[Federal Register Volume 61, Number 123 (Tuesday, June 25, 1996)]
[Notices]
[Pages 32833-32854]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-16187]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Availability of Discretionary Grants for Services to Newly
Arriving Refugees, Including: Promoting Increased Placement of Newly
Arrived Refugees 1 in Preferred Communities; Responding to
Unanticipated Arrivals or Significant Increases in Arrivals of Refugees
to Communities Where Adequate or Appropriate Services Do Not Exist;
Providing Orientation Services in Local Communities; Providing Mental
Health Services on Behalf of Refugees in Local Communities. In
Addition, There is Available Discretionary Grants for Technical
Assistance for the Orientation Projects
AGENCY: Office of Refugee Resettlement, ACF, HHS.
\1\ In addition to persons who meet all requirements of 45 CFR
400.43, Requirements for documentation of refugee status,
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 Acts, 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.
Refugees admitted to the U.S. under admissions numbers set aside
for private-sector-initiative admissions are not eligible to be
served under the social service program (or under other programs
supported by Federal refugee funds) during their period of coverage
under their sponsoring agency's agreement with the Department of
State--usually two years from their date of arrival or until they
obtain permanent resident alien status, whichever comes first.
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SUMMARY: This ORR standing announcement invites submission of grant
applications for funding, on a competitive basis, in five categories:
(1) to promote the increase of refugee placements in communities where
they have ample opportunities for early employment and sustained
economic independence; (2) to provide services to unanticipated
arrivals, i.e., refugees who have arrived without prior notice in
communities where adequate or appropriate services for these refugees
do not exist; (3) to provide ethnically- and linguistically-matched
orientation services to newly arriving refugees in the local
communities; (4) to provide technical assistance to the grantees
including those funded under Category 3, orientation; and (5) to
provide mental health orientation, staff development, and technical
expertise to improve services for newly arriving refugee populations.
This notice revises previous publications. The programs numbered
(1) and (2) above were first published as Categories 1 and 2 of the
notice published in the Federal Register on May 18, 1994 (59 FR 25929).
The notice was revised January 17, 1995 (60 FR 3416). A Category 3,
added in the revision of January 17, 1995, was canceled as published in
the Federal Register on February 15, 1996 (61 FR 6018). New categories,
which are added to this standing announcement, are numbered 3.
Orientation, 4. Orientation Technical Assistance, and 5. Mental Health
Services.
This announcement supersedes all prior announcements of the same
name.
The categories are summarized as follows:
Category 1
Preferred Communities: To increase placement of arriving
refugees in preferred communities where refugees have
[[Page 32834]]
opportunities to attain early employment and sustained economic
independence without public assistance. Eligible applicants are
agencies which resettle refugees under a Reception and Placement
Cooperative Agreement with the Department of State or the Department
of Justice. Preferred communities awards will be Cooperative
Agreements. ORR's involvement will include: review and approval of
preferred community sites and review and approval of the design of
program reports on progress toward project goals and outcomes.
Category 2
Unanticipated Arrivals: To provide services for significant
numbers of, or increases in, the number of unanticipated refugees
who have arrived in communities that are unable to provide adequate
or appropriate services. The arrivals may be new populations to the
U.S., or new to the location requesting additional resources. The
arrivals may also be a significant and unanticipated additional
number of a particular ethnic group in a community. Awards in this
category will be grants.
Category 3
Orientation: To provide funds for grantees to serve newly
arriving refugees through orientation services that are ethnically-
and linguistically-matched to the targeted refugee population.
Under Category 3, applications will be accepted for orientation
programs designed to provide newly arriving refugees with
information on local resources, community services and institutions,
American mores, customs, laws, responsibilities associated with
being new residents of their communities, and other appropriate
topics.
Applications will be accepted from prospective grantees to
provide services in communities where new refugees are arriving and
where available orientation materials are not appropriate or
adequate. Awards in this category will be made as grants.
Category 4
Technical Assistance to Orientation grantees: To provide
technical assistance to orientation projects awarded under Category
3 and other orientation programs serving refugees.
Category 5
Mental health services: To improve services to newly arrived
populations who have been made vulnerable in their resettlement by
having suffered mental and/or physical torture prior to or during
their escape. Applications are encouraged from agencies that support
resettlement services by providing staff development consultation to
staff who work directly with traumatized populations. In addition,
and if appropriate to the newly arriving refugee populations,
projects may be funded to develop technical knowledge concerning
particular groups and the clinical interventions that effectively
treat them. The knowledge and experience gained by these projects
will be made available throughout the refugee resettlement program.
Categories 1, 3, 4, and 5 solicit applications for project
periods up to three years. Awards, on a competitive basis, will be
for one-year budget periods. Applications for continuation grants,
to extend activities beyond the one-year budget period, will be
entertained on a noncompetitive basis in subsequent years within the
three year project period, subject to the availability of funds,
timely and successful completion of activities during the budget
period, and determination that such continuations would be in the
best interest of the Government.
Awards for Category 2 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 the project period, States will have
incorporated services for these particular refugees into their
refugee services network funded by ORR social service formula
allocations.
Projects and services allowed under this announcement for each
category are described below. Each application will be considered for
one category only and must state specifically for which category the
application is being submitted. An applicant may apply for more than
one category; however, each category must be applied for in a separate
application.
Available Funds
In FY 1996, ORR expects to make individual new grant awards in
amounts ranging from approximately $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 $800,000 will
be available for awards under Preferred Communities; $500,000 under
Unanticipated Arrivals; $400,000 for Orientation; $250,000 under
Orientation Technical Assistance; and $400,000 for Mental Health
Projects.
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)(2)(B)-(C)
gives the Director the responsibility to promote and encourage refugee
resettlement in communities where the prospects for early self-
sufficiency are good and the history of welfare utilization is low.
Application Submission
This announcement contains forms and instructions for submitting an
application. Applications must stipulate the category for which funding
is being sought. Applicants may submit applications for more than one
category; however, each category must be applied for in a separate
application.
Standing Announcement
This is a standing announcement, effective until canceled or
modified by the Director of the Office of Refugee Resettlement. The
Director will observe the following closing dates for all categories:
August 15 the first year; and January 15 and July 15 of each subsequent
year.
Organization of This Announcement
This standing announcement consists of two parts: Part I. the
program categories under which grants will be awarded and Part II. the
general application information and guidance.
Eligible Applicants
For categories 2, 3, 4, and 5, eligible applicants are public and
private non-profit organizations.
For category 1, eligible applicants are public and private non-
profit agencies which currently resettle newly arriving refugees under
a Reception and Placement cooperative agreement with the Department of
State or with the Department of Justice. This announcement is
restricted to these agencies because placements of new arrivals occur
under the terms of the cooperative agreements, and no other agencies
place new arrivals or participate in determining their resettlement
sites. Applications shall include documentation that the applicant is a
recipient of a Reception and Placement Grant. Applications lacking this
documentation will not be considered.
For Further Information Contact: Concerning Categories 1, Preferred
Communities; 2, Unanticipated Arrivals; 5, Mental Health Services,
contact: Ms. Marta Brenden, Program Officer, Administration for
Children and Families, Office of Refugee Resettlement, 370 L'Enfant
Promenade, SW 6th Floor, Washington, DC 20447, Tel: (202) 205-3589, E-
mail: [email protected].
Concerning Category 3, Orientation and 4, Orientation Technical
Assistance, contact: Ms. Kathy Do, Administration for Children and
Families, Office of Refugee Resettlement, 370 L'Enfant Promenade, SW
6th Floor, Washington, DC 20447,
[[Page 32835]]
(202) 401-4719, E-mail: [email protected].
PART I--PROGRAM CATEGORIES UNDER WHICH GRANTS WILL BE AWARDED
Category 1: Preferred Communities: Grants to Support Preferred
Communities
A. Purpose and Scope
The purpose is to provide funds to be applied toward the costs
associated with increasing the numbers of refugees placed in preferred
communities and with reducing the numbers of refugees placed in high
impact sites.
A proposed preferred community should have the following: (1)
favorable circumstances described below, (2) services that meet the
needs of arriving refugees for achieving self-sufficiency, and (3)
reception of a minimum of 100 new refugees annually. ORR will consider
exceptions to the annual standard where the applicant provides
substantial justification for the request and documents the community's
history of arrivals, the period of time needed to reach a level of 100
new refugees, and the record of outcomes for achieving self-sufficiency
soon after arrival.
Applicants must plan within their own network for improved
placements. They may also consider planning cooperatively with other
prospective applicants to create cost-effective, co-located
resettlement services where, for example, the pool of newly arriving
refugees for each network is too small to warrant individual offices.
Preferred Community sites refer to those localities where refugees
have the best opportunities to achieve early employment and sustained
economic independence without public assistance. Preferred communities
should have a history of low welfare utilization by refugees. In
addition, refugees should have the potential for earned income at a
favorable level 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 other related
community features that contribute to a favorable quality of life for
arriving refugees.
Applicants may wish to consider the following ``arrival''
categories of refugees for preferred community sites:
a. Free cases: Those refugees who are determined in the allocation
process to be ``free cases,'' that is, unrelated or without family ties
to persons already living in the communities.
b. New refugee populations: Refugees who have no or few existing
communities in the United States.
c. Other refugees: The applicant may identify refugees in the
reception process who would accept the opportunity for resettlement in
a preferred community: e.g., refugees who would otherwise be resettled
under the rubric of ``family reunification,'' but who in fact are
distant relatives and friends. These refugees may elect placement in a
preferred community where there are opportunities described above.
B. Preferred Community Site Selection
ORR recognizes that changes in the selection of resettlement sites
of refugees may result in changes to an applicant agency's network and
should be preceded by careful attention and planning. Thus, as part of
the application preparation, it will be incumbent upon the applicant
to: (1) consult with ORR about prospective preferred sites; (2) propose
sites that are either already listed within the applicant's Cooperative
Agreement with the Department of State (DOS) or that will be proposed
for DOS approval; (3) coordinate with other voluntary agencies whose
local affiliates place refugees in the same sites; (4) inform and
coordinate with State governments for site selection, adequate
services, and program strategies to be developed; and (5) plan and
coordinate locally with community resources, such as schools and public
health agencies.
The application must, for the first budget year, specify the sites
selected with a description of each site and the rationale for its
selection. Applicants are encouraged to include planning activities in
their application. The application should specify one or more preferred
communities and should also propose to include one or more unspecified
sites to be determined following planning activities during the course
of each budget year. There should also be a description of coordination
activities that occurred prior to the selection, and the ongoing
evaluation and planning for placement in preferred communities.
Additional sites proposed under approved applications during the period
of the project will require ORR's concurrence under the terms of the
Cooperative Agreement.
Preferably, the selected sites should be those that have had
successful refugee placements and have the capacity for additional
successful placements. However, the sites may be ones where refugees
have not previously been placed, but which have all the elements of a
successful refugee resettlement community, listed in section e. 2,
below.
Allowable activities for the preferred communities include services
that would otherwise be provided through the State formula social
services. ORR formula social services funding is awarded to States
proportionate to the number of refugee arrivals during the previous
three years and does not take into account newly arrived refugees.
Grantees should view Preferred Communities award as a temporary
solution to the increase in refugee placements in preferred
communities.
Therefore, planning for the application and implementing the
program must be done in concert with State Refugee Coordinators to
assure an orderly transition and complement of services. The applicant
shall describe and document this coordination and planning in the
application. ORR anticipates that ORR formula social service funds
provided to the States will reflect, over time, the increase in
arrivals.
C. Allowable Activities
ORR will accept applications for the following activities: (1)
services needed for the increased placements in the preferred
communities, (2) project planning and coordination activities, and (3)
national and local project management costs associated with these
activities.
D. Application Content
The application must include the following:
1. Description of the proposed program. Include the rationale for
meeting the goals of this Announcement: i.e., the increased placement
of refugees in preferred communities and the diversion of refugees from
communities with histories of extended use of welfare. Descriptions
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 and rationale for sites from which placements will
be diverted. A list of the designated and potential sites and the
rationale for each site with respect to the following criteria:
--Local community support (e.g., letters, financial and in-kind
[[Page 32836]]
donations, news clippings that the community supports the placement of
these refugees in their area);
--State consultation (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 current and repeating
employers of refugees);
--History of low out-migration rates for proposed sites, with
documentation for the last two years;
--Moderate cost of living (e.g., needs and payment standards from AFDC
programs from the State, statements of voluntary agency affiliates,
statements from refugees);
--Low welfare benefit levels relative to earnings potential;
--Qualified staff: give job descriptions and resumes, as available, and
show how staff will be linguistically and culturally aligned with the
prospective refugees;
--Affordable housing: provide average rental costs for apartments of a
specified number of bedrooms and describe access to and distance from
services and potential employment.
3. A description of the caseload: e.g., free cases, ethnicity, new
or existing ethnic group, interventions to be used to promote stability
of placements, proposed numbers, proposed placement schedule, and back-
up strategy should the proposed placement schedule fail.
4. A description of national and local project management. A
statement of expected outcomes, e.g., refugee arrivals and participants
in social services, such as, employment. Number expected to enter
employment; 90 day retention rates and/or welfare avoidance,
reductions, and terminations; expected hourly wage and the number of
jobs with health benefits. Projected outcomes 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.
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 discussion of anticipated outcomes
of the placement strategy for new arrivals.
6. 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.
E. 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, and local
government consultation, and linkages, cost-of-living, out-migration
history, housing, and employment availability, welfare benefit 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. Adequacy of national and local management, including objectives
and outcomes, reporting procedures, outcome measures, data collection
and monitoring. (10 Points)
5. Adequacy of planning process and reasonableness of anticipated
outcomes. (15 Points)
6. Reasonableness of the budget and adequacy of line item
narrative; coordination of these grant funds with other funds. (15
Points)
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 enhancing existing services for unanticipated new
arrivals who, because of their recent entry into the U.S., are not
included in ORR's services formula allocation. The funds may be used 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 bilingual 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 service capacity is not sufficient to
accommodate them.
Applications will be accepted only for proposals for services 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 must establish that the
unanticipated number is statistically significant relative to the
resident population 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, with one agency
designated as grantee, 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 new refugee populations, with the
expectation that the State will have incorporated services for these
new populations into its refugee services network, funded by formula
social service dollars, by the end of the grant project period.
B. Allowable Services
ORR will accept applications under this announcement for the type
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 training, and other support services. Applications under this
section should contain references to the provision of appropriate
bilingual and bicultural service delivery. Services provided by all
grantees, whether private or public, must comport with the regulations
at 45 CFR sections 400.147, 400.150, and 400.153-.156
[[Page 32837]]
regarding eligibility for services, scope of services, and priorities
for services.
C. Application Content
1. A description of the applicant agency's qualifications,
including key personnel, to carry out the proposed activities for the
target population.
2. A discussion of the characteristics of the target population and
the needs which cannot be addressed by the existing refugee program.
Include a letter from the sponsoring national voluntary agency or
agencies substantiating that there will be an 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, 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 agency 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, 90-day employment retention, and the anticipated
evidence of welfare avoidance, reduction and termination.
6. A management plan for oversight, monitoring, and submission of
reports.
7. A line-item budget with narrative justification for each line,
including a description of the staffing plan.
D. 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 programs or mainstream service
providers. (20 Points)
5. Appropriateness of the projected outcome measures and level of
achievement expected. If employment services are a part of the plan,
project the numbers of refugees to: be active participants; enter
employment; and reach 90 day retention. (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)
Category 3: Community Orientation Activities and Assistance Program
Grants for Local Communities
A. Purpose and Scope
Since 1992, the majority of refugee arrivals in the United States
represent ethnically diverse populations from such countries as Russia,
Somalia, Bosnia, Croatia, and Iraq. Compared to the pre-1992 refugees,
mainly Southeast Asians who were provided overseas classroom
orientation training, the majority of the post-1992 refugees have not
attended a pre-departure formal cultural orientation program in
preparation for their new life in the United States.
Funding constraints and restrictive conditions at some transit and
departure locations, where refugees are processed for entry into the
U.S., contribute to the lack of preparation for life in a new country.
This is particularly evident where new refugee arrivals do not have
access to pre-departure orientation organized by resettlement agencies
funded under the auspices of the U.S. Department of State, Bureau for
Population, Refugees, and Migration.
In addition to scarce, pre-arrival orientation, there are few
communities in the U.S. where new arrivals can join members of their
own ethnic group. Notwithstanding, information about American life and
resources is usually provided through friends or through word-of-mouth.
Service providers who come into contact with new arrivals may not be
sufficiently knowledgeable of the culture and values of the new
arrivals. Furthermore, limited bilingual and bicultural resources
further exacerbate the assistance effort as well as the new arrivals'
process of integration into their communities.
ORR is aware that to assist these new arrivals to become
economically self-sufficient and self-reliant within their newly
resettled communities, a comprehensive, culturally and linguistically
appropriate orientation program is key. Additionally, a cross-cultural
training and orientation program for local refugee and mainstream
service providers may enhance their assistance efforts with newly
arriving refugees and reduce the conflict or friction of cultural and
social misunderstandings.
B. Objectives of ORR
a. To provide comprehensive culturally and linguistically
appropriate orientation training to new refugee arrivals families
through bilingual, bi-cultural staff representative of the new
arrivals' cultural and linguistic make-up.
b. To identify sub-groups (e.g., home-bound women, the elderly, and
youth) of new arrivals who are more likely to face significant cultural
obstacles to their transition to a new life and to provide them
specialized orientation training customized to their specific needs.
c. To provide orientation and cross-cultural training to refugee
and mainstream service providers on new refugee populations.
d. To provide training to refugee caseworkers and interpreters to
improve their ability to deliver culturally and linguistically
appropriate services to new refugee populations.
e. To provide the mainstream community with information about new
refugee populations resettled in their community.
f. To provide new ethnic communities with small amounts of funds to
form advisory groups for the purpose of community and grass roots
organizing.
C. Allowable Orientation Activities for
1. Newly Arriving Refugee Populations
Conducting outreach (for example, home visits and ethnic group
meetings) to new arrivals to determine needs.
Convening a local work group/task force on orientation. The
composition of the group must include representatives of the ethnic
composition of new arrivals. The primary purpose of the orientation
work group is to plan and consult with local new arrivals and ethnic
communities on the type of orientation materials, services, and
training design which best fit their needs.
Adapting, if necessary, existing orientation materials to ensure
that materials are culturally appropriate for the target population.
Designing and implementing an orientation and cross-cultural
training
[[Page 32838]]
program by bilingual and bicultural staff for the newly arriving
refugee population, taking into consideration training customized to
the specific informational needs of each group, for example, heads of
households, home-bound women, youth, and the elderly.
Designing and implementing a mechanism of ensuring customer
feedback and assessment of each training session. Customers' feedback
must be incorporated for improvement of future training.
Compiling records and materials of training activities into a
training package for replication with other new arrivals.
2. Refugee and Mainstream Service Providers and the Community-at-Large
Planning and consulting with refugee and mainstream service
providers on their need for information on new arrivals, and providing
training to service providers, caseworkers, and interpreters to improve
their ability to deliver culturally and linguistically appropriate
services to new refugee populations.
Designing a mechanism of ensuring customer feedback and conducting
assessment of each training session. Customers' feedback will be
incorporated into future training.
Compiling records and materials of training activities into a
training package for future replication with other new arrivals.
Conducting public relations activities, such as providing
information via a newsletter, informational brochures or video, and
attending community meetings to provide to the community-at-large
information about new refugee arrivals resettled in their community.
3. Ethnic Community Groups
Convening or assisting in convening, members of newly arriving
ethnic communities to form their own advisory board for self-help
purposes.
Recording all community assistance activities in the form of
reports and case studies for future use by other ethnic communities in
community organizing and development.
D. Application Content
Applications for the Community Orientation and Assistance Program
should contain a detailed description of proposed activities and a plan
of action, including a timetable for implementation, and anticipated
measurable outcomes and benefits which directly meet the needs of the
target population to be served. These areas should be addressed:
1. An understanding and knowledge of the unique characteristics,
cultural background, and needs of the target groups to be served,
including discussion of the service methodology that would be
linguistically and culturally appropriate for each target group.
2. An understanding of the domestic and overseas orientation
services as well as how linkage and coordination can be established
between the overseas and domestic service providers to maintain
continuity of services to meet the orientation needs of the new
arrivals.
3. Planning and consultation with the target population, e.g., new
arrivals and refugee and mainstream service providers, to design and
implement an orientation program that best fits their needs. How the
applicant proposes to provide a comprehensive and coordinated project
design, implementation timelines, and achieving measurable outcomes.
4. Convening, or assist in convening, members of the newly arriving
ethnic groups in their effort toward organizing for self-help.
Description of how the proposed advisory groups are to be established.
5. Public relations activities with the community-at-large focusing
on mutual understanding and good will between the refugees and local
communities.
6. Customer feedback and assessment of the training as well as the
project's progress, and how the results of customers' feedback will be
used.
E. Application Review Criteria
1. Demonstrated knowledge of the unique characteristics of the
various populations to be served; demonstrated experience in the
provision of orientation service and/or training; and knowledge of
which service modality best fits each target population. (25 points)
2. Demonstrated understanding of overseas and domestic orientation
services, and the appropriateness of the proposed plan for linkage and
coordination. (10 points)
3. Adequacy and applicability of the project management plan in the
areas of planning, designing, implementing, timelines, and proposed
measurable outcomes. Qualifications of the applicant to carry out all
the proposed activities successfully. (25 points)
4. Demonstrated reasonableness and cost effectiveness in the budget
with reference to the use of bilingual and bicultural staff in all
professional capacities, the staffing plan, and qualifications of key
personnel. (15 points)
5. Demonstrated knowledge of refugee ethnic communities, and
experience in community organizing and development. (10 points)
6. Appropriateness of proposed project's measurable outcomes. (15
points)
Category 4: National Technical Assistance Project in Refugee
Orientation, Cross-cultural Training and Alliance Building
A. Purpose and Availability of Funds
This section announces the availability of Fiscal Year 1996 funds
for a national technical assistance project for refugee orientation,
cross-cultural training, and alliance building in communities heavily
impacted by recent refugee arrivals. The purpose of this category is to
respond to the immediate needs of States, refugee and/or local service
agencies, and mainstream agencies: for training and technical
assistance in cross-cultural awareness and knowledge; for skills
enhancement in resolving and mediating cross-cultural conflict between
and among refugee and non-refugee groups; and for providing culturally
and linguistically appropriate service methodologies to refugee
communities.
The successful applicant will provide group training and technical
assistance in approximately twelve (12) sites identified as impacted by
new refugee arrivals, and may include the grantees funded under
Category 3 of this announcement. Partnerships with ORR customers, e.g.,
States, other grantees, community-based organizations (CBOs), and other
Federal agencies, will be initiated to coordinate nationally in the
areas of conflict resolution and mediation and to enhance knowledge of
cross-cultural understanding and alliance building.
ORR anticipates funding one project through the mechanism of a
cooperative agreement. ORR will be closely involved in the review and
approval of the following: site selection criteria, sites and
recipients of the technical assistance and training, training
curricula, assessment tools, on-site training and technical assistance
sessions and materials, and all project-related reports.
B. Allowable Activities
Proposed activities should be tailored to reflect the orientation,
cross-cultural and mediation needs of local communities.
The types of activities which ORR may fund include, but are not
limited to, the following:
[[Page 32839]]
Convening a national training and technical assistance
work group for project consultation and design, to identify expert
trainers, and to develop strategies for dissemination of project
outcomes;
Identifying proven best practices in cross-cultural
conflict resolution and alliance building for the purpose of adapting
them to the training and technical assistance needs of the project
participants;
Identifying the needs of State and local agencies for
assistance in orientation, conflict resolution and mediation
strategies, and culturally and linguistically appropriate service
delivery;
Developing a training plan of orientation, conflict
resolution and mediation for local communities which includes expanding
the involvement and participation of non-refugee local agencies through
such activities as group training and on-site individualized sessions
for all agencies which interface with newly arrived refugees;
Developing assessment and evaluation tools, and conducting
assessment of project activities;
Developing a list of training and technical resources, and
devising a system for updating and transferring training technology for
future use;
Establishing an electronic medium for dissemination of
information and refugee training resources for use by other
practitioners.
C. Application Content
1. A discussion of the purpose of the technical assistance and
training activities to be conducted under the scope of the grant.
2. A comprehensive description of the plan for providing
coordination of project activities at the local, state, and regional
levels.
3. A comprehensive list of proposed sites for the technical
assistance OR a comprehensive list of criteria for site selection.
4. A discussion of the proposed plan for technical assistance and
training for each site and target group.
5. A description of the process to form a national training and
technical assistance workgroup. A list of the criteria for selection of
the task force members.
6. A description of the management of the plan for implementation
of all project activities.
7. A description of the expected measurable outcomes for each
project activity.
8. A list of the proposed project's key personnel and/or
consultants.
9. A proposed budget with narrative justifying each line item.
D. Application Review Criteria
Applications will be reviewed and scored on a competitive basis
against the following evaluative criteria. Points are awarded only to
applications which respond to this competitive area and to these
criteria:
1. The extent to which the purpose of the project is met, including
how the training and technical assistance needs of local sites are
identified and proposed to be met, and the benefits (measurable
outcomes vs. process outcomes) to be gained by each target group. (15
points)
2. The comprehensiveness of the proposed plan for coordination of
project services at the local, state, and regional level. The extent to
which the proposed sites (or site characteristics, if specific sites
have not been selected) are appropriate and directly related to the
objectives of the project. (10 points)
3. The criteria for selection (e.g., qualifications and experience
in working with refugees, and in fields related to the objectives of
the project) of proposed members of the national training and technical
assistance workgroup. (5 points)
4. The quality of the plan of operation and management. The extent
to which the plan of management ensures implementation of project
activities and customer feedback, the adequacy of proposed resources,
and the ability of the applicant to deliver the services in a timely
manner. (20 points)
5. The quality of the proposed training and technical assistance
plan for each site and target group, the appropriateness of training
and personnel resources, and the degree to which the training will
increase the capacity of the trainees to provide quality services to
their refugee clients and/or increase the capability of the trainees to
design and implement cross-cultural and conflict resolution strategies.
(20 points)
6. The qualifications and experiences of key personnel and/or
consultants in working with the target population and in fields related
to the objectives of the project. (10 points)
7. The quality of the proposed plan of assessment of project
activities, and appropriateness of proposed project measurable outcomes
(versus process outcomes). (10 points)
8. The cost-effectiveness and reasonableness of the proposed
budget, and budget narrative. (10 points)
Category 5: Mental Health Services
A. Purpose and Scope
The condition of a refugee's physical and mental health is a major
factor affecting resettlement and socio-economic adjustment. The most
serious mental health conditions, such as depression, anxiety-related
disorders, and post traumatic stress disorders are often seen in
refugees who have experienced severe trauma, physical abuse, and
torture.
Most refugees receive pre- and post-arrival health screening at the
time of their entry into the United States. It is through screenings
that physical health conditions are diagnosed and treated. Serious
mental health conditions are sometimes identified by health screeners
and service providers, but more frequently they are not diagnosed until
much later in the resettlement process. These mental health conditions
interfere with a refugee's progress toward economic self-sufficiency.
Especially vulnerable are refugees who have experienced traumatic
events, such as the death of relatives, loss of home, and witnessing of
atrocities, either before they leave their country of origin and/or
during migration. Some have experienced physical and psychological
torture, deprivation, hunger, isolation, and violence. In addition,
refugees are often further traumatized during the resettlement process
because their cultural backgrounds are in sharp contrast with
mainstream American social and cultural practices.
For many, resettlement means mastering a new language and adjusting
to U.S. society and its economy, its expectations, customs, and
cultural values, which may be significantly different from their own.
These challenges confront all refugees, but are more difficult for
those who suffered major physical, social, economic and political
losses.
Less serious, but also a barrier to economic self-sufficiency, are
transitory emotional difficulties which can be characterized as social
adjustment problems. If not adequately addressed, these may accumulate
over time and hamper the resettlement process. Often these problems are
handled by supportive bilingual resettlement staff and ESL teachers who
have an understanding of the refugees' plight and are sensitive to the
challenges and difficulties refugees face. This support often
facilitates the refugees' transition to their adoptive country and
lessens the impact of migration-related stressors, contributing to the
refugees' progress towards self-sufficiency.
[[Page 32840]]
Beyond the support from resettlement staff, volunteers, and ESL
teachers, refugees frequently do not receive mental health services.
Most community mental health services do not have bilingual staff who
match the local refugee groups. Also, refugees are often not receptive
to mental health services because of the stigma attached to mental
illness. Direct service workers can become overwhelmed by working with
individuals who have experienced torture and other trauma. Regular
consultation for direct case workers from experienced mental health
professionals can provide useful feedback to improve services to
refugees disabled by trauma and supportive professional relationships.
B. Mental Health Services
ORR seeks to provide resources to local community organizations to
address the need for mental health interventions in the refugees'
communities in the following ways: staff development training for
bilingual caseworkers, ESL teachers, and volunteers; orientation of
refugees to promote understanding and utilization of supportive
assistance; and orientation of mainstream mental health providers to
the refugee program, to arriving refugee populations, and to multi-
cultural perspectives for effective treatment of refugees. It is ORR's
intent that direct service workers, such as bilingual case managers,
ESL teachers, and volunteers who often provide important support to
refugees, have the benefit of regular consultation for the purpose of
increasing their effectiveness in working with refugees who are
experiencing the results of torture and social adjustment issues due to
migration.
Also, ORR seeks to promote the increase of knowledge in mental
health services for newly arriving refugee populations that have
experienced significant trauma. In addition to staff development and
orientation, it is permissible as part of this project to provide
direct clinical services to refugee patients in order to expand
knowledge and technical expertise related to refugee groups that have
experienced torture and other trauma. The technical knowledge of each
group and the effective treatment strategies gained through each
project shall be made available through written reports and oral
presentations to the ORR refugee resettlement program at conferences
convened by ORR, to the mental health community projects funded by ORR,
and to the Community Mental Health Services, SAMHSA. However, the main
objective of this category is the expansion and dissemination of
information on effective treatment to direct workers providing services
to the particular refugee group with associated trauma.
C. Allowable Activities
ORR will accept applications under this Category for the following
activities: (1) ongoing mental health professional consultation,
supervision, and training for bilingual caseworkers, ESL teachers, and
volunteers in working with refugees who are in the process of
resettlement and exhibiting extreme behaviors; (2) orientation to U.S.
mental health services for newly arriving refugees; (3) orientation of
mental health professionals to newly arriving refugees and the programs
of resettlement; and (4) development of a body of technical knowledge
and expertise concerning newly arriving refugees who have experienced
severe trauma and the clinical interventions that are therapeutically
effective with them.
D. Application Content
1. A description of the target population(s) and their need for the
proposed project activities: i.e., orientation; staff development; or
development of technical assistance.
2. A description of the planning process used in developing the
application: the names of the organizations and the roles played in the
planning; a comprehensive list of all organizations in the community
working with the target population; and the manner by which all direct
service professional staff will benefit from the project's orientation,
consultation and training services.
3. A description of the project strategy: orientation; staff
development; and development of technical assistance to address the
target populations' need for mental health services as listed under
``allowable activities.''
4. A statement of the status of need for services and the projected
outcomes expected from the services provided.
5. A description of the management plan providing oversight,
monitoring, and program reports, including the applicant agency's
qualifications to carry out the proposed activities; and key personnel,
including consultants for professional mental health services.
6. A line-item budget with narrative justification for each item.
E. Application Review Criteria
1. Adequacy of the description of the target population(s) and the
need for proposed activities. (10 points)
2. Demonstration that the planning process is community-wide and
comprehensive in addressing the needs of direct service staff for
ongoing professional consultation, supervision, and training in working
with refugees exhibiting needs for mental health services. (20 points)
3. Appropriateness and adequacy of the strategy of services
proposed. (30 points)
4. Relevance and appropriateness of the proposed program outcomes
to the project's objectives. (20 points)
5. Adequacy of the management plan, monitoring plan, and proposed
program reports. Appropriateness of key personnel and consultants
implementing the project. (10 points)
6. Reasonableness of the budget; the completeness of the line-item
narrative. Cost-effectiveness of the budget in providing for the
services. (10 points)
PART II. GENERAL APPLICATION INFORMATION AND GUIDANCE
The Director may award more or less than the funds described for
each category, subject to the quality of the applications or other
circumstances as may be deemed in the best interest of the government.
In making awards, the Director of ORR may award less for individual
projects than the maximums described in the ``Available Funds'' section
above. No applicant is guaranteed an award.
Eligible applicants may apply for more than one project and may
apply in more than one of the categories as described above. However,
an applicant must submit a full project application for each category
separately.
Awards for Categories 1, 3, 4, and 5, on a competitive basis, will
be for one-year budget periods, although project periods may be for 3
years. Applications for continuation grants funded under these awards
beyond the one-year budget period, but within the 3 year project
period, will be entertained in the subsequent years on a non-
competitive basis, subject to the availability of funds, satisfactory
progress of the grantee and determination that continued funding would
be in the best interest of the Government.
Category 2, Unanticipated Arrivals, has one project period of up to
17 months.
A. Deadlines and Mailing Instructions
The initial closing date for submission of applications is August
15, 1996. Closing dates for subsequent years applications, beginning in
1997, are January 15 and July 15. Applications postmarked after the
appropriate closing date will be classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced
[[Page 32841]]
deadline if they are either received on or before the deadline date or
sent on or before the deadline date and received by ACF in time for the
independent review to: U.S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462, Washington,
D.C. 20447, Attention: Ms. Shirley Parker.
Applicants must ensure that a legibly dated U.S. Postal Service
postmark, or a legibly dated, machine produced postmark of a commercial
mail service appears on the envelope/package containing the
application(s). An acceptable postmark from a commercial carrier is one
which includes the carrier's logo/emblem and shows the date the package
was received by the commercial mail service. Private Metered postmarks
shall not be acceptable as proof of timely mailing.
Applications handcarried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m., at the U.S. Department of
Health and Human Services, Administration for Children and Families,
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,
Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between
Monday and Friday (excluding Federal holidays). (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
B. Late Applications
Applications which do not meet the criteria above are considered
late applications. ACF shall notify each late applicant that its
application will not be considered in the current competition.
C. Extension of Deadlines
ACF may extend the deadline for all applicants because of acts of
God such as floods, hurricanes, widespread disruption of the mails, or
when it is anticipated that many of the applications will come from
rural or remote areas. However, if ACF does not extend the deadline for
all applicants, it may not waive or extend the deadline for any
applicant.
D. Process for Review of Application
Applicants will be reviewed competitively and scored by an
independent review panel of experts in accordance with ACF grants
policy and the criteria stated below. The results of the independent
review panel scores and explanatory comments will assist the Director
of ORR in considering competing applications. Reviewers' scores will
weigh heavily in funding decisions but will not be the only factors
considered. Applications generally will be considered in order of the
average scores assigned by the reviewers. Highly ranked applications
are not guaranteed funding since other factors are taken into
consideration, including: comments of reviewers and of ACF/ORR
officials; previous program performance of applicants; compliance with
grant terms under previous DHHS grants; audit reports; and
investigative reports. Final funding decisions will be made by the
Director of ORR.
The application must stipulate the category for which funding is
being sought. Where the category is not clearly stipulated, the project
will not be considered and will not be completed.
The two letter designation for the standing announcement
Discretionary Grants is for: category 1. RP; category 2 RU; category 3
RO; category 4 is RA; and category 5 is RM. On the face page of the SF
424, block #11, the applicant should identify each application
accordingly.
E. Application Submission: Forms, Certifications, Assurances, and
Disclosure
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.
4. SPOC Notification: This program is covered under Executive Order
12372, ``Intergovernmental Review of Federal Programs,'' and 45 CFR
Part 100, Intergovernmental Review of Department of Health and Human
Services Program and Activities.''
As of February, 1996, the following jurisdictions have elected not
to participate in the Executive Order process. Applicants from these
jurisdictions need take no action in regard to E.O. 12372:
Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, Oklahoma, Oregon,
Pennsylvania, South Dakota, Tennessee, Virginia, Washington, American
Samoa, and Palau.
All remaining jurisdictions participate in the E.O. process and
have established Single Points of Contact (SPOCs). Applicants from
participating jurisdictions should contact their SPOCs as soon as
possible to alert them to the prospective applications and receive
instructions. Applicants must submit any required material to the SPOCs
as soon as possible so that the program office can obtain and review
SPOC comments as part of the award process. The applicant must submit
all required materials, if any, to the SPOC and indicate the date of
this submittal (or the date of contact if no submittal is required) on
the Standard Form 424, item 16a.
Under 45 CFR 100.8 (a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
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, 370
L'Enfant Promenade, S.W., Washington, D.C. 20447.
A list of the Single Points of Contact for each State and Territory
is included as Appendix A of this announcement.
[[Page 32842]]
F. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Pub. Law 104-13, 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. All
information required by this is covered under the following OMB
Approval Nos:
SF 424 OMB Clearance No. 0348-0043 Application for Federal
Assistance Standard Form 424.
SF 424A OMB Clearance No. 348-044 Budget Information.
SF 424B OMB Clearance No. 0348-040 Assurances--Non
Construction Programs.
SF ORR-6 Revised 9/05/95 OMB Clearance No. 0970-0036.
Quarterly Performance Report.
This program announcement meets all information collection
requirements approved for ACF grant applications under OMB Control
Number 0970-0139.
G. Applicable Regulations
Applicable HHS regulations will be provided to grantees upon award.
H. Reporting Requirements
Grantees are required to file Financial Status (SF-269) every 6
months and Program Progress Reports on a quarterly basis. Funds issued
under these awards must be accounted for and reported upon separately
from all other grant activities.
The official receipt point for all program performance and
financial status reports is the Division of Discretionary Grants. The
original and two copies of each report 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 budget expiration date or termination of grant support.
The Catalog of Federal Domestic Assistance (CFDA) number assigned
to this announcement is 93.576.
Date: June 18, 1996.
Lavinia Limon,
Director, Office of Refugee Resettlement.
OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-1305
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
Alabama
Jon C. Strickland, Alabama Department of Economic and Community
Affairs, Planning and Economic Development Division, 401 Adams
Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483,
FAX: (205) 242-5515
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev., 717 14th Street, N.W.-Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.-Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Barbara Beard, State Single Point of Contract, Department of
Commerce and Community Affairs, 620 East Adams, Springfield,
Illinois 62701, Telephone: (217) 782-1671, FAX: (217) 534-1627
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street-Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Jersey
Gregory W. Adkins, Assistant Commissioner, New Jersey Department of
Community Affairs
Please direct all correspondence and questions about
intergovernmental review to:
Andrew J. Jaskolka, State Review Process, Intergovernmental Review
Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone:
(609) 292-9025, FAX: (609) 633-2132
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
[[Page 32843]]
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about
intergovernmental review to:
Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400
Rhode Island
Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
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, FAX: (803) 734-0385
Texas
Tom Adams, Governor's Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1880
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
Vermont
Nancy McAvoy, State Single Point of Contact, Pavilion Office
Building, 109 State Street, Montpelier, Vermont 05609, Telephone:
(802) 828-3326, FAX: (802) 828-3339
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25304, Telephone: 9304) 558-4010, FAX: (304) 558-3248
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, telephone: (608) 266-2125,
FAX: (608) 267-6931
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-
7574, FAX: (307) 638-8967
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444; (809) 723-6190, FAX: (809) 724-3270; (809) 724-3103
North Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069
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BILLING CODE 4184-01-C
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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 (for 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
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 on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
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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
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
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 Line 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
[[Page 32849]]
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
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Title
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Applicant organization
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Date submitted
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BILLING CODE 4184-01-C
[[Page 32852]]
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 belief 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
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 indicated 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 participate 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 Transactions'' 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 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
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
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BILLING CODE 4184-01-C
[[Page 32854]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor facility owned or
leased or contracted for by an entity and used routinely or
regularly for the provision of health, day care, education, or
library services to children under the age of 18, if the services
are funded by Federal programs either directly or through State or
local governments, by Federal grant, contract, loan, or loan
guarantee. The law does not apply to children's services provided in
private residences, facilities funded solely by Medicare or Medicaid
funds, and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1,000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for children's services and that all subgrantees shall
certify accordingly.
[FR Doc. 96-16187 Filed 6-24-96; 8:45 am]
BILLING CODE 4184-01-P