[Federal Register Volume 63, Number 187 (Monday, September 28, 1998)]
[Notices]
[Pages 51772-51776]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-25843]



[[Page 51771]]

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Part VI





Department of Labor





_______________________________________________________________________



Employment and Training Administration



_______________________________________________________________________



Job Training Partnership Act: Indian and Native American Employment and 
Training Programs; Solicitation for Grant Application: Final Grantee 
Designation Procedures for Program Year 1999; Notice

  Federal Register / Vol. 63, No. 187 / Monday, September 28, 1998 / 
Notices  

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DEPARTMENT OF LABOR

Employment and Training Administration


Job Training Partnership Act: Indian and Native American 
Employment and Training Programs; Solicitation for Grant Application: 
Final Grantee Designation Procedures for Program Year 1999

AGENCY: Employment and Training Administration, Department of Labor.

ACTION: Notice of final designation procedures for grantees.

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SUMMARY: This document contains the procedures by which the Department 
of Labor (DOL) will designate potential grantees to receive a one-year 
grant for Indian and Native American Employment and Training Programs 
under the Job Training Partnership Act (JTPA). Grantees participating 
in the Pub. L. 102-477 Demonstration Project are exempted from 
competition. The designations will be for JTPA Program Year (PY) 1999 
(July 1, 1999 through June 30, 2000). This notice provides the 
information prospective grant applicants need to submit appropriate 
requests for designation.

DATES: Final Notices of Intent must be postmarked (U.S. Postal Service) 
no later than January 1, 1999.

ADDRESS: Send an original and two copies of the Final Notices of Intent 
to Ms. Anna Goddard, Director, Office of National Programs, Room N-4641 
FPB ATTN: MIS Desk, U.S. Department of Labor, 200 Constitution Avenue, 
N.W., Washington, D.C. 20210.

SUPPLEMENTARY INFORMATION: Because these designation procedures involve 
only the final 12-month period authorized under the Job Training 
Partnership Act (JTPA) (July 1, 1999--June 30, 2000), the Department of 
Labor (DOL) has sought to minimize disruption by applying the waiver of 
competition provisions of section 401(l) of JTPA. JTPA section 401 
grantees who are presently operating under Pub. L. 102-477, The Indian 
Employment, Training, and Related Services Demonstration Act of 1992, 
must submit a Final Notice of Intent for redesignation under this 
procedure in order to maintain their service area designation and 
eligibility for funds under this title. They are, however, exempt from 
competition for the current service areas covered in their ``477 
Plans'', assuming all other designation requirements continue to be 
met.

Job Training Partnership Act: Indian and Native American Programs; 
Final Designation Procedures for Program Year 1999

Table of Contents

Introduction: Scope and Purpose of Notice
    I. General Designation Principles
    II. Waiver Provision
    III Final Notice of Intent
    IV. Preferential Hierarchy for Determining Designations
    V. Use of Panel Review Procedure
    VI. Notification of Designation/Nondesignation
    VII. Special Designation Situations
    VIII. Designation Process Glossary

Introduction: Scope and Purpose of Notice

    Section 401 of the Job Training Partnership Act (JTPA) authorize 
programs to serve the employment and training needs of Indians and 
Native Americans.
    Requirements for these programs are set forth in the Act, and in 
the JTPA section 401 regulations at 20 CFR part 632. The specific 
organization eligibility and application requirements for designation 
are set forth at 20 CFR 632.10 and 632.11. Pursuant to these 
requirements, the Department of Labor (DOL) selects entities for 
funding under section 401. It designates such entities as potential 
Native American section 401 grantees which will be awarded grant funds 
contingent upon all other grant award requirements being met. This 
notice describes how DOL will designate potential grantees who may 
apply for grants for Program Year 1999.
    The Final Notice of Intent (see Part III, below) is mandatory for 
all applicants. Any organization interested in being designated as a 
Native American section 401 grantee should be aware of and comply with 
the procedures in these parts.
    The amount of JTPA section 401 funds to be awarded to designated 
Native American section 401 grantees is determined under procedures 
described at 20 CFR 632.171 and not through this designation process. 
The JTPA grant application process is described at 20 CFR 632.18 
through 632.20.

I. General Designation Principles

    Based on JTPA and applicable regulations, the following general 
principles are intrinsic to the designation process:
    (1) All applicants for designation shall comply with the 
requirements found at 20 CFR part 632, subpart B, regardless of their 
apparent standing in the preferential hierarchy (see Part IV, 
Preferential Hierarchy For Determining Designations, below). The basic 
eligibility, application and designation requirements are found in 20 
CFR part 632, subpart B.
    (2) The nature of this program is such that Indians and Native 
Americans are entitled to program services and are best served by a 
responsible organization directly representing them and designated 
pursuant to the applicable regulations. The JTPA and the governing 
regulations give clear preference to Native American-controlled 
organizations. That preference is the basis for the steps which will be 
followed in designating grantees.
    (3) A State or Federally-recognized tribe, band or group on its 
reservation is given absolute preference over any other organization if 
it has the capability to administer the program and meets all 
regulatory requirements. This preference generally applies only to the 
area within the reservation boundaries. With regard to eligibility, 
every attempt, consistent with law and regulation, will be made to 
qualify newly Federally-recognized tribes. However, pursuant to 20 CFR 
632.171 and Sec. 162(a) of JTPA, Census data are still necessary to 
determine funding amounts.
    In the event that such a tribe, band or group (including an Alaskan 
Native entity) is not designated to serve its reservation or geographic 
service area, the DOL will consult with the governing body of such 
entities when designating alternative service deliverers, as provided 
at 20 CFR 632.10(e). Such consultation may be accomplished in writing, 
in person, or by telephone, as time and circumstances permit. When it 
is necessary to select alternative service deliverers, the Grant 
Officer will continue to utilize input and recommendations from the 
Division of Indian and Native American Programs (DINAP).
    (4) In designating Native American section 401 grantees for off-
reservation areas not awarded to Federally-recognized tribes, DOL will 
provide preference to Indian and Native American-controlled 
organizations as described in 20 CFR 632.10(f) and as further clarified 
in Part VIII (1) Indian or Native American-Controlled Organization of 
this notice. As noted in (3) above, when vacancies occur, the Grant 
Officer will continue to utilize input and recommendations from DINAP 
when designating alternative service deliverers.
    (5) Incumbent and non-incumbent applicants seeking additional areas 
must submit evidence of significant support from other employment and 
training or other social services organizations within the communities 
(geographic service areas) which they are currently

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serving or requesting to serve. DOL will give particular weight to 
support from Native American-controlled organizations, but support from 
other (i.e., State and local) agencies/organizations will also be 
accepted. See Part III, Final Notice of Intent, below, for more 
details.
    (6) The Grant Officer will make the designations using a two-part 
process:
    (a) Those applicants described in Part IV (1) of the Preferential 
Hierarchy For Determining Designations will be designated on a 
noncompetitive basis if all pre-award clearances, responsibility 
reviews, and regulatory requirements are met.
    (b) All applicants described in Part IV, (2), (3), and (4) of the 
Preferential Hierarchy For Determining Designations, which have not 
been granted waivers, will be considered on a competitive basis for 
such areas, and all information submitted with the Final Notice of 
Intent or in response to a request from the Grant Officer, as well as 
pre-award clearances, responsibility reviews, and all regulatory 
requirements will be considered in the competitive process.
    (7) Special employment and training services for Indian and Native 
American people have been provided through an established service 
delivery network for the past 24 years under the authority of JTPA 
section 401 and its predecessor, section 302 of the repealed 
Comprehensive Employment and Training Act (CETA). The DOL intends to 
exercise its designation authority to preserve the continuity of such 
services and to prevent the undue fragmentation of existing geographic 
service areas. Consistent with the present regulations and other 
provisions of this notice, this will include preference for those 
Native American organizations with an existing capability to deliver 
employment and training services within an established geographic 
service area. Such preference will be determined through input and 
recommendations from the Chief of DOL's Division of Indian and Native 
American Programs (DINAP) and the Director of DOL's Office of National 
Programs (ONP), and through the use of the rating system described in 
this Notice. Unless a non-incumbent applicant in the same preferential 
hierarchy as an incumbent applicant grantee can demonstrate that it is 
significantly superior overall to the incumbent, the incumbent will be 
designated, if it otherwise meets all of the requirements for 
redesignation.
    (8) In preparing applications for designation, applicants should 
bear in mind that the purpose of the JTPA, as amended, is ``to 
establish programs to prepare youth and adults facing serious barriers 
to employment for participation in the labor force by providing job 
training and other services that will result in increased employment 
and earnings, increased education and occupational skills, and 
decreased welfare dependency, thereby improving the quality of the work 
force and enhancing the productivity and competitiveness of the 
Nation.''
    After making the initial waiver determinations, DOL's first step in 
the designation process is to determine which areas have more than one 
potential applicant for designation. This should be accomplished by 
January 8, 1999. For those areas for which no waiver has been granted, 
each such organization will be notified as soon as possible of the 
potential for competition, and will be apprised of the identity of the 
other organization(s) applying for that area. Such notification will 
instruct all potential competitors to submit full Notice(s) of Intent 
by the required postmark deadline of January 31, 1999 (see Part III, 
Final Notice of Intent, below).
    It is DOL policy that, to the extent that compliance with the 
regulations permits, a geographic service area and the applicant which 
will operate a section 401 program in that area are to be determined by 
the Native American community to be served by the program. Applicants 
in competition should take special care with the material submitted to 
supplement their Final Notices of Intent to ensure that they are 
complete and fully responsive to all matters covered by the 
preferential hierarchy and rating systems discussed in this notice.
    (9) Although tribes and organizations participating in the 
employment and training demonstration project under Pub. L. 102-477 
qualify for exemption from designation competition under Sec. 401(l) of 
JTPA, they still must submit a Final Notice of Intent (see Section III, 
below) to continue to receive funds under the JTPA.

II. Waiver Provision

    JTPA section 401(l) states:

    ``The competition for grants under this section shall be 
conducted every 2 years, except that if a recipient of such a grant 
has performed satisfactorily under the terms of the existing grant 
agreement, the Secretary may waive the requirement for such 
competition on receipt from the recipient of a satisfactory 2-year 
program plan for the succeeding 2-year grant period.''

    Because of the impending expiration of JTPA, the Department is 
exercising this waiver authority for PY 1999. All incumbent grantees 
who have performed ``satisfactorily'', both programmatically and 
administratively, under their present grant may receive a waiver for 
the PY 1999 designation period. The responsibility review criteria at 
20 CFR 632.11(d) of the current regulations serve as the baseline 
instrument to determine ``satisfactory'' performance, although other 
factors may be involved.
    Unlike the designation procedures for PY's 1995-96, incumbent 
grantees will not have to request a waiver for PY 1999. The Department 
will determine those grantees which qualify for a waiver, and will 
publish this list in the Federal Register by November 15, 1998. 
Incumbent grantees, including tribes serving areas outside their 
reservations, which are not granted waivers will be subject to the 
competitive process published in this solicitation.
    Incumbent grantees receiving a waiver will be required to submit 
only an SF-424 for their currently-designated service area(s) 
postmarked by January 1, 1999.
    Non-incumbent applicants who qualify for Preferential Hierarchy 
Status 1 may apply by January 1, 1999 for and be designated to serve 
their Hierarchy 1 service area(s), providing these applicants are 
otherwise fundable.
    Tribes and organizations participating in the employment and 
training demonstration project under Pub. L. 102-477 are automatically 
granted waivers, unless they have outstanding and serious unresolved 
issues with the Department which affect their continued JTPA 
designation.

III. Final Notice of Intent

    Even though a waiver may be granted, all applicants must submit an 
original and two copies of a Final Notice of Intent (FNOI) (which may, 
in some instances as noted above, be only an SF-424, properly completed 
and signed), postmarked (by the U.S. Postal Service) not later than 
January 1, 1999, consistent with the regulations at 20 CFR 632.11. 
Final Notices of Intent may also be delivered in person not later than 
the close of business on the first business day of the designation 
year.
    Final Notices of Intent are to be sent to the Chief, Division of 
Indian and Native American Programs (DINAP), at the address cited 
above.

Final Notice of Intent Contents: (As Outlined at 20 CFR 632.11)

     A completed and signed SF-424, ``Application for Federal 
Assistance'';
     An indication of the applicant's legal status, including 
articles of incorporation or consortium agreement as appropriate;

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     A clear indication of the territory being applied for, by 
State(s), counties, and/or reservation(s);
    If the Grant Officer determines that there is competition for all 
or part of a given service area, the following information may also be 
required of competing entities:
     Evidence of community support from Native American-
controlled organizations, State agencies, or individuals in a position 
to speak to the employment and training competence of the entity; and
     Other information relating to capability, such as service 
plans and previous experience which the applicant feels will strengthen 
its case, including information on any unresolved or outstanding 
administrative problems.
    Exclusive of charts or graphs and letters of support, the 
additional information submitted to augment the Notice of Intent in a 
situation involving competition should not exceed 75 pages of double-
space unreduced type.
    Incumbent and non-incumbent State and Federally-recognized tribes 
need not submit evidence of community support regarding their own 
reservations. However, such entities are required to provide such 
evidence for any area which they wish to serve beyond their reservation 
boundaries, or their Congressionally-mandated or Federally-established 
service areas.
    As stated above, if no competition exists, the regulations permit 
current grantees requesting their existing geographic service areas to 
submit only an SF-424 in lieu of a complete application, including 
those grantees currently participating in the demonstration under Pub. 
L. 102-477 who are exempt from designation cycle competition. If 
competition is determined to exist, current grantees, other than 
tribes, bands or groups (including Alaskan Native entities) requesting 
their existing areas, will be instructed to submit a ``full'' Final 
Notice of Intent, which will include the supplementary information 
outlined above. If a waiver has been granted an incumbent, no further 
information is necessary, beyond the submission of the SF-424. Tribes, 
bands or groups (including Alaskan Native entities) will be asked to 
submit a full Final Notice of Intent if they intend to serve areas 
beyond their reservation boundaries.
    Any organization applying by January 1, 1999, for non-contiguous 
geographic service areas shall prepare a separate, complete Final 
Notice of Intent (including the above-referenced supplementary 
information relating to community support and capability) for each such 
area unless currently designated and granted a waiver for such area(s).
    It is DOL's policy that no information affecting the panel review 
process will be solicited or accepted past the regulatory postmarked or 
hand-delivered deadlines of January 1 or January 31 (see Part V, Use of 
Panel Review Procedure, below). All information provided before these 
deadlines must be in writing.
    This policy does not preclude the Grant Officer from requesting 
additional information independent of the panel review process.

IV. Preferential Hierarchy for Determining Designation

    In cases in which only one organization is applying for a clearly 
identified geographic service area and the organization meets the 
requirements at 20 CFR 632.10(b) and 632.11(d), DOL shall designate the 
applying organization as the grantee for the area. In cases in which 
two or more organizations apply for the same area (in whole or in part) 
and a waiver has not been granted the incumbent, and the incumbent is 
otherwise fundable, DOL will utilize the order of designation 
preference described in the hierarchy below. The higher-ranking 
organization will be designated, assuming all other requirements are 
met. The preferential hierarchy is:
    (1) Indian tribes, bands or groups on Federal or State reservations 
for their reservation, or their Congressionally-mandated or Federally-
established service area; Oklahoma Indians only as specified in Part 
VII, Special Designation Situations, below; and Alaskan Native entities 
only specified in Part VII, Special Designation Situations, below.
    (2) Native American-controlled, community-based organizations as 
defined in Part VIII (1) of the glossary in this notice, with 
significant support from other Native American-controlled organizations 
within the service community. This includes tribes applying for 
geographic service areas other than their own reservations.
    When a non-incumbent can demonstrate in its application, by 
verifiable information, that it is potentially significantly superior 
overall to the incumbent, and the incumbent has not been granted a 
waiver, a formal competitive process will be utilized which may include 
a panel review. Such potential will be determined by the consideration 
of such factors as the following: completeness of the application and 
quality of the contents; documentation of relevant experience; Native 
American-controlled organizational support; understanding of area 
training and employment needs and approach to addressing such needs; 
and the capability of the incumbent. If there is no incumbent, new 
applicants qualified for this category would compete against each 
other.
    (3) Organizations (private nonprofit or units of State or local 
governments) having significant Native American control, such as a 
governing body or administration chaired or headed by a Native American 
and having a majority membership of Native Americans.
    (4) Non-Native American-controlled organizations. In the event such 
an organization is designated, it must develop a Native American 
advisory process as a condition for the award of a grant.
    The Chief, DINAP, will make determinations regarding hierarchy, 
geographic service areas, eligibility of new applicants and the 
timeliness of submissions. He may convene a task force to assist in 
making such determinations. The role of the task force is that of a 
technical advisory body.
    The Chief, DINAP, will ultimately advise the Grant Officer in 
reference to which position an organization holds in the designation 
hierarchy. Within the regulatory time constraints of the designated 
process, the Chief, DINAP, will utilize whatever information is 
available.
    The applying organization must supply sufficient information to 
permit the determination to be made. Organizations must indicate the 
category which they assume is appropriate and must adequately support 
that assertion.

V. Use of Panel Review Procedure

    A formal competitive process may be utilized under the following 
circumstances:
    (1) The Chief, DINAP, advises that a new applicant qualified for 
the second category of the hierarchy appears to be potentially 
significantly superior overall to an incumbent Native American-
controlled, community-based organization (which has not been granted a 
waiver) with significant local Native American community support.
    (2) The Chief, DINAP, advises that more than one new applicant is 
qualified for the second category of the hierarchy, and the incumbent 
grantee has not reapplied for designation.
    (3) The Chief, DINAP, advises that two or more organizations have 
equal status in the third or fourth categories of the hierarchy, when 
there are no

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applicants qualified for the first and second categories.
    When competition occurs, the Grant Officer may convene a review 
panel of Federal Officials to score the information submitted with the 
Final Notice of Intent. The purpose of the panel is to evaluate an 
organization's capability, based on its application, to serve the area 
in question. The panel will be provided only the information described 
at 20 CFR 632.11 and submitted with the ``full'' Final Notice of Intent 
by the deadline of January 31, 1999. The panel will not give weight to 
undocumented assertions. Any information must be supported by adequate 
and verifiable documentation, e.g., supporting references must contain 
the name of the contact person, an address and telephone number.
    The factors listed below will be considered in evaluating the 
capability of the applicant. In providing additional information to 
supplement the Final Notice of Intent, the applicant should organize 
his documentation of capability to correspond with these factors.
    (1) Operational Capability--40 points. (20 CFR 632.10 and 632.11)
    (a) Previous experience in successfully operating an employment and 
training program serving Indians and Native Americans of a scope 
comparable to that which the organization would operate if designated--
20 points.
    (b) Previous experience in operating other human resources 
development programs serving Indians or Native Americans or 
coordinating employment and training services with such programs--10 
points.
    (c) Ability to maintain continuity of services to Indian or Native 
American participants with those previously provided under JTPA--10 
points.
    (2) Identification of the training and employment problems and 
needs in the requested area and approach to addressing such problems 
and needs--20 points. (20 CFR 632.2)
    (3) Planning Process--20 points. (20 CFR 632.11)
    (a) Private sector involvement--10 points.
    (b) Community support as defined in Part VIII (1), Designation 
Process Glossary, and documentation as provided in Part I (5), General 
Designation Principles--10 points.
    (4) Administrative Capability--20 points. (20 CFR 632.11)
    (a) Previous experience in administering public funds under DOL or 
similar administrative requirements--15 points.
    (b) Experience of senior management staff to be responsible for a 
DOL grant--5 points.

VI. Notification of Designation/Nondesignation

    The Grant Officer will make the final designation decision giving 
consideration to the following factors: The review panel's 
recommendation, in those instances where a panel is convened; input 
from DINAP, the Office of National Programs, the DOL Employment and 
Training Administration's Office of Grant and Contracts Management and 
Office of Management Services, and the DOL Office of the Inspector 
General; and any other available information regarding the 
organization's financial and operational capability, and 
responsibility. The Grant Officer will make decisions by March 1, 1999, 
and will provide them to all applicants as follows:
    (1) Designation Letter. The designation letter signed by the Grant 
Officer will serve as official notice of an organization's designation. 
The letter will include the geographic service area for which the 
designation is made. It should be noted that the Grant Officer is not 
required to adhere to the geographical service area requested in the 
Final Notice of Intent. The Grant Officer may make the designation 
applicable to all of the area requested, a portion of the area 
requested, or if acceptable to the designee, more than the area 
requested.
    (2) Conditional Designation Letter. Conditional designations will 
include the nature of the conditions, the actions required to be 
finally designated and the time frame for such actions to be 
accomplished.
    (3) Nondesignation Letter. Any organization not designated, in 
whole or in part, for a geographic service area requested will be 
notified formally of the NONDESIGNATION and given the basic reasons for 
the determination. An applicant for designation which is refused such 
designation, in whole or in part, may file a Petition for 
Reconsideration in accordance with 20 CFR 632.13, and subsequently, may 
appeal the NONDESIGNATION to an administrative law judge under the 
provisions of 20 CFR part 636.
    If an area is not designated for service through the foregoing 
process, alternative arrangements for service will be made in 
accordance with 20 CFR 632.12.

VII. Special Designation Situations

    (1) Alaskan Native Entities. DOL has established geographic service 
areas for Alaskan Native employment and training based on the 
following: (a) The boundaries of the regions defined in the Alaskan 
Native Claims Settlement Act (ANCSA); (b) the boundaries of major 
subregional areas where the primary provider of human resource 
development related services is an Indian Reorganization Act (IRA)-
recognized tribal council; and (c) the boundaries of the one Federal 
reservation in the State. Within these established geographic service 
areas, DOL will designate the primary Alaskan Native-controlled human 
resource development services provider or an entity formally designated 
by such provider. In the past, these entities have been regional 
nonprofit corporations, IRA-recognized tribal councils, and the tribal 
government of the Metlakatla Indian Community. DOL intends to follow 
these principles in designating Native American grantees in Alaska for 
Program Year 1999.
    (2) Oklahoma Indians. DOL has established a service delivery system 
for Indian employment and training programs in Oklahoma based on a 
preference for Oklahoma Indians to serve portions of the State. 
Generally, geographic service areas have been designated geographically 
as countywide areas. In cases in which a significant portion of the 
land area of an individual county lies within the traditional 
jurisdiction(s) of more than one tribal government, the service area 
has been subdivided to a certain extent on the basis of tribal 
identification information contained in the most recent Federal 
Decennial Census of Population. Wherever possible, arrangements 
mutually satisfactory to grantees in adjoining or overlapping 
geographic service areas have been honored by DOL. DOL intends to 
follow these principles in designating Native American grantees in 
Oklahoma for Program Year 1999, to preserve continuity and prevent 
unnecessary fragmentation.

VIII. Designation Process Glossary

    In order to ensure that all interested parties have the same 
understanding of the process, the following definitions are provided:
    (1) Indian or Native American-Controlled Organization. This is 
defined as any organization with a governing board, more than 50 
percent of whose members are Indians or Native Americans. Such an 
organization can be a tribal government, Native Alaskan or Native 
Hawaiian entity, consortium, or public or private nonprofit agency. For 
the purpose of hierarchy determinations, the governing board

[[Page 51776]]

must have decision-making authority for the section 401 program.
    (2) Service Area. This is defined as the geographic area described 
as States, counties, and/or reservations for which a designation is 
made. In some cases, it will also show the specific population to be 
served. The service area is defined by the Grant Officer in the formal 
designation letter. Grantees must ensure that all eligible population 
members have equitable access to employment and training services 
within the service area.
    (3) Community Support. This is evidence of active participation 
and/or endorsement from employment and training and/or related public 
service organizations within the geographic service area for which 
designation is requested. Priority will be given to Indian or Native 
American-controlled organizations within the geographic service area 
for which designation is requested, although applicants are not 
precluded from submitting attestations of support from individuals, the 
business community, State and local government offices, and community 
organizations that are not Indian or Native American-controlled. All 
such endorsements submitted as ``community support'' should address the 
employment and training/social services capability of the organization. 
Other support, such as that concerning cultural or social functions, 
would not meet DOL's definitional criteria for community support.

    Signed at Washington, D.C., this 22nd day of September, 1998.
Anna W. Goddard,
Director, Office of National Programs.

E. Fred Tello,
Grant Officer, Office of Grants and Contracts Management, Division of 
Acquisition and Assistance.
[FR Doc. 98-25843 Filed 9-25-98; 8:45 am]
BILLING CODE 4510-30-P