[Federal Register Volume 64, Number 14 (Friday, January 22, 1999)]
[Notices]
[Pages 3594-3601]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-1208]
[[Page 3593]]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Availability of Financial Assistance for the Mitigation of
Environmental Impacts to Indian Lands Due to Department of Defense
(DOD) Activities; Notice
Federal Register / Vol. 64, No. 14 / Friday, January 22, 1999 /
Notices
[[Page 3594]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93612-993]
Availability of Financial Assistance for the Mitigation of
Environmental Impacts to Indian Lands Due to Department of Defense
(DOD) Activities
AGENCY: Administration for Native Americans (ANA), ACF, DHHS.
ACTION: Announcement of availability of competitive financial
assistance to assist eligible applicants address environmental problems
and impacts from DOD activities to Indian lands.
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SUMMARY: The Congress has recognized that DOD activities may have
caused environmental problems for Indian tribes and Alaska Natives.
These environmental hazards can negatively impact the health and safety
as well as the social and economic welfare of Indian tribes and Alaska
Natives. Accordingly, the Congress has taken steps to help those
affected begin to mitigate environmental impacts from DOD activities by
assisting them in the planning, development and implementation of
programs for such mitigation. This environmental mitigation program was
begun through a program announcement published on December 29, 1993 as
a response to the Department of Defense Appropriations Act, Pub.L. 103-
139, which was enacted on November 11, 1993. This program continues
under Pub.L. 103-335 (the Act), enacted on September 30, 1994. Section
8094A of the Act states that funds appropriated to the Department of
Defense (DOD) for Operations and Maintenance Defense-Wide, not less
than $8,000,000 shall be made available until expended to the
Administration for Native Americans. Provided that such funds shall be
made available only for the mitigation of environmental impacts,
including training and technical assistance to tribes, related
administrative support, the gathering of information, documenting of
environmental damage, and developing a system for prioritizing of
mitigation, on Indian lands resulting from Department of Defense
activities.
DATES: The closing dates for submission of applications are March 12,
1999, November 5, 1999 and November 4, 2000.
ADDRESSES: Application Kit: Application kits, approved by the OMB under
control number 0980-0204, which expires August 31, 1999, containing the
necessary forms and instructions to apply for a grant under this
program announcement, may be obtained:
By Mail: Department of Health and Human Services, Administration for
Children and Families, Administration for Native Americans, 370
L'Enfant Promenade, SW, Mail Stop HHH 348-F, Washington, DC 20447-0002,
Attention: Aaron Sadler/Application Kit.
By Telephone: Call Janean Chambers, Telephone: (202) 690-6547.
By Telefax: Fax: (202) 690-7441.
By World-Wide-Web: Copies of this program announcement and many of the
required forms may be obtained electronically at the ANA World Wide Web
Page: http://www.acf.dhhs.gov/programs/ana/index.html
The printed Federal Register notice is the only official program
announcement. Although all reasonable efforts are taken to assure that
the files on the ANA World Wide Web Page containing electronic copies
of this Program Announcement are accurate and complete, they are
provided for information only. The applicant bears sole responsibility
to assure that the copy downloaded and/or printed from any other source
is accurate and complete.
SUPPLEMENTARY INFORMATION:
Part I--Additional Information
A. Introduction and Purpose
The program announcement states the availability of any unobligated
fiscal year 1995 financial assistance to eligible applicants using
funds provided by the DOD through the ANA for the purpose of mitigating
environmental impacts on Indian lands related to DOD activities.
Financial assistance awards made under this program announcement
will be on a competitive basis and the proposals will be reviewed
against the evaluation criteria in this announcement.
The Federal government recognizes that substantial environmental
problems, resultant from defense activities, exist on Indian lands and
will geographically range from border to border and from coast to
coast. The nature and magnitude of the problems will most likely be
better defined when affected Indian tribes and Alaska Natives have
completed environmental assessments called for in Phase I of this four-
phase program.
The Federal government has also recognized that Indian tribes,
Alaska Natives and their tribal organizations must have the opportunity
to develop their own plans and technical capabilities and access the
necessary financial and technical resources in order to assess, plan,
develop and implement programs to mitigate any impacts caused by DOD
activities.
The ANA and the DOD recognize the potential environmental problems
created by DOD activities that may affect air, water, soil and human
and natural resources (i.e., forests, fish, plants). It is also
recognized that potential applicants may have specialized knowledge and
capabilities to address specific concerns at various levels within the
four phase program.
Under this announcement proposals will be accepted for any and all
of the four phases or one specific phase. These phases are:
Phase I--assessment of Indian lands to develop as complete
an inventory as possible of environmental impacts caused by DOD
activities;
Phase II--identification and exploration of alternative
means for mitigation of these impacts and determination of the
technical merit, feasibility and expected costs and benefits of each
approach in order to select one approach;
Phase III--development of a detailed mitigation plan, and
costing and scheduling for implementation of the design, including
strategies for meeting statutory or regulatory requirements and for
dealing with other appropriate Federal agencies; and,
Phase IV--implementation of the mitigation plan.
The availability of funds is contingent upon sufficient final
appropriations. Proposed projects will be reviewed on a competitive
basis against the specific evaluation criteria presented under each
competitive area in this announcement.
ANA continues its policy that an applicant may only submit one
application and no applicant may receive more than one grant including
any existing ANA grant.
ANA introduces two new requirements within the review criteria for
budget proposals in applications. All applicants must clearly
demonstrate a plan for an employee fringe benefit package which
includes an employee retirement plan benefit, and the funding of travel
for key personnel to attend post-award grant management and
administration training sponsored by ANA.
B. Proposed Projects To Be Funded
The purpose of this announcement is to invite single year (twelve
to seventeen months) or multi-year (eighteen to thirty-six months)
proposals
[[Page 3595]]
from eligible applicants to undertake any or all of the Phases.
Applicants may apply for projects of up to 36 months duration. A
multi-year project, requiring more than 12 months to develop and
complete, affords applicants the opportunity to develop more complex
and in-depth projects. Funding after the first 12 month budget period
of an approved multi-year project is non-competitive and subject to
availability of funds.
The following are some known areas of concern. It is expected that
applicants may identify additional areas of concern in their
applications:
Damage to treaty protected spawning habitats caused by
artillery practice or other defense activities;
Damage to Indian lands and improvements (e.g. wells,
fences) and facilities caused by bombing practice;
Damage caused to range and forest lands by gunnery range
activities;
Low-level flights over sacred sites and religious
ceremonies which disrupt spiritual activities;
Movement of soil covering the remains of buried Indian
people and artifacts requiring, by tradition, their reburial in
traditional rituals;
Operation of dams by the Army Corps of Engineers which has
had adverse impacts on spawning beds and treaty fishing rights and
water quality due to problems of siltation; reduced stream flows;
increased water temperatures; and, dredge and fill problems;
Leaking of underground storage tanks on lands taken from
Indians for temporary war-time use by the DOD;
Unexploded ordnance from gunnery and bombing practice on
Indian lands resulting in significant damage to rangelands, wildlife
habitat, stock water wells, etc.;
Disposal activities related to removal of unexploded
ordnance, nuclear waste materials, toxic materials, and biological
warfare materials from Indian lands;
Transportation of live ordnance, nuclear waste, chemical
and biological warfare materials from and across Indian lands;
Seepage of fluids suspected of containing toxic materials
onto Indian lands;
Chlorofluorocarbons (CFC's) resulting from abandoned
containers and/or dumping onto Indian lands;
Polychlorinated biphenyls (PCB's) from transformers which
have been abandoned and/or dumped onto Indian lands;
Public health concerns regarding electromagnetic fields
surrounding Defense-related transmission facilities which cross Indian
lands; and
Reclamation activities required to mitigate any or all of
the above stated conditions and other activities as they become known.
Phase I
The purpose of Phase I is to conduct the research and planning
needed to identify environmental impacts to Indian lands caused by DOD
activities on or near Indian lands and to plan for remedial
investigations to determine and carry out a preliminary assessment of
these problems. These activities may include, but not be limited to,
the following:
Conduct site inspections to identify problems and causes
related to DOD activities;
Identify and develop approaches to handle raw data that
will assist in performing comprehensive environmental assessments of
problems and causes related to DOD activities;
Identify approaches and develop methodologies which will
be used to develop the activities to be undertaken in Phases II and
III;
Identify other Federal agency programs, if any, that must
be involved in mitigation activities and their requirements;
Identify potential technical assistance and expertise
required to address the activities to be undertaken in Phases II and
III; and
Identify other Federal environmental restoration programs
that could be accessed to cooperatively coordinate and mobilize
resources in addressing short and long-term activities developed under
Phase III.
Phase I should result in adequately detailed documentation of the
problems and sources of help in solving them to provide a useful basis
for examining alternative mitigation approaches in Phase II.
Phase II
The purpose of Phase II activities is to examine alternative
approaches for mitigation of the impacts identified in Phase I and to
lead toward the mitigation design to be developed in Phase III. Phase
II activities may include, but need not be limited to the following:
Conduct remedial investigation and/or feasibility studies
as necessary;
Plan for the design of a comprehensive mitigation strategy
to address problems identified during Phase I which address areas such
as land use restoration, clean-up processes, contracting and liability
concerns; regulatory responsibilities; and resources necessary to
implement clean up actions;
Design strategies that coordinate with or are
complementary to existing DOD cleanup programs such as the Defense
Environmental Restoration Program which promotes and coordinates
efforts for the evaluation and cleanup of contamination at DOD
installations;
Review possible interim remedial strategies that address
immediate potential hazards to the public health and environment in
order to provide alternative measures i.e., providing alternate water
supplies, removing concentrated sources of contaminants, or
constructing structures to prevent the spread of contamination;
Identify specific types of technical assistance and
management expertise required to assist in developing specific
protocols for environmental assessments, remedial investigations,
feasibility studies, interim remedial actions and strategic planning
for existing and future mitigation activities;
Review other types of assessments that need to be
considered, reviewed and incorporated into the conduct and/or design
process such as:
Estimates of clean-up cost;
Estimate of impacts of short-term approach;
Estimate of impacts of long-term approach;
Cultural impacts;
Economic impacts;
Human health-risk impacts; and
Document approaches and procedures which have been
developed in order to negotiate with appropriate Federal agencies for
necessary cleanup action and to keep the public informed.
In establishing the basis for a design process, particularly when
there are multiple problems, the applicants may want to consider a
prioritization process as follows:
Emergency situations that require immediate clean-up;
Time-critical sites, i.e. sites where the situation will
deteriorate if action is not taken soon;
Projects with minimum funding requirements;
Projects with intermediate-level funding requirements;
Projects with maximum funding requirements.
Achieving compliance with Federal environmental protection
legislation is the driving force behind all Federal clean-up
activities. The following is a list of major Federal environmental
legislation that should be recognized in a regulatory review as all
Federal, state and local regulatory requirements which could have major
impacts in the design of mitigation strategies:
Indian Environmental General Assistance Program Act of
1992;
[[Page 3596]]
Clean Air Act (CAA);
Clean Water Act (CWA);
Safe Drinking Water Act (SDWA);
Surface Mining Control and Reclamation Act of 1977
(SMCRA);
Marine Protection, Research and Sanctuaries Act of 1972
(MPRSA);
Toxic Substances Control Act (TSCA);
Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA);
Nuclear Waste Policy Act of 1982 (NWPA);
Comprehensive Environmental Resource Conservation and
Liability Act (CERCLA or Superfund);
Resource Conservation and Recovery Act of 1976 (RCRA);
Hazardous and Solid Waste Amendments of 1984 (HSWA);
National Environmental Policy Act of 1969 (NEPA);
Other Federal legislation that should be included in the regulatory
review and that should be of assistance are the tribal specific
legislative acts, such as:
American Indian Religious Freedom Act;
National Historic Preservation Act of 1991;
Indian Environmental Regulatory Enhancement Act of 1990;
Other regulatory considerations could involve applicable tribal,
village, state and local laws, codes, ordinances, standards, etc. which
should also be reviewed to assist in planning, the mitigation design,
and development of the comprehensive mitigation strategy.
Phase II should result in a carefully documented examination of
alternative approaches and the selection of an approach to be used in
the Phase III design process.
Phase III
The purpose of Phase III is the completion of activities initiated
under Phase II, the initiation of new activities required to implement
programs, and the design of on-site actions required to mitigate
environmental damage from DOD activities.
The Phase III activities may include but need not be limited to:
Development and implementation of a detailed management
plan to: Guide corrective action; resolve issues rising from
overlapping or conflicting jurisdictions; guide a cooperative and
collaborative effort among all parties to ensure there are no
duplicative or conflicting regulatory requirements governing the
cleanup actions; and, establish a tribal or village framework and/or
parameter(s) that will guide the negotiations process for one or
multiple cleanup actions;
Establishment of priorities for mitigation programs when
there are multiple clean-up sites; consider at a minimum the nature of
the hazard involved: such as its physical and chemical characteristics,
including concentrations and mobility of contaminants; the pathway
indicating potential for contaminant transport via surface water,
ground water and air/soil, and any other indicators that are identified
during the environmental assessment, including the prioritization
process identified under Phase II;
Program design and implementation of information
dissemination strategies prior to start up of on-site implementation of
mitigation program activities;
Development of a legal and jurisdictional strategy that
addresses DOD/contractor liability issues to ensure quality, cost-
effective mitigation services, and to evaluate any measures providing
equitable risk between the DOD and the remediation contractor, as well
as to incorporate Tribal Employment Rights Office (TERO) and other
policies and procedures, if required;
Design of an approval process and other processes
necessary for the implementation of tribal and village codes and
regulations for current and future compliance enforcement of all
mitigation actions;
Development/design of a documentation strategy to ensure
all DOD and contractor cleanup activities are conducted and completed
in a environmentally clean and safe manner for the social and economic
welfare, as well as public health of Indian and Alaska Native people
and the surrounding environment;
Development and conduct of certified training programs
that will enable a local work force to become technically capable to
participate in the mitigation activities, if they so choose; and
Conduct of any other activities deemed necessary to carry
out Phase I, II and III activities.
Phase III should result in a comprehensive plan for conducting all
aspects of mitigation action contemplated.
Phase IV
The Phase IV activities are the implementation of mitigation plans
specified in the detailed plan completed in Phase III.
C. Eligible Applicants
The following organizations are eligible to apply:
Federally recognized Indian tribes;
Incorporated Non-Federally and State recognized Indian
tribes;
Nonprofit Alaska Native Community entities, including
Alaska Native villages, or tribal governing bodies (IRA or traditional
councils) as recognized by the Bureau of Indian Affairs;
Nonprofit Alaska Native Regional Associations and/or
Corporations with village specific projects;
Nonprofit Native organizations in Alaska with village
specific projects; and
Other tribal or village organizations or consortia of
Indian tribes.
Applicants must comply with the following administrative policies:
Current grantees under this program may not be eligible
under this announcement:
Current grantees under this program whose grant project
period extends beyond September 30, 1999, or who have requested an
extension of the grant project beyond that date, are not eligible to
apply for a grant under this March 12, 1999, deadline of this
announcement.
Grantees under this program whose grant project period
extends beyond September 30, 2000, or who have requested an extension
of the grant project beyond that date, are not eligible to apply for a
grant under the November 5, 1999, deadline of this announcement.
Grantees under this program whose grant project period
extends beyond September 30, 2001, or who have requested an extention
of the grant project beyond that date, are not eligible to apply for a
grant under the November 4, 2000, deadline of this announcement.
An application from a federally recognized Tribe, Alaska
Native Village or Native American organization must be from the
governing body of the Tribe or organization.
ANA will not accept applications from tribal components
which are tribally-authorized divisions of a larger tribe, unless the
application includes a Tribal resolution which clearly demonstrates the
Tribe's support of the project and the Tribe's understanding that the
other applicant's project supplants the Tribe's authority to submit an
application under that specific competitive area both for the current
competition and for the duration of the approved grant period, should
the application be funded.
If a federally recognized Tribe or Alaska Native village
chooses not to apply, it may support another applicant's project (e.g.,
a tribal organization) which serves or impacts their reservation. In
this case, the applicant must include a Tribal resolution which clearly
demonstrates the Tribe's approval of the project and the Tribe's
understanding that the other
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applicant's project supplants the Tribe's authority to submit an
application under that specific competitive area both for the current
competition and for the duration of the approved grant period, should
the application be funded.
Any non-profit organization submitting an application must
submit proof of its non-profit status in the application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation identifying the organization as non-profit and bearing
the seal of the State in which the corporation or association is
domiciled.
If the applicant, other than a tribe or an Alaska Native
Village government, is proposing a project benefiting Native Americans
or Native Alaskans, or both, it must provide assurance that its duly
elected or appointed board of directors is representative of the
community, to be served. To establish compliance with the requirement
in the regulations for a Board representative of the community,
applicants should provide information establishing that at least ninety
(90) percent of the individuals serving on a non-profit applicant's
board fall into one or more of the following categories: (1) A current
or past member of the community to be served; (2) a prospective
participant or beneficiary of the project to be funded; or (3) have a
cultural relationship with the community to be served. A list of board
members with this information including Tribal or Village affiliation,
is one of the most suitable approaches for demonstrating compliance
with this requirement.
D. Available Funds
Subject to availability of funds, approximately $2.5 million of
financial assistance is available under this program announcement for
eligible applicants. It is expected that about 10 awards will be made,
ranging from $100,000 to $1 million.
Each eligible applicant described above can receive only one grant
award under this announcement.
E. Grantee Share of Project
Grantees must provide at least five (5) percent of the total
approved cost of the project. The total approved cost of the project is
the sum of the Federal share and the non-Federal share. The non-Federal
share may be met by cash or in-kind contributions. The funds for the
match must be from a private source, or state source where the funds
were not obtained from the Federal government by the state, or a
Federal source where legislation or regulation authorizes the use of
these funds for matching purposes.
Therefore, a project requesting $300,000 in Federal funds, must
include a match of at least $15,789 (5% total project cost). Applicants
may request a waiver of the requirement for a 5% non-Federal matching
share. Since the matching requirement is low it is not expected that
waivers will be necessary. However, the procedure for requesting a
waiver can be found in 45 CFR 1336, Subpart E--Financial Assistance
Provision.
As per 45 CFR 74.2, In-Kind contributions are defined as ``the
value of non-cash contributions provided by non-Federal third parties.
Third party-in kind contributions may be in the form of real property,
equipment, supplies and other expendable property, and the value of
goods and services directly benefiting and specifically identifiable to
the project or program.''
An itemized budget detailing the applicant's non-Federal share, and
its source(s), must be included in an application.
If an applicant plans to charge or otherwise seek credit for
indirect costs in its ANA application, a current copy of its Indirect
Cost Agreement must be included in the application.
It is the policy of ANA to apply the waiver of the non-Federal
matching share requirement for the purposes of this particular program
announcement.
F. Review Process
1. Initial Application Review
Applications submitted by the post-marked date under this program
announcement will undergo a pre-review to determine that:
The applicant is eligible in accordance with the Eligible
Applicants Section of this announcement.
The application materials submitted are sufficient to
allow the panel to undertake an in-depth evaluation. (All required
materials and forms are listed in the Grant Application Checklist.)
Applications subjected to the pre-review described above which fail
to satisfy one or more of the listed requirements will be ineligible or
otherwise excluded from competitive evaluation.
2. Competitive Review of Accepted Applications
Applications which pass the pre-review will be evaluated and rated
by an independent review panel on the basis of the specific evaluation
criteria. These criteria are used to evaluate the quality of a proposed
project, and to determine the likelihood of its success.
A proposed project should reflect the purposes stated and described
in the Introduction and Program Purpose (Section A) of this
announcement. No additional weight or preference is given to
applications because of an increased number of phases proposed. Also,
competition is not based on proposals of the same phase or phases but
on the merit of the application independent of phase consideration.
ANA staff cannot respond to requests for information regarding
funding decisions prior to the official notification to the applicants.
After the Commissioner has made decisions on all applications,
unsuccessful applicants are notified in writing within 30 days. The
notification will be accompanied by a critique including
recommendations for improving the application.
3. Appeal of Ineligibility
Applicants who are excluded from competitive evaluation because of
ineligibility, may appeal an ANA decision of applicant ineligibility.
Likewise, applicants may also appeal an ANA decision that an
applicant's proposed activities are ineligible for funding
consideration. The appeals process is stated in the final rule
published in the Federal Register on August 19, 1996 (61 FR 42817).
G. Criteria
The evaluation criteria are:
(1) Goals and Available Resources (15 points):
(a) The application presents specific mitigation goals related to
the proposed project. It explains how the tribe or village intends to
achieve those goals identified in the application and clearly documents
the involvement and support of the community in the planning process
and implementation of the proposed project. The above requirement may
be met by submission of a resolution by a tribe or tribal organization
stating that community involvement has occurred in the project planning
and will occur in the implementation of the project.
(b) The application identifies and documents pre-existing and
planned involvement and support of the community in the planning
process and
[[Page 3598]]
implementation of the proposed project. The type of community you serve
and nature of the proposal being made, will influence the type of
documentation necessary. For example, a Tribe may choose to address
this requirement by submitting a resolution stating that community
involvement has occurred in the project planning or may determine that
additional community support work is necessary.
A tribal organization may submit resolutions supporting the project
proposal from each of its members tribes, as well as a resolution from
the applicant organization. Other examples of documentation include:
Community surveys; minutes of community meetings; questionnaires;
tribal presentations; and/or discussion/position papers.
(c) Available resources (other than ANA and the non-Federal share)
which will assist, and be coordinated with the project are described.
These resources may be personnel, facilities, vehicles or financial and
may include other Federal and non-Federal resources.
These resources should be documented by letters of commitment of
resources, not merely letters of support. ``Letters of commitment'' are
binding when they specifically state the nature, the amount, and
conditions under which another agency or organization will support a
project funded with ANA funds. ``Letters of support'' merely express
another organization's endorsement of a proposed project. Support
letters are not binding commitment letters or do not factually
establish the authenticity of other resources and do not offer or bind
specific resources to the project.
For example, a letter from another Federal agency or foundation
pledging a commitment of $200,000 in construction funding to complement
proposed ANA funded pre-construction activity is evidence of a firm
funding commitment. These resources may be human, natural or financial,
and may include other Federal and non-Federal resources. Statements
that additional funding will be sought from other specific sources are
not considered a binding commitment of outside resources and therefore
carry less significance.
Non-ANA resources should be leveraged to strengthen and broaden the
impact of the proposed project in the community. Project designs should
explain how those parts of projects which ANA does not fund will be
financed through other sources. For example, ANA does not fund
construction. Applicants must show the relationship of non-ANA funded
activities to those objectives and activities that are funded with ANA
grant funds.
(2) Organizational Capabilities and Qualifications (10 points)
(a) The management and administrative structure of the applicant is
explained. Evidence of the applicant's ability to manage a project of
the proposed scope is well defined. The application clearly
demonstrates the successful management of prior or current projects of
similar scope by the organization and/or by the individuals designated
to manage the project.
(b) Position descriptions and/or resumes of key personnel,
including those of consultants, are presented. The position
descriptions and/or resumes relate specifically to the staff proposed
in the Objective Work Plan and in the proposed budget. Position
descriptions very clearly describe each position and its duties and
clearly relate to the personnel staffing required to achieve the
project objectives. Resumes and/or proposed position descriptions
demonstrate that the proposed staff are or will be qualified to carry
out the project activities. Either the position descriptions or the
resumes contain the qualifications and/or specialized skills necessary
for overall quality management of the project. Resumes must be included
if individuals have been identified for positions in the application.
Note: Applicants are strongly encouraged to give preference to
Native Americans in hiring staff and subcontracting services under
an approved ANA grant.
(3) Project Objectives, Approach and Activities (45 points).
The Objective Work Plan in the application includes project
objectives and activities related to the long term goals for each
budget period proposed and demonstrates that these objectives and
activities:
Are measurable and/or quantifiable;
Are based on a fully described and locally determined
balanced strategy for mitigation of impacts to the environment;
Clearly relate to the tribe or village long-range goals
which the project addresses;
Can be accomplished with available or expected resources
during the proposed project period;
Indicate when the objective, and major activities under
each objective will be accomplished;
Specify who will conduct the activities under each
objective; and
Support a project that will be completed, self-sustaining,
or financed by other than ANA funds at the end of the project period.
(4) Results or Benefits Expected (20 points).
The proposed project will result in specific measurable outcomes
for each objective that will clearly contribute to the completion of
the project and will help the tribe or village meet its goals. The
specific information provided in the application on expected results or
benefits for each objective is the basis upon which the outcomes can be
evaluated at the end of each budget year.
(5) Budget (10 points).
There is a detailed budget provided for each budget period
requested which:
Fully explains the budget.
Justifies each line item in the budget categories in
Section B of the Budget Information of the application, including the
applicant's non-Federal share and its source.
Explains sufficiently cost and other detail to facilitate
the determination of cost allowability and the relevance of these costs
to the proposed project.
Demonstrates that the funds requested are appropriate and
necessary for the scope of the project.
Includes sufficient funds for principal representatives
from the applicant organization to travel to one post-award grant
training and technical assistance conference. This travel and training
should occur as soon as practical.
Includes an employee fringe benefit budget that provides
grant-funded employees with a qualified, self-directed, portable
retirement plan in addition to Social Security. ANA will fund at least
five (5) percent of the employer's share, and up to the full grant-
project Federal share of employer contributions when based on a program
providing benefits equally to all grant-and non-grant employees.
ANA considers a retirement plan to be a necessary, reasonable and
allowable cost in accordance with OMB rules. Minimum standards for an
acceptable retirement fringe benefit plan are:
The plan must be ``qualified'', i.e., approved by the
Internal Revenue Service to receive special tax-favored treatment.
The plan exists for the exclusive benefit of the
participants; funds are to be used for retirement and certain other
pre-retirement needs, not for the organization's needs.
The plan must have a vesting schedule that does not exceed
the initial budget period of the ANA grant.
The plan must be a 401(k) for people who work in
corporations or 403(b) plan for people who work for not-for-profit
organizations. An alternate proposal may be submitted for review
[[Page 3599]]
and approval during grant award negotiations. Alternate proposals may
include the use of Individual Retirement Accounts, Money Purchase
Pension Plans, Defined Benefit Pension Plans, Combination Plans, etc.
In no case will a non-qualified deferred compensation plan, e.g.,
Supplemental Executive Retirement Plan (SERPs) or Executive Bonus Plan
be accepted.
H. Contact Information
Georgeline Sparks, Program Specialist, Department of Health and
Human Services, Administration for Children and Families,
Administration for Native Americans, 370 L'Enfant Promenade, SW., Mail
Stop HHH 348-F, Washington, DC 20447, tel: (202) 690-6420, e-mail:
GS[email protected]
I. General Guidance to Applicants
The following is provided to assist applicants to develop a
competitive application.
(1) Program Guidance:
The Administration for Native Americans will fund projects
that present the strongest prospects for meeting the stated purposes of
this program announcement. Projects will not be funded on the basis of
need alone.
In discussing the problems being addressed in the
application, relevant historical data should be included so that the
appropriateness and potential benefits of the proposed project will be
better understood by the reviewers and decision-maker.
Supporting documentation, if available, should be included
to provide the reviewers and decision-maker with other relevant data to
better understand the scope and magnitude of the project.
(2) Technical Guidance:
Applicants are strongly encouraged to have someone other
than the author apply the evaluation criteria in the program
announcement and to score the application prior to its submission, in
order to gain a better sense of its quality and potential
competitiveness in the review process.
ANA will accept only one application under this program
announcement from any one applicant. If an eligible applicant sends two
applications, the one with the earlier postmark will be accepted for
review unless the applicant withdraws the earlier application.
An application from an Indian tribe, Alaska Native Village
or other eligible organization must be submitted by the governing body
of the applicant.
The application's Form 424 must be signed by the
applicant's representative (tribal official or designate) who can act
with full authority on behalf of the applicant.
The Administration for Native Americans suggests that the
pages of the application be numbered sequentially from the first page
and that a table of contents be provided. The page numbering, along
with simple tabbing of the sections, would be helpful and allows easy
reference during the review process.
Two (2) copies of the application plus the original are
required.
The Cover Page should be the first page of an application,
followed by the one-page abstract.
Section B of the Program Narrative should be of sufficient
detail as to become a guide in determining and tracking project goals
and objectives.
The applicant should specify the entire length of the
project period on the first page of the Form 424, Block 13, not the
length of the first budget period. ANA will consider the project period
specified on the Form 424 as governing.
Line 15a of the Form 424 should specify the Federal funds
requested for the first Budget period, not the entire project period.
Applicants proposing multi-year projects need to describe
and submit project objective workplans and activities for each budget
period. (Separate itemized budgets for the Federal and non-Federal
costs should be included).
Applicants for multi-year projects must justify the entire
time-frame of the project and also project the expected results to be
achieved in each budget period and for the total project period.
(3) Grant Administrative Guidance:
The application's Form 424 must be signed by the
applicant's representative authorized to act with full authority on
behalf of the applicant.
The Administration for Native Americans recommends that
the pages of the application be numbered sequentially and that a table
of contents be provided. Simple tabbing of the sections of the
application is also helpful to the reviewers.
An application with an original signature and two
additional copies are required.
The Cover Page (included in the Kit) should be the first
page of an application, followed by the one-page abstract.
The applicant should specify the entire project period
length on the first page of the Form 424, Block 13, not the length of
the first budget period. Should the application propose one length of
project period and the Form 424 specify a conflicting length of project
period, ANA will consider the project period specified on the Form 424
as the request. ANA may negotiate a reduction of the project period.
The approved project period is shown on block 9 of a Financial
Assistance Award.
Line 15a of the Form 424 must specify the Federal funds
requested for the first Budget Period, not the entire project period.
Applicants may propose a 17 month project period. However,
the project period for the first year of a multi-year project may only
be 12 months.
(4) Projects or activities that generally will not meet the
purposes of this announcement.
Proposals from consortia of tribes or villages that are
not specific with regard to support from, and roles of member tribes.
The purchase of real estate or construction.
J. Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average 29.5 hours per response, including the time for
reviewing instruction, gathering and maintaining the data needed, and
reviewing the collection of information.
The following information collections are included in the program
announcement Application Kit, OMB control number 0980-0204, expires
August 31, 1999.
K. Due Date for Receipt of Applications
The closing dates for applications submitted in response to this
program announcement are March 12, 1999, November 5, 1999 and November
4, 2000.
L. Receipt of Applications
Applications must either be hand delivered or mailed to the address
in PART II, Section E, APPLICATION PROCESS.
The Administration for Native Americans will not accept
applications submitted electronically nor via facsimile (FAX)
equipment.
Deadline
Applications shall be considered as meeting the announced deadline
if they are either:
1. received on or before the deadline date at the place specified
in the program announcement, or
2. sent on or before the deadline date and received by the granting
agency in the time for the independent review under DHHS GAM Chapter 1-
62 (Applicants are cautioned to request a legibly dated U.S. Postal
Service
[[Page 3600]]
postmark or to obtain a legibly dated receipt from a commercial carrier
or U.S. Postal Service. Private Metered postmarks shall not be
acceptable as proof of timely mailing.)
Late Applications
Applications which do not meet the criteria above are considered
late applications. The granting agency shall notify each late applicant
that its application will not be considered in the current competition.
Extension of Deadlines
The granting agency may extend the deadline for all applicants
because of acts of God such as floods, hurricanes, etc., or when there
is a widespread disruption of the mails. However, if the granting
agency does not extend the deadline for all applicants, it may not
waive or extend the deadline for any applicants.
Part II--General Application Information and Guidance
A. Definitions
Funding areas in this program announcement are based on the
following definitions:
Indian land is defined as all lands used by American
Indian tribes and Alaska Native Villages.
A multi-purpose community-based Native American
organization is an association and/or corporation whose charter
specifies that the community designates the Board of Directors and/or
officers of the organization through an elective procedure and that the
organization functions in several different areas of concern to the
members of the local Native American community. These areas are
specified in the by-laws and/or policies adopted by the organization.
They may include, but need not be limited to, economic, artistic,
cultural, and recreational activities, and the delivery of human
services such as health care, day care, counseling, education, and
training.
A multi-year project is a project on a single theme that
requires more than 12 months to complete and affords the applicant an
opportunity to develop and address more complex and in-depth strategies
than can be completed in one year. A multi-year project cannot be a
series of unrelated objectives with activities presented in
chronological order over a two or three year period.
Budget Period is the interval of time (usually 12 months)
into which the project period is divided for budgetary and funding
purposes.
Core administration is funding for staff salaries for
those functions which support the organization as a whole, or for
purposes unrelated to the actual management or implementation of work
conducted under an ANA approved project. However, functions and
activities that are clearly project related are eligible for grant
funding. For example, the management and administrative functions
necessary to carry out an ANA approved project are not considered
``core administration'' and are, therefore, eligible costs.
Additionally, ANA will fund the salaries of approved staff for time
actually and reasonably spent to implement a funded ANA project.
Real Property means land, including land improvements,
structures and appurtenances thereto, excluding movable machinery and
equipment.
Construction is the term which specifies a project
supported through a discretionary grant or a cooperative agreement, to
support the initial building of a facility.
B. Activities That Cannot Be Funded
The Administration for Native Americans does not fund:
Projects that operate indefinitely or require ANA funding
on a recurring basis.
Projects in which a grantee would provide training and/or
technical assistance (T/TA) to other tribes or Native American
organizations which are otherwise eligible to apply to ANA (``third
party T/TA''). However, the purchase of T/TA by a grantee for its own
use or for its members' use (as in the case of a consortium), where T/
TA is necessary to carry out project objectives, is acceptable.
The support of on-going social service delivery programs
or the expansion, or continuation, of existing social service delivery
programs.
ANA will not fund the purchase of real property.
ANA will not fund construction.
Objectives or activities for the support of core
administration of an organization.
Costs of fund raising, including financial campaigns,
endowment drives, solicitation of gifts and bequests, and similar
expenses incurred solely to raise capital or obtain contributions are
unallowable under a grant award.
Projects or activities that generally will not meet the purposes of
this announcement are discussed further in Part I, Section H, General
Guidance to Applicants.
C. Multi-Year Projects
This announcement is soliciting applications for project periods up
to 36 months. Awards, on a competitive basis, will be for a one-year
budget period, although project periods may be as long as 36 months.
Funding after the 12 month budget period of an approved multi-year
project is non-competitive. The non-competitive funding for the second
and third years is contingent upon the grantee's satisfactory progress
in achieving the objectives of the project according to the approved
work plan, the availability of Federal funds, compliance with the
applicable statutory, regulatory and grant requirements, and
determination that continued funding is in the best interest of the
Government.
D. Intergovernmental Review of Federal Programs
This program is not covered by Executive Order 12372.
E. Application Process
(1) Application Submission by Mail:
Each application should include one signed original and two (2)
copies of the grant application, including all attachments. Assurances
and certifications must be completed. Submission of the application
constitutes certification by the applicant that it is in compliance
with Drug-Free Workplace and Debarment and these forms do not have to
be submitted. The application must be hand delivered or mailed by the
closing date to: U.S. Department of Health and Human Services,
Administration for Children and Families, ACYF/Office of Grants
Management, 370 L'Enfant Promenade, S.W., Mail Stop HHH 326-F,
Washington, D.C. 20447-0002, Attention: Lois B. Hodge--ANA No 93612-
993.
(2) Application Submission by Courier:
Hand delivered applications are accepted during the normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at: Administration for Children and
Families, ACYF/Office of Grants Managment, ACF Mail Room, Second Floor
Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C.
20024, Attention: Lois B. Hodge, ANA No. 93612-993.
The application must be signed by an individual authorized: (1) to
act for the applicant tribe, village or organization, and (2) to assume
the applicant's obligations under the terms and conditions of the grant
award.
(3) Application Consideration:
The Commissioner of the Administration for Native Americans
determines the final action to be taken
[[Page 3601]]
with respect to each grant application received under this
announcement.
The following points should be taken into consideration by all
applicants:
Incomplete applications and applications that do not
otherwise conform to this announcement will not be accepted for review.
Applicants will be notified in writing of any such determination by
ANA.
Complete applications that conform to all the requirements
of this program announcement are subjected to a competitive review and
evaluation process. An independent review panel consisting of reviewers
familiar with environmental problems of Indian tribes and Alaska Native
villages will evaluate each application against the published criteria
in this announcement. The results of this review will assist the
Commissioner in making final funding decisions.
The Commissioner's decision will also take into account
the comments of ANA staff, state and Federal agencies having
performance related information, and other interested parties.
As a matter of policy the Commissioner will make grant
awards consistent with the stated purpose of the announcement and all
relevant statutory and regulatory requirements under 45 CFR Parts 74
and 92 applicable to grants under this announcement.
After the Commissioner has made decisions on all
applications, unsuccessful applicants will be notified in writing
within approximately 120 days of the closing date. Successful
applicants are notified through an official Financial Assistance Award
(FAA) document. The Administration for Native Americans staff cannot
respond to requests for funding decisions prior to the official
notification to the applicants. The FAA will state the amount of
Federal funds awarded, the purpose of the grant, the terms and
conditions of the grant award, the effective date of the award, the
project period, the budget period, and the amount of the non-Federal
matching share requirement.
(Catalog of Federal Domestic Assistance Program Number 93.612
Native American Programs)
Dated: January 13, 1999.
Gary N. Kimble,
Commissioner, Administration for Native Americans.
[FR Doc. 99-1208 Filed 1-21-99; 8:45 am]
BILLING CODE 4184-01-P