[No title available]

[Federal Register Volume 59, Number 116 (Friday, June 17, 1994)]

[Unknown Section]

[Page 0]

From the Federal Register Online via the Government Publishing Office [www.gpo.gov]

[FR Doc No: 94-14752]

[[Page Unknown]]

[Federal Register: June 17, 1994]

TN17JN94.049

BILLING CODE 4184-01-C

INSTRUCTIONS FOR THE SF 424

This is a standard form used by applicants as a required facesheet

for preapplications and applications submitted for Federal assistance.

It will be used by Federal agencies to obtain applicant certification

that States which have established a review and comment procedure in

response to Executive Order 12372 and have selected the program to be

included in their process, have been given an opportunity to review the

applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (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 item 15.

16. Applicants should contact the State Single Point of Contact (SPOC)

for Federal Executive Order 12372 to determine whether the application

is subject to the State intergovernmental review process.

17. This question applies to the applicant organization, not the person

who signs as the authorized representative. Categories of debt include

delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the applicant. A

copy of the governing body's authorization for you to sign this

application as official representative must be on file in the

applicant's office. (Certain Federal agencies may require that this

authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

TN17JN94.051

TN17JN94.047

BILLING CODE 4184-01-C

Instructions for the SF-424A

General Instructions

This form is designed so that application can be made for funds

from one or more grant programs. In preparing the budget, adhere to

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

shown by function or activity. For other programs, grantor agencies

may require a breakdown by function or activity. Sections A, B, C,

and D should include budget estimates for the whole project except

when applying for assistance which requires Federal authorization in

annual or other funding period increments. In the latter case,

Sections A, B, C, and D should provide the budget for the first

budget period (usually a year) and Section E should present the need

for Federal assistance in the subsequent budget periods. All

applications should contain a breakdown by the object class

categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter on Line 1 under Column (a)

the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget

amounts by multiple functions or activities, enter the name of each

activity or function on each line in Column (a), and enter the

catalog number in Column (b). For applications pertaining to

multiple programs where none of the programs require a breakdown by

function or activity, enter the catalog program title on each line

in Column (a) and the respective catalog number on each line in

Column (b).

For applications pertaining to multiple programs where one or

more programs require a breakdown by function or activity, prepare a

separate sheet for each program requiring the breakdown. Additional

sheets should be used when one form does not provide adequate space

for all breakdown of data required. However, when more than one

sheet is used, the first page should provide the summary totals by

programs.

Lines 1-4, Columns (c) through (g.)

For new applications, leave Columns (c) and (d) blank. For each

line entry in Columns (a) and (b), enter in Columns (e), (f), and

(g) the appropriate amounts of funds needed to support the project

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

before the end of each funding period as required by the grantor

agency. Enter in Columns (c) and (d) the estimated amounts of funds

which will remain unobligated at the end of the grant funding period

only if the Federal grantor agency instructions provide for this.

Otherwise, leave these columns blank. Enter in columns (e) and (f)

the amounts of funds needed for the upcoming period. The amount(s)

in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not

use Columns (c) and (d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and enter in Column (f) the

amount of the increase or decrease of non-Federal funds. In Column

(g) enter the new total budgeted amount (Federal and non-Federal)

which includes the total previous authorized budgeted amounts plus

or minus, as appropriate, the amounts shown in Columns (e) and (f).

The amount(s) in Column (g) should not equal the sum of amounts in

Columns (e) and (f).

Line 5--Show the totals for all columns used.

Section B. Budget Categories

In the column headings (1) through (4), enter the titles of the

same programs, functions, and activities shown on 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

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal-Resources

Lines 8-11--Enter amounts of non-Federal resources that will be

used on the grant. If in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)--Enter the program titles identical to Column (a),

Section A. A breakdown by function or activity is not necessary.

Column (b)--Enter the contribution to be made by the applicant.

Column (c)--Enter the amount of the State's cash and in-kind

contribution if the applicant is not a State or State agency.

Applicants which are a State or State agencies should leave this

column blank.

Column (d)--Enter the amount of cash and in-kind contributions

to be made from all other sources.

Column (e)--Enter totals of Columns (b), (c), and (d).

Line 12--Enter the total for each of Columns (b)-(e). The amount

in Column (e) should be equal to the amount on Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13--Enter the amount of cash needed by quarter from the

grantor agency during the first year.

Line 14--Enter the amount of cash from all other sources needed

by quarter during the first year.

Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of the

Project

Line 16-19--Enter in Column (a) the same grant program titles

shown in Column (a), Section A. A breakdown by function or activity

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

which will be needed to complete the program or project over the

succeeding funding periods (usually in years). This section need not

be completed for revisions (amendments, changes, or supplements) to

funds for the current year of existing grants.

If more than four lines are needed to list the program titles,

submit additional schedules as necessary.

Line 20--Enter the total for each of the Columns (b)-(e). When

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21--Use this space to explain amounts for individual direct

object-class cost categories that may appear to be out of the

ordinary or to explain the details as required by the Federal

grantor agency.

Line 22--Enter the type of indirect rate (provisional,

predetermined, final or fixed) that will be in effect during the

funding period, the estimated amount of the base to which the rate

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

Assurances-Non-Construction Programs

Note: Certain of these assurances may not be applicable to your

project or program. If you have questions, please contact the

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duly authorized representative of the applicant I certify

that the applicant:

1. Has the legal authority to apply for Federal assistance, and

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share of project costs) to

ensure proper planning, management and completion of the project

described in this application.

2. Will give the awarding agency, the Comptroller General of the

United States, and if appropriate, the State, through any authorized

representative, access to and the right to examine all records,

books, papers, or documents related to the award; and will establish

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

4. Will initiate and complete the work within the applicable

time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970

(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for

merit systems for programs funded under one of the nineteen statutes

or regulations specified in Appendix A of OPM's Standards for a

Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) title

VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

Secs. 1681-1683, and 1685-1686), which prohibits discrimination on

the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,

as amended (29 U.S.C. Sec. 794), which prohibits discrimination on

the basis of handicaps; (d) the Age Discrimination Act of 1975, as

amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination

on the basis of age; (e) the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to nondiscrimination on the

basis of drug abuse; (f) the Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

(P.L. 91-616), as amended, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C. 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 with the provisions of the Hatch Act (5 U.S.C.

Secs. 1501-1508 and 7324-7328) which limit the political activities

of employees whose principal employment activities are funded in

whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-

Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40

U.S.C. Sec. 276c and 18 U.S.C. 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

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with the approved State

management program developed under the Coastal Zone Management Act

of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal

actions to State (Clear Air) Implementation Plans under Section

176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401

et seq.); (g) protection of underground sources of drinking water

under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-

523); and (h) protection of endangered species under the Endangered

Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16

U.S.C. Secs. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic

Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of

human subjects involved in research, development, and related

activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966

(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the

care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead

based paint in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

----------------------------------------------------------------------

Signature of Authorized Certifying Official

----------------------------------------------------------------------

Title

----------------------------------------------------------------------

Applicant Organization

----------------------------------------------------------------------

Date Submitted

Executive Order 12372--State Single Points of Contact

Arizona

Mrs. Janice Dunn, ATTN: Arizona State Clearinghouse, 3800 N. Central

Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315

Arkansas

Tracie L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and

Administration, P.O. Box 3278, Little Rock, Arkansas 72203,

Telephone (501) 682-1074

California

Glenn Stober, Grants Coordinator, Office of Planning and Research,

1400 Tenth Street, Sacramento, California 95814, Telephone (916)

323-7480

Colorado

State Single Point of Contact, State Clearinghouse, Division of

Local Government, 1313 Sherman Street, Room 520, Denver, Colorado

80203, Telephone (303) 866-2156

Delaware

Ms. Francine Booth, State Single Point of Contact, Executive

Department, Thomas Collins Building, Dover, Delaware 19903,

Telephone (302) 736-3326

District of Columbia

Rodney T. Hallman, State Single Point of Contact, Office of Grants

Management and Development, 717 14th Street, N.W., Suite 500,

Washington, D.C. 20005, Telephone (202) 727-6551

Florida

Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,

Executive Office of the Governor, Office of Planning and Budgeting,

The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-

8441

Georgia

Charles H. Badger, Administrator, Georgia State Clearinghouse, 254

Washington Street, S.W., Atlanta, Georgia 30334, Telephone (404)

656-3855

Illinois

Steve Klokkenga, State Single Point of Contact, Office of the

Governor, 107 Stratton Building, Springfield, Illinois 62706,

Telephone (217) 782-1671

Indiana

Jean S. Blackwell, Budget Director, State Budget Agency, 212 State

House, Indianapolis, Indiana 46204, Telephone (317) 232-5610

Iowa

Steven R. McCann, Division of Community Progress, Iowa Department of

Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,

Telephone (515) 281-3725

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local

Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,

Telephone (502) 564-2382

Maine

Ms. Joyce Benson, State Planning Office, State House Station #38,

Augusta, Maine 04333, Telephone (207) 289-3261

Maryland

Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of

State Planning, 301 West Preston Street, Baltimore, Maryland 21201-

2365, Telephone (301) 225-4490

Massachusetts

Karen Arone, State Clearinghouse, Executive Office of Communities

and Development, 100 Cambridge Street, Room 1803, Boston,

Massachusetts 02202, Telephone (617) 727-7001

Michigan

Richard S. Pastula, Director, Michigan Department of Commerce,

Lansing, Michigan 48909, Telephone (517) 373-7356

Mississippi

Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant

Management and Reporting, 301 West Pearl Street, Jackson,

Mississippi 39203, Telephone (601) 960-2174

Missouri

Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 430, Truman Building, Jefferson

City, Missouri 65102, Telephone (314) 751-4834

Nevada

Department of Administration, State Clearinghouse, Capitol Complex,

Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron

Sparks, Clearinghouse Coordinator

New Hampshire

Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State

Planning, Attn: Intergovernmental Review, Process/James E. Bieber,

2\1/2\ Beacon Street, Concord, New Hampshire 03301 Telephone (603)

271-2155

New Jersey

Gregory W. Adkins, Acting Director, Division of Community Resources,

N.J. Department of Community Affairs, Trenton, New Jersey 08625-

0803, Telephone (609) 292-6613

Please direct correspondence and questions to: Andrew J.

Jaskolka, State Review Process, Division of Community Resources, CN

814, Room 609, Trenton, New Jersey 08625-0803, Telephone (609) 292-

9025

New Mexico

George Elliott, Deputy Director, State Budget Division, Room 190,

Bataan Memorial Building, Santa Fee, New Mexico 87503, Telephone

(505) 827-3640, FAX (505) 827-3006

New York

New York State Clearinghouse, Division of the Budget, State Capitol,

Albany, New York 12224, Telephone (518) 474-1605

North Carolina

Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,

N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North

Carolina 27603-8003, Telephone (919) 733-7232

North Dakota

N.D. Single Point of Contact, Office of Intergovernmental

Assistance, Office of Management and Budget, 600 East Boulevard

Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094

Ohio

Larry Weaver, State Single Point of Contact, State/Federal Funds

Coordinator, State Clearinghouse, Office of Budget and Management,

30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,

Telephone (614) 466-0698

Rhode Island

Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,

Department of Administration, Division of Planning, 265 Melrose

Street, Providence, Rhode Island 02907, Telephone (401) 277-2656

Please direct correspondence and questions to: Review

Coordinator, Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services,

Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,

South Carolina 29201, Telephone (803) 734-0494

Tennessee

Mr. Charles Brown, State Single Point of Contact, State Planning

Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,

Tennessee 37219, Telephone (615) 741-1676

Texas

Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box

12428, Austin, Texas 78711, Telephone (512) 463-1778

Utah

Utah State Clearinghouse, Office of Planning and Budget, ATTN:

Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,

Telephone (801) 538-1535

Vermont

Mr. Bernard D. Johnson, Assistant Director, Office of Policy

Research & Coordination, Pavilion Office Building, 109 State Street,

Montpelier, Vermont 05602, Telephone (802) 828-3326

West Virginia

Mr. Fred Cutlip, Director, Community Development Division, West

Virginia Development Office, Building #6, Room 553, Charleston, West

Virginia 25305, Telephone (304) 348-4010

Wisconsin

Mr. William C. Carey, Federal/State Relations, Wisconsin Department

of Administration, 101 South Webster Street, P.O. Box 7864, Madison,

Wisconsin 53707, Telephone (608) 226-0267

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building,

4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-

7574

Guam

Mr. Michael J. Reidy, Director, Bureau of Budget and Management

Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,

Telephone (671) 472-2285

Northern Mariana Islands

State Single Point of Contact, Planning and Budget Office, Office of

the Governor, Saipan, CM, Northern Mariana Islands 96950

Puerto Rico

Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning

Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto

Rico 00940-9985, Telephone (809) 727-4444

Virgin Islands

Jose L. George, Director, Office of Management and Budget, #41

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

Virgin Islands 00802, Please direct correspondence to: Linda Clarke,

Telephone (809) 774-0750

BILLING CODE 4184-01-P

TN17JN94.052

TN17JN94.053

BILLING CODE 4184-01-C

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

By signing and submitting this proposal, the applicant, defined as

the primary participant in accordance with 45 CFR Part 76, certifies to

the best of its knowledge and believe that it and its principals:

(a) Are not presently debarred, suspended, proposed for debarment,

declared ineligible, or voluntarily excluded from covered transactions

by any Federal Department or agency;

(b) Have not within a 3-year period preceding this proposal been

convicted of or had a civil judgment rendered against them for

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 or otherwise criminally or civilly

charged by a governmental entity (Federal, State or local) with

commission of any of the offenses enumerated in paragraph (1)(b) of

this certification; and

(d) Have not within a 3-year period preceding this application/

proposal had one or more public transactions (Federal, State, or local)

terminated for cause or default.

The inability of a person to provide the certification required

above will not necessarily result in denial of participation in this

covered transaction. If necessary, the prospective participant shall

submit an explanation of why it cannot provide the certification. The

certification or explanation will be considered in connection with the

Department of Health and Human Services (HHS) determination whether to

enter into this transaction. However, failure of the prospective

primary participant to furnish a certification or an explanation shall

disqualify such person from participation in this transaction.

The prospective primary participant agrees that by submitting this

proposal, it will include the clause entitled ``Certification Regarding

Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower

Tier Covered Transaction. '' provided below without modification in all

lower tier covered transactions and in all solicitations for lower tier

covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

(To Be Supplied to Lower Tier Participants)

By signing and submitting this lower tier proposal, the prospective

lower tier participant, as defined in 45 CFR Part 76, certifies to the

best of its knowledge and belief that it and its principals:

(a) are not presently debarred, suspended, proposed for debarment,

declared ineligible, or voluntarily excluded from participation in this

transaction by any Federal department or agency.

(b) where the prospective lower tier participant is unable to

certify to any of the above, such prospective participant shall attach

an explanation to this proposal.

The prospective lower tier participant further agrees by submitting

this proposal that it will include this clause entitled ``Certification

Regarding Debarment, Suspension, Ineligibility, and Voluntary

Exclusion--Lower Tier Covered Transactions. '' without modification in

all lower tier covered transactions and in all solicitations for lower

tier covered transactions.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and

belief, that:

(1) No Federal appropriated funds have been paid or will be paid,

by or on behalf of the undersigned, to any person for influencing or

attempting to influence an officer or employee of any agency, a Member

of Congress, an officer or employee of Congress, or an employee of a

Member of Congress in connection with the awarding of any Federal

contract, the making or any Federal grant, the making of any Federal

loan, the entering into of any cooperative agreement, and the

extension, continuation, renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of Congress,

an officer or employee of Congress, or an employee of a Member of

Congress in connection with this Federal contract, grant, loan or

cooperative agreement, the undersigned shall complete and submit

Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' in

accordance with its instructions.

(3) The undersigned shall require that the language of this

certification be included in the award documents for all subawards at

all tiers (including subcontracts, subgrants, and contracts under

grants, loans, and cooperative agreements) and that all subrecipients

shall certify and disclose accordingly.

This certification is a material representation of fact upon which

reliance was placed when this transaction was made or entered into.

Submission of this certification is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31, U.S.

Code. Any person who fails to file the required certification shall be

subject to a civil penalty of not less than $10,000 and not more than

$100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his or her knowledge and

belief, that:

If any funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of Congress, or an

employee of a Member of Congress in connection with this commitment

providing for the United States to insure or guarantee a loan, the

undersigned shall complete and submit Standard Form-LLL ``Disclosure

Form to Report Lobbying,'' in accordance with its instructions.

Submission of this statement is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31, U.S.

Code. Any person who fails to file the required statement shall be

subject to a civil penalty of not less then $10,000 and not more than

$100,000 for each such failure.

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Signature

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Title

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Organization

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Date

BILLING CODE 4184-01-P

TN17JN94.054

[FR Doc. 94-14759 Filed 6-16-94; 8:45 am]

BILLING CODE 4184-01-C

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Part VII

Department of the Interior

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Bureau of Indian Affairs

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St. Regis Mohawk Tribal Alcohol Beverages Control Act; Notice

DEPARTMENT OF THE INTERIOR

Bureau of Indian Affairs

St. Regis Mohawk Tribal Alcohol Beverages Control Act

AGENCY: Bureau of Indian Affairs, Interior.

Action: Notice.

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SUMMARY: This Notice is published in accordance with authority

delegated by the Secretary of the Interior to the Assistant Secretary--

Indian Affairs by 209 DM8, and in accordance with the Act of August 15,

1953, 67 Stat. 586, 18 U.S.C. Sec. 1161. I certify that the St. Regis

Mohawk Tribal Alcohol Beverages Control Act was duly adopted by the St.

Regis Mohawk Tribe on November 19, 1993. The Ordinance provides for the

regulation, manufacture, distribution, possession, sale, and

consumption of liquor on the St. Regis Mohawk Indian Reservation of the

State of New York.

DATES: This Ordinance is effective as of June 17, 1994.

.FOR FURTHER INFORMATION CONTACT: Chief, Branch of Judicial Services,

Division of Tribal Government Services, 1849 C Street NW., MS 2611-MIB,

Washington, DC 20240-4001; telephone (202) 208-4400.

SUPPLEMENTARY INFORMATION: The St. Regis Mohawk Tribal Alcohol

Beverages Control Act is to read as follows:

St. Regis Mohawk Tribal Alcohol Beverages Control Act

This Ordinance shall be cited as the ``St. Regis Mohawk Tribal

Alcoholic Beverages Control Act'' and, pursuant to the inherent

sovereignty of the St. Regis Mohawk Indian Tribe of the State of New

York, shall be deemed an exercise of the Tribe's powers for the purpose

of protecting the welfare, health, peace, morals and safety of all

people residing on the St. Regis Mohawk Indian Reservation of the State

of New York.

All of the provisions of this Ordinance shall be liberally

construed to accomplish the above declared purpose. It is the St. Regis

Mohawk Tribe's declared intent in enacting this Ordinance to regulate

and control all traffic in liquor on the St. Regis Mohawk Indian

Reservation of the State of New York except to the extent allowed and

permitted under the express terms of this Ordinance.

Section 1. Definitions

As used in this Ordinance, the following definitions shall apply

unless the context clearly indicates otherwise:

1.1 Alcohol shall mean neutral spirits distilled at or above 190

proof, whether or not such product is subsequently reduced for non-

industrial use.

1.2 Alcoholic beverage shall mean any liquid suitable for human

consumption, which contains one-half of one percent or more of alcohol

by volume.

1.3 Barter or bartering shall mean the trading for any commodity,

act or consideration whether or not there is intrinsic value in the

item traded.

1.4 Beer shall mean any malt beverage containing more than one-

half of one percent of alcohol by volume.

1.5 Distilled spirits shall mean any alcoholic beverage that is

not beer, wine, sparkling wine or alcohol.

1.6 Enterprise of the Tribe shall mean the St. Regis Mohawk Tribe,

a member of the St. Regis Mohawk Tribe or his or her spouse, or a

business entity or association owned and controlled by any of the

foregoing, that is licensed by the Tribal Council and pays the

appropriate fee set by the Tribal Council by Resolution at not less

than Two Hundred ($200.00) Dollars and no more than Five Thousand

($5,000.00) Dollars annually.

1.7 Liquor shall mean all varieties of liquid, semisolid, or solid

substance containing alcohol, whether brewed, fermented, formulated, or

distilled, which is intended for human consumption.

1.8 Minor shall mean any person under twenty-one (21) years of

age.

1.9 Possession or possessing shall mean having on one's person,

vehicle or other property and includes constructive possession through

control without regard to ownership.

1.10 Purchase shall mean the exchange, barter, traffic, receipt

with or without consideration in any form.

1.11 Sale shall mean the exchange, barter, traffic, donation, with

or without consideration, in addition to the selling, supplying or

distribution by any means, by any person, to any person.

1.12 Transport shall mean the introduction of alcoholic beverage

onto the St. Regis Mohawk Indian Reservation of the State of New York

by any means of conveyance for the purpose of sale, or distribution, to

any licensed dealer.

1.13 Tribal Council shall mean the duly elected governing body of

the St. Regis Mohawk Indian Tribe of New York, a federally recognized

Indian Tribe.

Section 2. Relation of Other Tribal Regulations

Any and all prior ordinances, resolutions, regulations or other

form of control of the St. Regis Mohawk Tribe of the State of New York

whether written or unwritten, which authorize, prohibit, or deal with

the sale of alcohol are hereby repealed and have no further force and

effect. No Tribal Ordinance or Regulation shall be applied in a manner

inconsistent with the provisions of this ordinance.

Section 3. Prohibition

The introduction on the Reservation for resale, wholesale purchase,

sale and dealing in liquor other than by the Tribe or an Enterprise of

the Tribe is prohibited. Possession of liquor on the Reservation by any

person not prohibited by Federal law shall be lawful so long as

possession is in conformity with this Ordinance.

Section 4. Conformity With State Laws

Tribal standards for liquor transactions and possessions and

consumption of liquor shall meet or exceed those required by the State

of New York including but not limited to:

(a) Hours of Sale: Wine, Beer and Mixed Beverages. The Tribe or an

Enterprise of the Tribe may sell or offer for sale wine, beer and mixed

beverages at all times not specifically prohibited by this Section. The

Tribe or an Enterprise of the Tribe may not sell or offer for sale wine

and beer and mixed beverages on Sunday between the hours of 2 a.m. and

12 noon. On any other day, the Tribe or an Enterprise of the Tribe may

not sell or offer for sale wine, beer, or mixed beverages between the

hours of 2 a.m. and 8 a.m.

(b) Minor. A minor is any person who has not celebrated his or her

twenty-first (21st) birthday.

(c) Purchase of Alcohol by a Minor. Purchase of an alcoholic

beverage by a minor [is] prohibited.

(d) Sales to Minor. Sale of an alcoholic beverage to a minor by the

Tribe or an Enterprise of the Tribe is prohibited.

(e) Consumption of Alcohol by a Minor. Consumption of an alcoholic

beverage by a minor is prohibited.

(f) Possession of Alcohol by a Minor. Possession of an alcoholic

beverage by a minor is prohibited unless such minor is in possession of

the alcoholic beverage while in the course and scope of his employment

and he is any employee of the Tribe or an Enterprise of the Tribe.

(g) Purchase of Alcohol for a Minor; Furnishing Alcohol to a Minor.

A person commits a violation of this Ordinance if he knowingly

purchases an alcoholic beverage for or knowingly gives or makes

available an alcoholic beverage to a minor.

(h) Misrepresentation of Age by a Minor. A minor is in violation of

this Ordinance if he falsely states that he or she is 21 years of age

or older or presents any document that indicates he/she is 21 years of

age or older to a person engaged in selling or serving alcoholic

beverages.

(i) Employment of Minors. The Tribe or an Enterprise of the Tribe

shall not employ any person under 18 years of age to sell, prepare,

serve, or otherwise handle liquor, or to assist in doing so. The Tribe

or an Enterprise of the Tribe may, however, employ a person under 18

years of age to work in any capacity other than the actual selling,

preparing, serving or handling of liquor.

Section 5. Prohibition of Sales During Emergencies or Dates and Times

Established by the Tribal Council

The Tribal Council Head Chief, by authority of Tribal Council

Resolution, may on an emergency basis and for a period of time not to

exceed five (5) business days, by written order, act, directive or

notice, prohibit the sale of liquor until such emergency order can be

considered by the Tribal Council which may in its discretion, terminate

or extend such order for any length of time it deems necessary, or may

issue emergency rules, regulations directions or orders concerning the

sale of liquor which will be valid during the stated emergency period.

The Tribal Council may likewise issue orders prohibiting or limiting

the sale of liquor for any period not to exceed seventy-two (72)

consecutive hours.

Section 6. Sovereign Immunity Preserved

Nothing in this Ordinance is intended nor shall be construed as a

waiver of the sovereign immunity of the St. Regis Mohawk Tribe of the

State of New York. No officer, manager or employee of an enterprise of

the Tribe shall be authorized nor shall attempt to waive the sovereign

immunity of the Tribe.

Section 7. Penalty

Any person or entity purchasing, possessing, selling, bartering, or

otherwise trafficking in liquor on the Reservation is in violation of

this ordinance or any Rule or Regulation adopted pursuant to this

ordinance and shall be subject to a fine or forfeiture, as applicable,

of not more than Five Thousand Dollars ($5,000.00) and may be barred

from admission to the Reservation through Due Process of law. In

addition, persons or entities subject to the full jurisdiction of the

Tribe may be subject to such other appropriate actions as the Tribal

Council may determine. All contraband merchandise shall be confiscated

by the Tribe and disposed of as directed by the Tribal Council.

Section 8. Severability

If any clause, part or section of this Ordinance shall be adjudged

invalid, such judgement shall not affect or invalidate the remainder of

the ordinance but shall be confined in its operation to the clause,

part or section directly involved in controversy in which such

judgement was rendered.

Section 9. Disclaimer

Nothing in this Ordinance shall be construed to authorize or

require the criminal trial and punishment of non-Indians by the St.

Regis Mohawk Tribe of the State of New York except to the extent

allowed by an applicable present or future Act of Congress or any

applicable laws.

Section 10. Regulations

The Tribal Council shall have the exclusive authority to adopt and

enforce Rules and Regulations to implement the sale, transportation or

introduction of liquor on the Reservation and to further the purposes

of this ordinance. Such Rules and Regulations shall have the force of

law upon promulgation by Resolution.

Section 11. Enforcement

This Ordinance shall be enforced by the Tribal Council, or any

other Agency vested with such enforcement authority by resolution of

the Tribal Council.

Section 12. Effective Date

This ordinance shall be effective upon the date that the Secretary

of the Interior certifies this ordinance and it is published in the

Federal Register.

Section 13. Duration

The duration of this Ordinance shall be perpetual.

Dated: June 8, 1994.

Ada E. Deer,

Assistant Secretary--Indian Affairs.

[FR Doc. 94-14752 Filed 6-16-94; 8:45 am]

BILLING CODE 4310-02-M