
    1. A discussion of the national or multi-State focus relevent to 
the refugee ethnicity which the applicant seeks to represent or serve, 
and an analysis of the need for this project with reference to the 
specified population;
    2. A statement of the project goals and objectives;
    3. A description of the proposed activities, plan of action, 
timetable for implementation, scope of activities (that is, multi-State 
or national), and anticipated results and benefits to local 
communities; [[Page 3421]] 
    4. Description of multi-State or national community planning and 
support to work collaboratively on the project. If the project is 
designed to enhance ethnic national leadership, the application should 
describe how leaders will be identified and how ethnic communities will 
be brought into the plan;
    5. A description of the agency's expertise and managerial 
experience, to include an organizational plan, evidence of 
incorporation as a nonprofit organization, a list of the Board of 
Directors, a discussion of how directors are chosen and/or a copy of 
the current by-laws.
    6. An estimated line item proposal budget, with a justification 
narrative detailing how the applicant arrived at estimated costs; and a 
one year organizational budget reflecting all income, income sources, 
and expenses, or the organization's most recent audit and/or annual 
financial report.

E. Review Criteria

    Applications will be reviewed against the following criteria:
    1. Degree to which the applicant understands the focus and need of 
the relevent ethnic group, as evidenced by the discussion presented. 
(10 points)
    2. Appropriateness of goals and the extent to which there are 
measurable objectives of the project. (15 points)
    3. Clarity and appropriateness of the project design, plan of 
action and timetable for implementation, and likelihood that proposed 
activities and results will benefit the community. (35 points)
    4. Evidence of community involvement in the project planning, 
suitable identification of project leaders as appropriate, and support 
for the plan of action. (15 points)
    5. Applicant's expertise and management capacity including 
organizational history and performance track record. (15 points)
    6. Appropriateness and reasonableness of budget in relation to 
proposed activities and in relation to organization's overall income 
expense ratio.

IV. Administrative Requirements

A. Availability of Application Forms

    Federal forms necessary for submission of an application, as 
described below, are available at most local libraries and 
Congressional District Offices for reproduction. If copies are not 
available at these sources, they may be obtained by writing or 
telephoning the following office: Office of Refugee Resettlement, 370 
L'Enfant Promenade SW., Washington, D.C. 20447, Telephone: (202) 401-
9251.

B. Application Format and Procedures

    Applicants requesting financial assistance for a non-construction 
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard 
Form 424B with their applications.
    Applicants must provide a certification concerning Lobbying. Prior 
to receiving an award in excess of $100,000, applicants shall furnish 
an executed copy of the lobbying certification. Applicants must sign 
and return the certification with their applications.
    Applicants must make the appropriate certification of their 
compliance with the Drug-Free Workplace Act of 1988. By signing and 
submitting the applications, applicants are providing the certification 
and need not mail back the certification with the applications.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for award. By 
signing and submitting the applications, applicants are providing the 
certification and need not mail back the certification with the 
applications.
    Copies of the certifications and assurance are located at the end 
of this announcement.
    Any non-profit organization submitting an application must submit 
proof of its non-profit status in its application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax-exempt organizations described in Section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, and by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.

C. Deadlines

    1. Applications will be considered to have met the announced 
deadline if they are either:
    (a) Received on or before the deadline date at the address 
specified in this announcement, or
    (b) Sent on or before the deadline date and received by the 
granting agency, Administration for Children and Families (ACF), in 
time for the independent review. (Applicants must be cautioned to 
request a legibly dated U.S. Postal Service postmark or to obtain a 
legibly dated receipt from a commercial carrier or U.S. Postal Service. 
Private Metered postmarks shall not be acceptable as proof of timely 
mailing.)
    2. Applications which do not meet the criteria in paragraph 1. of 
this section are considered late applications. The ACF shall notify 
each late applicant that its application will not be considered in the 
current competition.
    3. The ACF may extend the deadline for all applicants because of 
acts of God such as floods, hurricanes, etc., or when there is a 
widespread disruption of the mails. However, if the ACF does not extend 
the deadline for all applicants, it may not waive or extend the 
deadline for any applicant.
    4. Once an application has been submitted, it is considered as 
final and no additional materials will be accepted by ORR. An 
application with an original signature and two copies is required. 
Applications, if mailed, should be addressed to: Department of Health 
and Human Services, Administration for Children and Families, Division 
of Discretionary Grants, 370 L'Enfant Promenade SW., Washington, D.C. 
20447.
    The application should reference this program announcement. Hand 
delivered applications are accepted during the normal working hours of 
8:00 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, 6th Floor, ACF Guard Station, 901 D 
Street, SW., Washington, DC 20447.

V. Intergovernmental Review

    This program is covered by Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, 
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, 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 nineteen jurisdictions need take no 
action regarding Executive Order 12372. Applicants for projects to be 
administered by Federally-recognized [[Page 3422]] Indian Tribes are 
also exempt from the requirements of E.O. 12372. Otherwise, applicants 
should contact their SPOCs as soon as possible to alert them of the 
prospective applications and receive any necessary instructions. 
Applicants must submit any required material to the SPOCs as soon as 
possible so that the program office can obtain and review SPOC comments 
as part of the award process. It is imperative that the applicant 
submit all required materials, if any, to the SPOC and indicate the 
date of this submittal (or the date of contact if no submittal is 
required) on the Standard Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline date to comment on proposed new or competing continuation 
awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to clearly differentiate between mere advisory comments and 
those official State process recommendations which they intend to 
trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Division of Discretionary Grants, 6th Floor, 
OFM/DDG, 370 L'Enfant Promenade S.W., Washington, D.C. 20447.
    A list of Single Points of Contact for each State and Territory is 
included as Appendix A of this announcement.

VI. Applicable Regulations

    Applicable HHS regulations will be provided to grantees upon award.

VII. Post-Award Requirements--Records and Reports

    Grantees are required to file Financial Status (SF-269) on a semi-
annual basis and Program Progress Reports on a quarterly basis. Funds 
shall be accounted for and reported upon separately from all other 
grant activities. Successful applicants will be given specific 
instructions by ACF, following the award of the grant, for reporting 
grant performance.
    The official recipient point for all reports and business 
management correspondence is the Division of Discretionary Grants. The 
original and two copies of each report and business management 
correspondence shall be submitted to the Department of Health and Human 
Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade S.W., Washington, D.C. 
20447.
    The final Financial and Program Progress Reports shall be due 90 
days after the project expiration date or termination of grant support.
    ORR expects grantees to maintain adequate records to track and 
report on project outcomes and expenditures by budget line item.
    The following certifications are attached: Drug-Free Workplace, 
Debarment, and Anti-Lobbying.
    The Catalog of Federal Domestic Assistance (CFDA) number assigned 
to this announcement is 93.576.

    Dated: January 3, 1995.
Lavinia Limon,
Director, Office of Refugee Resettlement.

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

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

California

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

Delaware

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

District of Columbia

Mr. Rodney T. Hallman, State Single Point of Contact, Office of 
Grants Mgmt 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-
8114

Georgia

Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 
254 Washington Street SW., Room 534A, Atlanta, Georgia 30334, 
Telephone (404) 656-3855

Illinois

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

Indiana

Ms. 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

Mr. 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

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

Michigan

Mr. 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) 949-2174

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, ATTN: Mr. Ron 
Sparks, Clearinghouse Coordinator

New Hampshire

Mr. Jeffery 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

Mr. Gregory W. Adkins, Acting Director, Division of Community 
Resources, New Jersey Department of Community Affairs, 
[[Page 3423]] 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

Mr. 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

North Dakota 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

Mr. 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 Burgees, State Single point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia, 
South Carolina 29201, Telephone (803) 734-0494

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: Ms. 
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 Office, Wisconsin 
Department of Administration, 101 South Webster Street, P.O. Box 
7864, Milwaukee, Wisconsin 53707, Telephone (608) 266-0267

Wyoming

Ms. Sheryl Jeffries, State Single Point of Contact, Herachler 
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 E. 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, No. 41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802

Please director correspondence to: Ms. Linda Clarke, Telephone (809) 
774-0750.

                                                 BILLING CODE 4184-01-P
[[Page 3424]]

[GRAPHIC][TIFF OMITTED]TN17JA95.000


BILLING CODE 4184-01-C
[[Page 3425]]

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. Data application submitted to Federal agency (or State if 
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 
reapplications, use a separate sheet to provide a summary 
description of this project.
12. List only the largest political entities affected (e.g., State, 
counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any District(s) 
affected by the program or project.
15. Amount requested or to be contributed during the first funding/
budget period by each contributor. Value of in-kind contributions 
should be included on appropriate lines as applicable. If the action 
will result in a dollar change to an existing award, indicate only 
the amount of the change. For decreases, enclose the amounts in 
parentheses. If both basic and supplemental amounts are included, 
show breakdown on an attached sheet. For multiple program funding, 
use totals and show breakdown using same categories as item 15.
16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the applicant. 
A copy of the governing body's authorization for you to sign this 
application as official representative must be on file in the 
applicant's office. (Certain Federal agencies may require that this 
authorization be submitted as part of the application.)

                                                 BILLING CODE 4184-01-P
[[Page 3426]]

[GRAPHIC][TIFF OMITTED]TN17JA95.001


[[Page 3427]]

[GRAPHIC][TIFF OMITTED]TN17JA95.002



BILLING CODE 4184-01-C
[[Page 3428]]

Instructions for the SF-424A

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 
ant 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 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.

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 breaddown 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 
[[Page 3429]] establish a proper accounting system in accordance 
with generally accepted accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    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 CFR 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) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-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. Sec. 3601 et seq.), as amended, relating to nondiscrimination 
in the sale, rental or financing of housing; (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    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. Sec. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    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 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (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 of 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.

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Signature of Authorized Certifying Official

Title------------------------------------------------------------------
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Applicant Organization

Date Submitted---------------------------------------------------------

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BILLING CODE 4184-01-C
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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 a 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 require 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
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[FR Doc. 95-831 Filed 1-13-95; 8:45 am]
BILLING CODE 4184-01-C