[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
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[GRAPHIC] [TIFF OMITTED] TN16JN97.042
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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