[Federal Register Volume 62, Number 115 (Monday, June 16, 1997)]
[Notices]
[Pages 32627-32648]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-15705]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Office of Refugee Resettlement's Fiscal Year 1997 Omnibus 
Discretionary Social Service Grants Program

AGENCY: Office of Refugee Resettlement (ORR), ACF, DHHS.

ACTION: Request for applications to support projects under the Office 
of Refugee Resettlement's Fiscal Year 1997 Omnibus Discretionary Social 
Service Grants Program for services to refugees.1
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    \1\ In addition to persons who meet all requirements of 45 CFR 
400.43, eligibility for refugee social services also includes: (1) 
Cuban and Haitian entrants, under section 501 of the Refugee 
Education Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain 
Amerasians from Vietnam who are admitted to the U.S. as immigrants 
under section 584 of the Foreign Operations, Export Financing, and 
Related Programs Appropriations Act, 1988, as included in the FY 
1988 Continuing Resolution (Pub. L. No. 100-202); and (3) certain 
Amerasians from Vietnam, including U.S. citizens, under title II of 
the Foreign Operations, Export Financing, and Related Programs 
Appropriations Act, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No. 
101-167) and 1991 (Pub. L. No. 101-513). For convenience, the term 
``refugee'' is used in this notice to encompass all such eligible 
persons unless the specific context indicates otherwise.
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SUMMARY: This program announcement governs the availability of and 
award procedures for approximately $4,400,000 in FY 1997 Social 
Services discretionary grants. The Office of Refugee Resettlement (ORR) 
will accept competing applications for grants in three categories, 
pursuant to the Director's discretionary authority under section 
412(c)(1) of the Immigration and Nationality Act (INA), as amended by 
section 311 of the Refugee Act of 1980 (Pub. L. 96-212), 8 U.S.C. 
1522(c); section 501(a) of the Refugee Education Assistance Act of 1980 
(Pub. L. 96-422), 8 U.S.C. 1522 note, insofar as it incorporates by 
reference with respect to Cuban and Haitian entrants the authorities 
pertaining to assistance for refugees established by section 412(c) of 
the INA, as cited above; and the Refugee Assistance Extension Act of 
1986 (Pub. L. 99-605).
    Applications may be submitted in Category One for naturalization 
and citizenship programs. Category Two, Part I consists of 
microenterprise programs; Part II is for one technical assistance 
provider to serve ORR microenterprise grantees. Category Three is for 
technical assistance providers in three program areas: (1) Refugee 
Employment, (2) Refugee Elderly Services, and (3) Welfare and 
Immigration Reform Impact.
    Applicants may request a project period of up to three years, with 
an initial budget period of one year. Where awards are for multiple 
year project periods, applications for continuation grants will be 
entertained in subsequent years on a non-competitive basis, subject to 
availability of funds, successful progress of the project, and ACF's 
determination that this would be in the best interest of the 
government. This announcement contains forms and instructions for 
submitting an application.

CLOSING DATE: The closing dates for submission of applications is 
August 15, 1997. Applications received after the closing date will be 
classified as late and will not be considered in the current 
competition.

FOR FURTHER INFORMATION REGARDING THIS ANNOUNCEMENT, CONTACT: Anna Mary 
Portz, telephone (202) 401-1196, or e-mail [email protected].
    For further information regarding Category One, Citizenship, 
contact: Nguyen T. Kimchi at (202) 401-4556 or N[email protected].
    For further information regarding Category Two, Microenterprise, 
contact: Marta Brenden at (202) 205-3589 or [email protected].
    For Category Three, Program Area One, Employment Technical 
Assistance, contact: Carolyn V. Plummer at (202) 401-5449 or Kathy Do 
at (202) 401-4579.
    For Category Three, Program Area Two, Elderly Technical Assistance, 
contact: Nguyen T. Kimchi at (202) 401-4556, e-mail 
N[email protected] or Bill McPherrin at (202) 401-5429, 
[email protected].
    For Category Three, Program Area Three, Welfare and Immigration 
Reform Technical Assistance, contact: Anna Mary Portz as above.
    You may address correspondence to the contact persons as follows: 
Office of Refugee Resettlement, Administration for Children and 
Families, 370 L'Enfant Promenade, S.W. 6th Floor, Washington, D.C. 
20447.

SUPPLEMENTARY INFORMATION:

Legislative Authority

    Section 412(c)(1)(A) of the INA authorizes the Director ``to make 
grants to, and enter into contracts with, public or private nonprofit 
agencies for projects specifically designed--(i) to assist refugees in 
obtaining the skills which are necessary for economic self-sufficiency, 
including projects for job training, employment services, day care, 
professional refresher training, and

[[Page 32628]]

other recertification services; (ii) to provide training in English 
where necessary (regardless of whether the refugees are employed or 
receiving cash or other assistance); and (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.'' Furthermore, Section 412(a)(4)(A)(i) of the INA 
states: ``* * * the Director [of ORR is]* * *authorized--to make 
loans'' for the purpose of carrying out this section.

Eligible Applicants

    Eligible applicants are States and other public or private, 
nonprofit organizations and institutions.

Background

    As with all programs funded by appropriations pursuant to the 
Refugee Act, services may be provided only to refugees (see definition 
in footnote 1, above) and may not be provided to refugees who have 
become citizens (except for those Amerasians listed in footnote 1).

Coalitions

    For Category One (naturalization and citizenship program), and 
Category Two, Part I (microenterprise program), organizations, which 
have not already done so, are encouraged to build coalitions to apply 
under this announcement to design and implement these programs. The 
activities funded by these grants are intended to serve as a catalyst 
to bring the community together to address the economic and social 
problems of refugee families and communities. The goal in all cases 
should be to build and strengthen the community's capacity to serve its 
members in improving the quality of life and standard of living for 
refugee families. While activities proposed do not have to be directly 
related to employment, applicants should be guided by the overarching 
goal of improving the economic condition of refugee families and of 
gearing them to adjust socially and economically to their new country 
and their new communities.
    This announcement strongly encourages partnerships or consortia of 
two or more eligible organizations to submit joint applications for 
grants. For each coalition, the one organization submitting the 
application will be identified as the primary grant recipient (grantee) 
with administrative and fiscal responsibilities. Applications from 
consortia which do not clearly specify which organization will serve as 
grantee cannot be considered. In all cases the applicant must 
demonstrate that wherever potential partners for collaboration exist, 
the applicant, at a minimum, has planned the proposed activities in 
collaboration with these potential partners, whether they are in the 
refugee services provider community of organizations and institutions 
or in mainstream services organizations, e.g., adult basic education 
providers, senior citizens organizations. Consultation might also 
include the Mayor's office, school parent-teacher groups, local police 
departments, and other mainstream community service organizations.
    The emphasis on coalitions notwithstanding, ORR will not fund 
projects where the role of the applicant is primarily to serve as a 
conduit for funds to organizations other than the applicant.

Service Compatibility

    Applicants are more likely to be successful in obtaining a grant if 
they describe the refugee community, family, and service capacity 
concerns under consideration. It should be clear how the proposed 
activity fits into the existing network of services; how it responds to 
the particular needs of families in that community or to a broader need 
of the community; who is committed to do what, in order to accomplish 
this goal; and what the expected outcomes of the activity will be.
    The process of coalition-building is key to strengthening 
cooperation and coordination among the local service providers, 
community leaders, Mutual Assistance Associations, voluntary agencies, 
churches, and other public and private organizations involved in 
refugee resettlement and/or community service. ORR intends that this 
process will be part of local efforts to build strategic partnerships 
among these groups to expand their capacity to serve the social and 
economic needs of refugees and to give support and direction to ethnic 
communities facing problems in economic independence and social 
adjustment.
    In all cases, and regardless of the type of organization designated 
to provide services or conduct activities funded under this 
announcement, organizations should consider and describe how the 
services/activities will be linguistically and culturally compatible 
with the refugee families or communities to be served. In addition, the 
applicant must describe how proposed providers will have access to the 
families and to the community to be served.

Availability of Funds

    Approximately $4.4 million will be awarded in FY 1997 through this 
Omnibus Announcement. ORR expects to make available $3,000,000 in FY 
1997 discretionary funds for Category One: Naturalization and 
Citizenship programs, and anticipates that awards will range from 
$50,000 to $250,000 per budget period. In Category Two: 
Microenterprise, Part I, ORR expects to make 5-6 individual new grant 
awards to total approximately $750,000; in Part II, there will be a 
single award anticipated at $100,000. In Category Three: Technical 
Assistance, ORR anticipates one award each of $150,000 in Program Areas 
One and Two, Employment and Elderly Services respectively, and one 
award of $250,000 in Program Area Three, Impact of Welfare and 
Immigration Reform on Refugees and Refugee Communities.
    The Director reserves the right to award less, or more, than the 
funds described, in the absence of worthy applications, or under such 
other circumstances as may be deemed to be in the best interest of the 
government. Applicants may be required to reduce the scope of selected 
projects to accommodate the amount of the approved grant award.

Length of Application

    Applicants are encouraged to limit program narratives (see Part C. 
under each category below) to 20 pages (typewritten, double spaced on 
standard, letter-size paper) plus no more than 20 pages of appended 
material. This limitation of 20 pages per component should be 
considered as a maximum, and not necessarily a goal to be achieved.

Category One: Naturalization and Citizenship

A. Purpose and Scope

    A refugee's resettlement in this country is not completed until he 
or she becomes a full fledged participant in an American community. 
Naturalization marks the beginning of the process for refugees to 
become fully participating members of their new country. Most refugees 
eventually become citizens after meeting their residency requirement. 
However, older refugees, and refugees who are not literate in their own 
language, often have difficulty meeting the English language and civics 
requirements of the naturalization process. Citizenship preparation 
classes currently available at local educational institutions often 
require an English proficiency that many refugees do not possess.

[[Page 32629]]

    The purpose of this grant program is to provide support for 
citizenship education and application programs for refugees who have 
met or are within one year of meeting the residency requirement to 
become citizens. ORR is particularly interested in helping refugees who 
are hard to reach for existing citizenship services and who have had 
historically low rates of naturalization because of language, cultural, 
or other barriers. These include pre-literate refugees, elderly 
refugees who are non-English speakers and refugees with limited English 
and/or literacy skills. Refugees with strong English proficiency who 
need civics instruction may be served under these programs, but are 
considered a lower priority.
    Refugees eligible for services in this program must have no more 
than one year remaining to meet residency requirements for 
naturalization. For most refugees, this equates to at least four years 
residency since arrival in the U.S., or two years in the case of 
refugees who are married to U.S. citizens.
    ORR encourages refugees to participate in citizenship and 
naturalization programs that are generally available in metropolitan 
areas. However, ORR also recognizes that there is a need for 
specialized programs to meet the needs of underserved refugees. ORR 
encourages collaboration among service providers to ensure that these 
at-risk refugees can access the citizenship preparation services 
appropriate to their background and level of education.
    These funds may be used for services designed to reach refugees who 
have not traditionally availed themselves of mainstream programs 
because they either do not understand the significance of citizenship 
or need specialized services.
    The program is intended:
     To provide outreach and information to eligible, 
vulnerable refugee groups, such as older refugees, pre-literate 
refugees, homebound women, and others with special needs in the 
naturalization process, and to educate them on the rights and 
responsibilities of citizenship.
     To provide enhanced English language training and civics 
instruction for pre-literate refugees and refugees with limited 
literacy skills to help them qualify for citizenship.
     To provide citizenship application assistance for 
qualified refugees and to eliminate barriers to citizenship for 
vulnerable groups of refugees.
     To promote naturalization by encouraging cooperative 
working relationships among local public, private and community-based 
organizations such as refugee mutual assistance associations (MAAs), 
States, and the Immigration and Naturalization Service, U.S. Department 
of Justice (INS).
     To assist service providers in securing pro bono legal 
and/or medical services and other volunteer services, as necessary, for 
successful attainment of citizenship.
    To the extent that a project charges fees or earns income related 
to a grant in the citizenship/naturalization program, such program 
income may be retained by the project grantee so long as these costs 
further the objectives of the grant in accordance with 45 CFR 
74.24(b)(1) or 92.25(g)(2).

B. Allowable Services

    ORR will consider applications for services which are based on an 
analysis of citizenship service needs and available resources. 
Allowable services are those not readily available to refugees in the 
community especially the underserved groups of refugees e.g., the 
elderly, refugees not literate in their own language, and homebound 
refugees. Activities and services proposed should be planned in 
conjunction with existing services and should supplement and complement 
these services. Special attention should be given in the planning 
process to the citizenship and naturalization services available to 
other immigrants in the community, including those designed for 
immigrants with similar background as refugees.
    In most large States and metropolitan areas, refugee and immigrant 
forums have already assessed citizenship service needs. Applicants are 
advised to consult with these forums or with their State refugee office 
to examine these assessments and to submit them as supportive 
documentation for their proposed program.
    Examples of allowable activities are:
     Provision for innovative programs to reach underserved 
refugee groups for citizenship activities.
     Provision for creatively designed English language 
training and civics instruction appropriate for pre-literate refugees 
and refugees with limited literacy skills.
     Assistance in the submission of the N-400 application for 
citizenship and in meeting related requirements or referral to 
appropriate partner organizations.
     On-site training and/or mobile processing services for 
refugees who have difficulty accessing citizenship preparation classes 
in order to prepare for the qualifying examination to become 
naturalized U.S. citizens.
     Removal of barriers to citizenship through the formation 
of peer support groups to coordinate transportation, child care and 
other support services necessary for increasing participation in 
citizenship/naturalization activities.
     Preparation for the naturalization interview, interpreting 
and translating services for citizenship interviews when necessary and 
where such services are not available through the INS or other 
agencies.
     Coordination with local school districts, legal aid 
societies, medical professionals, corporate enterprises and foundations 
to leverage in-kind or cost-sharing contributions to the program.
     Developing and maintaining working partnerships between 
local public, private nonprofit and community-based organizations 
(e.g., MAAs), and States and the INS.

C. Program Narrative

    All applicants should address the following in their applications 
for financial assistance.
1. Objectives and Need for Assistance
    State the objectives for the program and indicate how they relate 
to the provision of services in helping refugees to obtain citizenship 
through naturalization. Demonstrate that the need for the program is 
based on an assessment of the community's refugee population and 
consultation with refugees and refugee service providers. Provide 
letters of support for the proposed program from community leaders and 
residents--particularly those involved with refugees and the special 
populations to be served. If the applicant proposes to initiate a new 
program in an area where no other organizations serve refugees, and a 
coalition with other organizations is not possible, this should be 
explained and documented.
    Identify the population(s) to be served by the project and explain 
why this population is most in need of the program. Identify the 
intended enrollment size (number of elderly refugees, their ethnicity, 
etc.).
    Describe any citizenship services and resources which are available 
in the area to serve the refugee population(s) and how those which are 
proposed will complement the existing network.
2. Approach and Results or Benefits Expected
    Describe the method used to involve and consult with potential 
consumers (i.e., older and homebound refugees, refugee women) that 
caused the applicant to conclude that there is a need for a special 
program to serve the

[[Page 32630]]

proposed target population(s). Applicants must describe what will be 
done during the start-up period to prepare for implementation.
    Describe what services the program will provide, either directly or 
through referral, to promote citizenship and naturalization.
    Explain the approach to recruiting and enrolling underserved 
refugees and identify the target recruitment area.
    Explain how the applicant intends to coordinate the program with 
other service providers, MAAs, and other community-based organizations 
providing citizenship services to avoid duplication.
    Describe how the program will develop relationships with the local 
INS district office or other organizations that are authorized by INS 
to provide naturalization services such as, test administration, finger 
printing, etc.
    Describe what assistance the program will provide to refugees with 
special needs such as older and disabled refugees in order to enable 
them to participate in the citizenship education program. Identify the 
existing transportation resources available to refugees in reaching 
services provided at the program site and in off-site locations.
    Identify the specific results or benefits that could be expected 
for refugees participating in the program, by qualitative and 
quantitative data measuring outcomes and progress toward stated results 
or benefits, (e.g. how many completed the program; how many submitted 
applications to INS; how many passed the civics test?).
    Provide assurances that the program will collect data on groups of 
refugees served (age, sex, etc.), types of services to be furnished 
(English and citizenship education, citizenship application, 
information and referral, etc.), service utilization information, types 
and nature of needs identified and met, and such other information as 
may be required periodically for purposes of evaluation.
    Describe how the lessons learned from the program will benefit 
national policy, practice, theory and/or research.
3. Organizational Capability
    Provide a description of the applicant's organization and document 
its non-profit status. Describe the applicant's experience in providing 
citizenship services to refugees and immigrants as well as the 
applicant's experience in collaborating with refugee service providers 
and ethnic organizations.
    Identify and provide a brief description of key staff who are 
proposed to work in the program and indicate their educational training 
and experience working with refugees and citizenship education 
programs/services. Describe staffing patterns and staff qualifications 
and language/cultural competencies. Explain how the ethnic composition 
and language proficiency of particular staff persons are reflective of 
the community.
    Provide assurances that the applicant will cooperate with an 
evaluation contractor and any other contractor ORR may fund to evaluate 
and assess the effectiveness of the program.
4. Budget
    Provide a line item budget with detailed narrative justification. 
Applicants who request indirect charges must attach a copy of the 
organization's current negotiated indirect cost agreement. If the 
applicant does not have a negotiated indirect cost agreement with any 
agency of the federal government, all costs must appear in the budget 
as direct charges.
    Provide documented assurance that:
     Federal funds awarded under this grant program will not be 
used to reimburse clients for any fees paid to INS.
     Funds awarded under this grant program will not duplicate 
naturalization and citizenship activities already funded by another 
source. These funds will not be used to offset funding otherwise 
available for citizenship activities.
     None of the funds awarded under this announcement will be 
used for the development of new materials where existing materials have 
already been developed to an acceptable standard. Applicants are 
reminded to secure permission to use materials developed by national 
organizations experienced in citizenship activities.

D. Review Criteria

    Each project proposal will be rated and scored by an independent 
review panel using criteria described below. State applicants which 
plan to contract for services must submit detailed proposals of their 
approach and identify the subcontractors or provide a description of 
the contractual award process and projected timelines. State applicants 
must assure ORR that sub-grantees will abide by the same requirements 
as direct ORR grantees in this program.
    1. Demonstration of how the program--working collaboratively--will 
meet the need for citizenship services of the target refugees through 
direct services and/or through leveraging existing community resources. 
Reasonableness of the project activities and timeline for meeting the 
proposed objectives. 25 points
    2. Quality of the innovative program to meet the needs of the 
underserved population in reducing barriers to citizenship to enable 
them to become citizens within a short time frame. Extent to which the 
expected results and benefits of the project are appropriate and 
reasonable. 35 points
    3. Demonstration of the applicant's qualified records of good 
performance in citizenship activities. Quality of proposed staff, 
appropriateness of the staff selection in relation to the proposed 
activities and the characteristics of the target population. 20 points
    4. The budget is reasonable, clearly presented, sufficiently 
detailed, and demonstrates a cost-effective use of federal funds. 20 
points
    Total: 100 points.

Category Two, Part I: Microenterprise Development

A. Purpose and Scope

    The purpose of these funds is to use microenterprise development to 
enable refugees to increase household income and thereby decrease their 
likelihood of relying on public assistance. For purposes of 
participation in a program, there is no limitation on the number of 
years a refugee may have been in the U.S. as long as he/she has not 
become a naturalized citizen at the time of enrollment in the project. 
Projects should be designed in a manner that is linguistically and 
culturally appropriate for the target population; additionally, 
projects may not exclude an individual or group of refugees on the 
basis of ethnicity.

B. Allowable Activities

    Funds may be used to provide business technical assistance, 
business training, credit in the form of microloans, and/or for the 
administrative costs of managing the project and a microloan fund to 
assist refugees in starting or expanding microbusinesses. Training may 
be conducted in classes, in small groups or with individuals. Ongoing 
technical assistance should be available to participants for up to the 
first year following the business start-up.
    Microloans: Consist of small amounts of credit, generally in sums 
less than $10,000, extended to low-income entrepreneurs for start-up of 
microenterprises. Microloans may also be available for micro-business 
expansions. Refugee borrowers who

[[Page 32631]]

may benefit from agency-based revolving loan funds typically have few 
personal assets or savings and do not qualify for commercial loans. 
Microloans may be made available to clients through a partnership with 
commercial banks or other traditional lending institutions. Federal 
funds may also be used as guarantees or leverage for commercial loans. 
In any case, ORR encourages the use of current market rates of interest 
which may be charged up to four percentage points above the New York 
Prime lending rate at the time of the loan approval. Microloans will 
have a maximum maturity of three years.
    Applicants who propose to administer a microloan fund, in which 
some or all of the available capital comes from ORR grant funds, must 
use a revolving loan fund to disperse these loans. ORR grant funds for 
a revolving loan fund will be capped for all new grantees at $50,000 
for the first budget period. Program income in the form of interest (on 
individual loans or from loan loss reserves) may be retained by the 
agency project so long as these costs further the objectives of the 
grant and the Federal statute under which the grant was made. Program 
income of this type may be used to expand the number of microloans to 
be made available to the participants in accordance with 45 CFR 74.24 
(b)(1), (b)(2), and (e) or 92.25 (b), (g)(2), and (h). The 
microenterprise grantee may not charge fees, points, or other amounts 
to the individual borrower applying for a microloan other than actual 
costs associated with obtaining, approving and closing the approved 
microloan. Additionally, individual borrowers may not be solicited for 
contributions toward the cost of training or technical assistance 
received under this program.
    Technical Assistance for Projects: To ensure the exchange of 
technical and training information among ORR microenterprise program 
grantees, all grantees are strongly encouraged to attend two training 
conferences during each year of their participation in the program. 
Grant funds may be used to offset the cost of attendance. Also, ORR is 
currently announcing the availability of funds for a technical 
assistance provider for refugee microenterprise projects which will be 
available for ORR grantees (see Part II of this Category).

C. Program Narrative

    Applications to the ORR microenterprise program announcement should 
describe the following:
1. Statement of Need
    The capital needs and capital market gaps for refugee 
microentrepreneurs in their community, and how they will gain access to 
credit through this project.
    A profile of prospective refugee participants, including: an 
annotated list describing ethnicities for the target population, their 
status with respect to welfare usage and employment; refugees' 
qualifying income and length of time in the U.S.; and prospective 
clients' interest in microenterprise.
    Any eligibility requirements related to English language 
proficiency that will be required of refugee participants.
2. Program Strategy
    Describe the structure and approach of the project including, the 
form and duration of business training and/or technical assistance to 
refugee entrepreneurs; where appropriate, provisions for individual or 
group-based lending; whether the business targets are start-ups, 
expansions, or both; affiliated agencies; credit enhancements, such as 
loan loss reserves, and fees.
    ORR encourages partnerships with other appropriate organizations 
for training and loans. Refugee ethnic communities frequently have non-
eligible members (naturalized U.S. citizens and immigrants) who will 
also be likely candidates for microenterprise services, but will not be 
eligible clients for services funded by ORR. For that reason, ORR 
suggests that applicants seek to establish partnerships with commercial 
banks and other traditional lending institutions; seek funds from other 
federal and state government microenterprise programs, and private 
sources to fund training and microloans for clients not otherwise 
eligible for ORR funded services.
    If the program strategy includes a microloan program, the 
application must describe the sources and amounts of lending capital, 
the anticipated size of the loan fund, its terms, and the activities 
for which loans may be used; the lending criteria for borrowers, and 
mechanism of approval/disapproval; and a monthly revolving loan cash 
flow chart for the three year period beginning October 1, 1997.
3.a. Organizational Capability
    The application must include a description of the applicant's 
organizational structure, copies of the financial statements for the 
last two years, balance sheets and income statements, the plan for 
fiscal and project management, a time table for activities, a project 
organization chart, a description of staffing, and resumes or 
qualifications of staff.
    Those applicants to this announcement who have previously operated 
refugee microenterprise projects with training and microloans should 
describe in some detail their accomplishments under prior projects. The 
description should provide a project description, annotated list of 
refugee ethnic groups, recruitment strategies, training classes or 
other training methods, and performance outcomes in terms of number of 
clients, number of loans and an analysis of size and payment history, 
and performance measures such as number of business starts and 
expansions for each of the project's budget periods.
    If a revolving loan fund is part of this application, describe in 
detail the management activities with respect to the loans: loan 
application forms and criteria for approval, microenterprise activities 
for which loans may be used, management and servicing of the loan 
funds, a discussion of the applicants' lending history, loan repayment 
terms, projected default rates, and projected schedule for local 
collection.
3.b. Project Management
    Applicant must provide details on the management and operation of 
the project and of the loan funds; a description of project staff 
credentials including cultural and linguistic appropriateness; and, 
staff supervision plan; and the design of program progress reports.
4. Performance Outcome Measures
    Performance measures that will demonstrate the impact of the 
project on the participants, and whether the purpose of the 
microenterprise project is met.
5. Budget
    A line-item budget that coincides with the SF 424 object class 
categories and provides sufficient detail. In an accompanying section, 
submit a narrative justification that explains each budget category. 
Applicants who request indirect charges must attach a copy of the 
organization's current negotiated indirect cost agreement. If the 
applicant does not have a negotiated indirect cost agreement with any 
agency of the federal government, all costs must appear in the budget 
as direct charges.

D. Review Criteria

    Grant applications for microenterprise development will be reviewed 
and ranked against the following criteria:
    1. A description of the purposes for which funding is proposed; the

[[Page 32632]]

appropriateness of the project (design, policies and procedures) to the 
entrepreneurial experience, capital needs, and English language 
proficiency of the targeted refugee community. 20 points
    2. The appropriateness of the project structure and approach, 
including design for training and/or technical assistance, lending, 
credit enhancements, and affiliates. 20 points
    3. Demonstrated organizational and management capacity and history 
of experience with microenterprise development for refugees or other 
economically disadvantaged populations. 20 points
    4. Extent to which the expected outcomes are appropriate, 
consistent with reported nationwide performance in microenterprise 
projects, and reasonable for the size of the targeted population. 20 
points
    5. Appropriateness and reasonableness of the proposed budget, 
including the relative distribution of funds for administrative costs, 
training or technical assistance, loan capital, and unit costs. 
Applicant should include project timelines and a narrative 
justification supporting each budget line. 20 points

Category Two, Part II: Assistance to Intermediary Microenterprise 
Grantee Agencies

    ORR intends that microenterprise programs will have access to 
technical assistance and existing materials in the design and 
implementation of these projects. To that end, ORR will award one grant 
in an amount not to exceed $100,000 to a private, non-profit agency for 
the purpose of assisting grantees in the administration of projects and 
microloan funds, in the development of appropriate financial systems 
for administering these projects, and for securing additional financing 
for microloans through non-federal sources. Grantees will be given 
access to standardized documents, policies, and procedures that have 
been developed or gathered under this initiative. Interested 
organizations should submit an application package, in accordance with 
instructions stated below in ``Application Preparation and 
Submission,'' including the following:

--A description of the applicant's organizational structure, staff 
qualifications, experience in microenterprise development, and 
expertise in business management principles, the operation of revolving 
loan funds, and/or experience in leveraging commercial funds.
--A narrative description of technical assistance activities for 
approximately 12 grantee agencies, with a timetable and schedule for 
site-visits and related reports.
--A line-item budget and budget narrative (applicants who request 
indirect charges must attach a copy of the organization's current 
negotiated indirect cost agreement. If the applicant does not have a 
negotiated indirect cost agreement with any agency of the federal 
government, all costs must appear in the budget as direct charges).

    Applications for the technical assistance grant will be reviewed 
competitively and scored by a review panel of experts in accordance 
with the criteria stated below:

--Organizational expertise and history of experience in microenterprise 
development and in providing technical assistance and training to 
intermediary agencies. 40 points
--Clarity and appropriateness of the project design for technical 
assistance. 30 points
--Reasonableness and appropriateness of the proposed budget. 30 points

Category Three: Technical Assistance

Program Area One: Technical Assistance to Refugee Employment Service 
Providers

A. Purpose and Availability of Funds
    The primary goal of refugee resettlement is to assist refugees to 
become economically self-sufficient. Efficient and effective employment 
services are critical to achieving this goal. To that end, ORR 
currently provides both formula and discretionary grants to fund 
employment services which assist refugees in obtaining employment and 
decreasing their need for public assistance.
    In recent years, ORR has held a series of conferences to foster 
sharing of information among employment services staff. The new welfare 
reform legislation further intensifies the need to share best practices 
and successful techniques in job development, job placement, and post 
placement services. To continue the ORR initiative for improved 
employment services, and to increase the capacity of employment service 
providers to help refugees attain employment, ORR proposes to award one 
cooperative agreement for technical assistance and training to refugee 
employment service providers. Funds provided under this award may be 
used nationwide for the following purposes:
    1. To identify model and best practices for providing employment 
services to refugees.
    2. To assist discretionary programs in using the existing 
Government Performance Results Act (GPRA), and, where appropriate, in 
developing and measuring, short and long term program performance 
outcomes for employment services to special populations.
    3. In areas with large numbers of new arrivals and multiple 
employment services providers, to conduct on-site analysis of 
employment services and to provide the technical assistance needed to 
improve outcomes for: staff training, effective inter-agency 
cooperation, increasing employer and/or refugee involvement in the 
design or delivery of services, or management and other issues which 
may improve performance.
    4. To facilitate multi-site, consultative and information-sharing 
training sessions where similar agencies and/or agencies serving 
similar groups of refugees or working in similar employment 
environments can share experiences, conduct self-assessment and group 
assessment, and complete a blueprint for self-and agency improvement. A 
training session might include an on-site peer group review of a 
project which requests technical assistance.
    5. To provide training in basic employment services skills to newly 
hired or inexperienced staff, to agencies experiencing staff turnover, 
or to agencies which lack expertise in employment services or 
employment services for refugees.
    Through the cooperative agreement, ORR intends to be involved in 
the program in the following areas: review and approval of the 
technical assistance plan, including the sites proposed; assistance in 
giving employment providers access to the grantee's services; review 
and approval of training curricula; review and approval of assessment 
tools used to evaluate technical assistance needs; and general review 
and approval of materials prepared for delivery of technical 
assistance.
    Approximately $150,000 has been allocated for this project. One 
grant may be awarded for one national project.
    State applicants who may wish to apply and issue a contract to 
provide the technical assistance should identify the sub-contractor 
organization and/or provide a description of the contractual award 
process. Applicants are advised that provision of technical assistance 
to a grantee may only be made on a requested or voluntary basis.
B. Allowable Activities
    Applicants may propose all or a combination of the following 
activities:
     Identification and promotion of projects which constitute 
best or model practices.

[[Page 32633]]

     Selection justification of proposed sites for technical 
assistance activities;
     Analysis of employment services in two or more sites for 
the purpose of improving performance;
     Training for basic employment services skills, including 
new Federal and State supported job initiatives, to newly hired or 
inexperienced staff;
     Training and/or facilitation in developing strategies and 
techniques, such as:

--Service delivery to special groups, such as women, older refugees, or 
youth;
--Effective inter-agency coordination;
--Obtaining employer feedback in quality or design of services;
--Changing the employment service delivery mechanism (e.g., to a one-
stop center operated by a consortium of providers);
--Assessing clients' transferable job skills;

     Training and/or facilitation through on-site peer reviews, 
through multi-site information sharing and problem solving sessions, 
and/or through individual consultation.
C. Program Narrative
--A description of the applicant's organizational structure, staff 
qualifications, especially experience in refugee employment services 
and/or job development.
--A narrative description of proposed technical assistance activities 
for a designated number of grantee agencies, with a timetable and 
schedule for site-visits or other proposed activities and related 
reports.
--A line-item budget and budget narrative (applicants who request 
indirect charges must attach a copy of their current negotiated 
indirect cost agreement. If the applicant does not have a negotiated 
indirect cost agreement with any agency of the federal government, all 
costs must appear in the budget as direct charges).
D. Review Criteria
    Each project proposal will be rated individually by an independent 
review panel using the criteria described below:
    1. Staff qualifications are clearly presented and are appropriate 
to achieving the project's goals. Staff qualifications include 
demonstrated expertise in assisting refugees or low income ethnic 
minorities in obtaining employment, previous experience with the 
provision of technical assistance in the field of employment service, 
experience in cross-cultural communication, and knowledge of Federal 
and State employment initiatives. Organizational expertise is 
described. 40 points
    2. The narrative description and plan for providing technical 
assistance is clearly described; activities and time-frames are 
reasonable, feasible and will achieve ORR's goals.
    The technical plan describes proposed activities, how they will be 
accomplished, how the applicant will assess the needs for technical 
assistance in given communities, and why it proposes those communities. 
40 points
    3. The budget is reasonable, clearly presented, sufficiently 
detailed, and cost effective. 20 points

Program Area Two: Technical Assistance to Elderly Refugee Services 
Grantees

A. Purpose and Availability of Funds
    Older refugees may be especially vulnerable because of certain age-
related issues: chronic health and emotional problems stemming from the 
conditions of refugee flight; family loss and separation; an inability 
to advocate for themselves because of cultural, language, or 
educational barriers; limited access to appropriate health and social 
service agencies; limited incomes due to work histories; and barriers 
to meeting the requirements for naturalization.
    To address those issues, the Office of Refugee Resettlement is 
making available approximately $9.5 million in discretionary grant 
funds in a separate grant announcement to assist States with counties 
heavily impacted by older refugees. When those grantees are funded, ORR 
proposes to award a grant up to $150,000 to one non-profit service 
agency capable of providing technical assistance, troubleshooting, and 
developing and implementing on-site solutions to barriers which these 
potential grantees may experience in coordinating programs for elderly 
refugees. ORR is seeking a private, non-profit service agency which has 
experience in working with elderly refugees at the federal, State and 
local levels.
B. Allowable Activities
    Applicants may propose all or some combination of the following or 
may propose innovative strategies to address older refugee needs:
     Providing technical assistance to ORR grant recipients 
under the announcement for services to elderly refugees for the purpose 
of insuring coordination between aging and refugee services and 
programs.
     Making on-site visits to evaluate the success of older 
refugees' receiving needed services in a timely manner.
     Where grantees are experiencing problems with carrying out 
their proposals, working closely with staff to resolve issues.
     Evaluating individual success by talking with consumers of 
services (elderly refugees); determining whether clients are indeed 
participating in the planning process.
     Determining which grantees need technical assistance with 
refugees in crisis situations, e.g., the short-term provision of 
emergency assistance, such as food, shelter and medical services and 
helping grantees to develop workable solutions.
     Identifying and documenting unmet needs of older refugees 
and helping grantees prepare and implement action plans to overcome 
these barriers.
C. Program Narrative
--A description of the applicant's organizational structure and staff 
qualifications, especially working with refugee and aging 
organizations;
--A narrative description of technical assistance activities, 
including: timelines and start-up times, the method for assessing the 
technical assistance needs of given communities, procedures to evaluate 
grantee successes, and action plans to assist grantees meet their 
stated objectives;
--A plan to assist grantees with the development of collaboration and 
linkages between aging and refugee organizations at the local level; 
and,
--A line-item budget and budget narrative, including a cost analysis of 
the applicant's management of each proposed activity and narrative 
justification to support each line (applicants who request indirect 
charges must attach a copy of the organization's current negotiated 
indirect cost agreement. If the applicant does not have a negotiated 
indirect cost agreement with any agency of the federal government, all 
costs must appear in the budget as direct charges).
D. Review Criteria
    Each proposal will be rated and scored individually by an 
independent review panel using the criteria described below:
    1. Organization's expertise and history of experience in working 
with aging and refugee organizations at the national, state and local 
levels. 30 points
    2. Clarity and appropriateness of plan and proposed activities for 
providing

[[Page 32634]]

technical assistance, assessing the technical assistance needs of given 
communities, procedures to be used to help grantees evaluate their 
performance. 35 points
    3. Quality of plan for development of grantee collaboration and 
linkages between aging and refugee organizations. 20 points
    4. Appropriateness and reasonableness of the proposed budget. 15 
points

Program Area Three: Technical Assistance regarding the Impact of 
Welfare and Immigration Reform on Refugees and Refugee Communities

A. Purpose and Availability of Funds

    The primary goal of refugee resettlement is to assist refugees to 
become economically self-sufficient. While ORR currently provides 
Targeted Assistance and Social Services funds to States and nonprofit 
agencies for employment services to assist refugees in obtaining 
employment, many refugees need some form of cash or medical assistance 
during their resettlement experience.
    The Personal Responsibility and Work Opportunity Reconciliation Act 
of 1996 (also known as ``Welfare Reform''), Public Law 104-193, 
eliminated the AFDC program, the JOBS program, and Emergency 
Assistance, and created block grants for States to provide time-limited 
cash assistance for needy families, with work requirements for most 
recipients. The Temporary Assistance for Needy Families (TANF) Block 
Grant funding may be used by States in any manner reasonably calculated 
to accomplish several purposes: To provide assistance to needy families 
so that children can be cared for in their own home; to reduce 
dependency by promoting job preparation, work and marriage; to prevent 
out-of-wedlock pregnancies; and to encourage the formation and 
maintenance of two-parent families. The Illegal Immigration Reform and 
Immigrant Responsibility Act (also known as ``Immigration Reform''), 
P.L. 104-208, further restricted access to certain programs by legal 
immigrants.
    The new rules regarding non-citizens are complex and easily subject 
to misinterpretation. For refugees this may have unintended negative 
consequences. Refugees may be unfairly denied access to work because of 
fear of employer sanctions or denied benefits due to confusion over 
status.
    ORR proposes to award one cooperative agreement for technical 
assistance and training for refugee service providers concerning the 
impact of welfare and immigration reform on refugees and refugee 
communities. Funds provided under this award may be used nationwide for 
the following purposes:
    1. To provide technical assistance and coordinate information-
sharing and analysis--State by State, as well as nation-wide--for 
refugee service providers with the goal of increasing, as needed, 
awareness and understanding of the impact of welfare and immigration 
reform on refugee families.
    2. To assist refugee service programs through the development and 
distribution of materials providing information and education on the 
implementation of welfare and immigration reform.
    3. To coordinate communication among local refugees and service 
providers as well as between local agencies and national organizations 
working on these issues i.e. through sharing translated materials or 
telephone conferences.
    4. To facilitate multi-site consultative and information-sharing 
training sessions where similar agencies, and/or agencies serving 
similar groups of refugees or working in similar environments, can 
share experiences and information.
    Through the cooperative agreement, ORR intends to be involved in 
the program in the following areas: review and approval of the 
technical assistance plan; assistance in giving ORR grantees access to 
the technical assistance provider's services; and general review of 
materials prepared for delivery of information and technical 
assistance.
    Approximately $250,000 has been allocated for this project. One 
grant will be awarded for one national project.
    State applicants who may wish to apply and issue a contract to 
provide the technical assistance should identify the sub-contractor 
organization and/or provide a description of the contractual award 
process. Applicants are advised that provision of technical assistance 
to a grantee may only be made on a requested or voluntary basis.

B. Allowable Activities

    Applicants may propose all or some combination of the following:
     Providing technical assistance to ORR grant recipients and 
other refugee service providers to promote an understanding of the 
impact of welfare and immigration reform on refugee families and 
communities.
     Obtaining and assessing refugee feedback regarding the 
information on welfare and immigration reform.
     Training and facilitation in developing strategies and 
techniques, such as:

--Effective inter-agency coordination;
--Assessing the State by State and/or national impact of the new laws 
on refugees and refugee communities.

     Peer training through multi-site information sharing 
sessions, individual agency/community consultations, and on-site 
visits.

C. Program Narrative

--A description of the applicant's organizational structure, staff 
qualifications, especially demonstrated knowledge of relevant 
provisions in welfare and immigration reform, legalization and asylum, 
and experience in communicating federal and State policies and 
regulations to local, preferably refugee, communities and service-
providers.
--A narrative description of technical assistance activities for a 
representative national or regional network of refugee communities and 
grantee agencies, with a timetable and schedule for site-visits or 
other proposed activities and related reports.
--A line-item budget and budget narrative (applicants who request 
indirect charges must attach a copy of the organization's current 
negotiated indirect cost agreement. If the applicant does not have a 
negotiated indirect cost agreement with any agency of the federal 
government, all costs must appear in the budget as direct charges).

D. Review Criteria

    Each project proposal will be rated individually by an independent 
review panel using the criteria described below:
    1. Organizational expertise is described.
    Staff qualifications are clearly presented and are appropriate to 
achieving the project's goals. Staff qualifications include 
demonstrated expertise in assisting refugees or low income ethnic 
minorities in accessing information on federal programs and 
regulations, previous experience with the provision of related 
technical assistance to refugee service-providers, experience in cross-
cultural communication, and knowledge of Federal and State TANF 
initiatives and the broader welfare and immigration reform implications 
for refugees and refugee communities. 40 points
    2. The narrative description and plan for providing technical 
assistance is clearly described; activities and time-frames are 
reasonable, feasible and will

[[Page 32635]]

achieve ORR's goals. The technical plan describes proposed activities, 
how they will be accomplished, how the applicant will meet the needs 
for technical assistance to given agencies and communities, and why 
these agencies and communities are proposed. 40 points
    3. The budget is reasonable, clearly presented, sufficiently 
detailed, and cost effective. 20 points

General Procedure for Competitive Review of Applications

    All applications which meet the stipulated deadline and other 
requirements 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.

A. Application Preparation and Submission

    Availability of Forms: Attachments contain all of the standard 
forms necessary for the application for awards under this announcement. 
Further, copies of the Federal Register containing this announcement 
are available at most local libraries and Congressional District 
Offices for reproduction. If copies are not available at these sources, 
they may be obtained by writing or telephoning the following office: 
Office of Refugee Resettlement, 370 L'Enfant Promenade S.W., 
Washington, D.C. 20447, Telephone: (202) 401-9251.

B. Forms, Certifications, Assurances, and Disclosure

    1. Applicants for financial assistance under this announcement must 
file the Standard Form (SF) 424, Application for Federal Assistance; 
SF-424A, Budget Information--Non-Construction Programs; SF-424B, 
Assurances--Non-Construction Programs. The instructions and forms 
required for submission of applications are included. The forms may be 
reproduced for use in submitting applications. An application with an 
original signature and two copies is required.
    2. Applicants must provide the following certifications. Copies of 
the forms and assurances are located at the end of this announcement.
    a. Certification regarding lobbying if your anticipated award 
exceeds $100,000.
    b. Certification regarding environmental tobacco smoke. By signing 
and submitting the applications, applicant provides certification that 
they will comply with the requirements of the Pro-Children Act of 1994 
(Pub.L. 103-227, Part C--Environmental Tobacco Smoke) and need not mail 
back the certification with the application.
    c. Certification regarding debarment, suspension, and other 
Ineligibility. By signing and submitting the applications, applicant 
provides certification that they are not presently debarred, suspended 
or otherwise ineligible for this award and therefore need not mail back 
the certification with the application.
    d. Drug-Free Workplace Act of 1988.

C. Deadline

    1. Mailed applications shall be considered as meeting an announced 
deadline if they are received on or before the deadline date by ORR at: 
U.S. Department of Health and Human Services, Administration for 
Children and Families, Office of Refugee Resettlement, Division of 
Community Resettlement, 370 L'Enfant Promenade, S.W., Sixth Floor, 
Washington, D.C. 20447, Attention: Omnibus Competition.
    Applications hand-carried 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, 
Office of Refugee Resettlement, 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.
    2. 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.
    3. Extension of deadlines: ACF may extend the deadline for all 
applicants because of acts of God such as floods, hurricanes, etc., 
widespread disruption of the mails, or when it is anticipated that many 
of the applications will come from rural or remote areas. However, if 
the granting agency does not extend the deadline for all applicants, it 
may not waive or extend the deadline for any applicants.
    4. Once an application has been submitted, it is considered as 
final and no additional materials will be accepted by ACF.

D. Nonprofit Status

    Applicants other than public agencies must provide evidence of 
their nonprofit status with their applications. Any of the following is 
acceptable evidence: (1) A copy of the applicant organization's listing 
in the Internal Revenue Service's most recent list of tax-exempt 
organizations described in section 501(c)(3) of the IRS Code; or (2) A 
copy of the currently valid IRS tax exemption certificate.

E. Intergovernmental Review

    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 
Programs and Activities.''
    As of January, 1997, 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:
    Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, 
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, American Samoa, and Palau.
    All remaining jurisdictions participate in the E.O. process and 
have established Single Points of Contact (SPOCs). A list of the Single 
Points of Contact for each State and Territory is included as Appendix 
A of this announcement.
    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

[[Page 32636]]

soon as possible so that ORR 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, 
Office of Refugee Resettlement, Division of Community Resettlement, 6th 
Floor 370 L'Enfant Promenade, SW., Washington, DC 20447.

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 OMB Clearance No. 0970-
0139.

G. Applicable Regulations

    Applicable HHS regulations can be found in 45 CFR Part 74 or 92.

H. Reporting Requirements

    Grantees are required to file Financial Status (SF-269) semi-
annually 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.
    Although ORR does not expect the proposed components/projects to 
include evaluation activities, it does expect grantees to maintain 
adequate records to track and report on project outcomes and 
expenditures by budget line item.
    The official receipt point for all reports and correspondence is 
the ORR Division of Community Resettlement. An original and one copy of 
each report shall be submitted within 30 days of the end of each 
reporting period directly to the Project Officer named in the award 
letter. The mailing address is: 370 L'Enfant Promenade SW., Sixth 
Floor, Washington, DC 20447.
    A final Financial and Program Report 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.

    Dated: June 9, 1997.
Lavinia Limon,
Director, Office of Refugee Resettlement.

Appendix A--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

California

Grants Coordinator, Office of Planning and 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. and 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

Virginia Bova, State Single Point of Contact, Department of Commerce 
and Community Affairs, James R. Thompson Center, 100 West Randolph, 
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, 
FAX: (312) 814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House, 
Indianapolis, Indiana 46204-2796, 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 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, FAX: (518) 486-
5617

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh,

[[Page 32637]]

North Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919) 
733-9571

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

Kevin Nelson, Review Coordinator, 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

Rodney Grizzle, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street--Room 331, Columbia, 
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356

Texas

Tom Adams, Governor's Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: (512) 463-1888

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

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Jeff Smith, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, 
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, 
FAX: (608) 267-6931

Wyoming

Matthew Jones, State Single Point of Contact, Office of the 
Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne, 
Wyoming 82002, Telephone: (307) 777-7446 FAX: (307) 632-3909

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

Mr. Alvaro A. Santos, Executive Officer, State Single Point of 
Contact, Ofice of Management and Budget, Office of the Governor, 
Saipan, MP, Northern Mariana Islands 96950, Telephone (670) 664-
2256, FAX: (670) 664-2272

    Contact Person:

Ms. Jacoba T. Seman, Federal Programs Coordinator, Telephone (670) 
644-2289, FAX: (670) 644-2272

Virgin Islands

Nelson Bowry, 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

    In accordance with Executive Order #12372, ``Intergovernmental 
Review of Federal Programs,'' this listing represents the designated 
State Single Points of Contact. The jurisdications not listed no 
longer participate in the process BUT GRANT APPLICANTS ARE STILL 
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITOTY, 
COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.'' 
STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama, 
Alaska, American Samoa, Colorado, Connecticut, Kansas, Hawaii, 
Idaho, Louisiana, Massachusetts, Palau, Minnesota, Montana, 
Nebraska, New Jersey, Oklahoma, Oregon, Pennsylvania, South Dakota, 
Tennessee, Vermont, Virginia, and Washington. This list is based on 
the most current information provided by the States. Information on 
any changes or apparent errors should be provided to the Office of 
Management and Budget and the State in question. Changes to the list 
will only be made upon formal question. Changes to the list will 
only be made upon formal notification by the State. Also, this 
listing is published biannually in the Catalogue of Federal Domestic 
Assistance.

BILLING CODE 4184-01-P

[[Page 32638]]

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BILLING CODE 4184-01-C

[[Page 32639]]

Instructions for the SF 424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget. Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.
    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State, 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 
items 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 allowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application

BILLING CODE 4184-01-P

[[Page 32640]]

[GRAPHIC] [TIFF OMITTED] TN16JN97.040



[[Page 32641]]

[GRAPHIC] [TIFF OMITTED] TN16JN97.041



BILLING CODE 4184-01-C

[[Page 32642]]

Instructions for the SF 424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

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 function 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 of 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 total for all columns used.

Section B. Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k, should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program

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 of a separation 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 in 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 of 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

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for

[[Page 32643]]

reducing this burden, to the Office of Management and Budget, 
Paperwork Reduction Project (0348-0043), Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

    Note: Certain of these assurances may not 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 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will 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.
    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. Sec. 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. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any 
other nondiscrimination provisions in the specific 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, as applicable, 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. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (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 
(E.O.) 11514; (b) notification of violating facilities pursuant to 
E.O. 11738; (c) protection of wetlands pursuant to E.O. 11990; (d) 
evaluation of flood hazards in floodplains in accordance with E.O. 
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. 
Secs. 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) E.O. 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 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of authorized certifying official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Applicant organization

----------------------------------------------------------------------
Date submitted

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

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish to 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which reliance placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.

[[Page 32644]]

    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transaction and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participation is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is a proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency may 
terminate this transaction for cause or default.
* * * * *

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

    (1) The prospective primary participants 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 by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for 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 three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) Where the prospective primary participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

Instruction for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    2. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact the person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [Page 33043] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participation in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    8. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participant in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.
* * * * *

Certification Regarding Debarment, Suspension, Ineligibility an 
Voluntary Exclusion--Lower Tier Covered Transaction

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that neither it nor its principals is 
presently debarred, suspended, proposed for debarment, declared 
ineligible, or voluntarily

[[Page 32645]]

excluded from participation in this transaction by any Federal 
department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.
    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F. 
Sections 76.630 (c) and (d)(2) and 76.645 (a)(1) and (b) provide 
that a Federal agency may designate a central receipt point for 
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for 
notification of criminal drug convictions. For the Department of 
Health and Human Services, the central pint is: Division of Grants 
Management and Oversight, Office of Management and Acquisition, 
Department of Health and Human Services, Room 517-D, 200 
Independence Avenue, SW., Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements (Instructions 
for Certification)

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards the 
grant. If it is later determined that the grantee knowingly rendered 
a false certification, or otherwise violates the requirements of the 
Drug-Free Workplace Act, the agency, in addition to any other 
remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State highway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios).
    7. If the workplace identified to the agency changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question 
(see paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules:
    Controlled substance means a controlled substance in Schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant; and 
(iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are on the 
grantee's payroll. This definition does not include workers not on 
the payroll of the grantee (e.g., volunteers, even if used to meet a 
matching requirement); consultants or independent contractors not on 
the grantee's payroll; or employees of subrecipients or 
subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

    The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification numbers (s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant.

Place of Performance (Street address, city, county, state, zip code)

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Check {time}  if there are workplaces on file that are not 
identified here.

Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he 
or she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in 
conducting any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or 
she will report the conviction, in writing, within 10 calendar days 
of the conviction, to every grant officer or other designee, unless 
the Federal agency designates a central point for the receipt of 
such notices. When notice is made to such a central point, it shall 
include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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 an 
agency, a Member

[[Page 32646]]

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.

Statement for Loan Guarantees and Loan Insurance

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

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Signature

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Title

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Organization

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Date

BILLING CODE 4184-01-P

[[Page 32647]]

[GRAPHIC] [TIFF OMITTED] TN16JN97.042



BILLING CODE 4184-01-C

[[Page 32648]]

Certification Regarding Environmental Tobacco Smoke

    Public Law 103-277, 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 routinely owned or 
leased or contracted for by an entity and used routinely or 
regularly for 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 $1000 
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 to be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

[FR Doc. 97-15705 Filed 6-13-97; 8:45 am]
BILLING CODE 4184-01-M