Availability of Discretionary Grants to Promote Community Development in Sites With Significant Refugee Populations in Order to Increase Economic Independence Among Refugees and Their Families

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of Refugee Resettlement

Availability of Discretionary Grants to Promote Community

Development in Sites With Significant Refugee Populations in Order to

Increase Economic Independence Among Refugees and Their Families

AGENCY: Office of Refugee Resettlement (ORR), HHS.

SUMMARY: This program announcement governs the availability of funds

and award procedures for approximately $1,000,000 in FY 1995

discretionary grants for technical assistance and operating costs to

promote community development in sites with significant refugee 1

populations in order to increase economic independence among refugees

and their families. This announcement is soliciting applications for

cooperative agreement project periods up to three years. Awards, on a

competitive basis, will be for a one-year budget period, although

project periods may be for three years. Applications for continuation

grants funded under these awards beyond the one-year budget period, but

within the three-year project period will be entertained in subsequent

years on a noncompetitive basis, subject to availability of funds,

satisfactory progress by the grantee, and a determination that

continued funding would be in the best interest of the Government.

\1\ In addition to persons who meet all requirements of 45 CFR,

400.43, eligibility for refugee social services also includes: (1)

Cuban and Haitian entrants, under section 501 of the Refugee

Education Assistance Act of 1980 (Pub. L. 96-422); (2) certain

Amerasians from Vietnam who are admitted to the U.S. as immigrants

under section 584 of the Foreign Operations, Export Financing, and

Related Programs Appropriations Act, 1988, as included in the FY

1988 Continuing Resolution (Pub. L. 100-202); and (3) certain

Amerasians from Vietnam, including U.S. citizens, under title II of

the Foreign Operations, Export Financing, and Related Programs

Appropriations Act, 1989 (Pub. L. 100-461), 1990 (Pub. L. 101-167),

and 1991 (Pub. L. 101-513). For convenience, the term ``refugee'' is

used in this notice to encompass all such eligible persons unless

the specific context indicates otherwise.

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Available Funds

In FY 1995, ORR expects to make available approximately $1,000,000

for one award in this program area. The amount in subsequent years will

depend upon the availability of funding, need, and the best interests

of the Government.

The Director reserves the right to award more or less than the

funds described above depending upon the quality of the applications or

such other circumstances as may be deemed to be in the best interest of

the Government.

Authorization

Authority for this activity is contained in Section 412(c)(1)(A) of

the Immigration and Nationality Act, which authorizes the Director ``to

make grants to, and enter into contracts with, public or private

nonprofit agencies for projects specifically designed-- * * * (iii) to

provide where specific needs have been shown and recognized by the

Director, health (including mental health) services, social services,

educational, and other services.''

Application Submission

Forms and instructions for submitting an application are included

with this announcement which may be reproduced. Additional copies also

may be obtained by contacting the Office of Refugee Resettlement at the

address below. An original and two copies of all applications should be

submitted to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, 370

L'Enfant Promenade SW, Sixth Floor, Washington, DC 20447 Or hand

delivered to: Division of Discretionary Grants, 901 D St. SW, 6th Fl.

ACF Guard Station, Washington, DC 20447.

FOR FURTHER INFORMATION CONTACT: Ms. Anna Mary Portz, Office of Refugee

Resettlement, 370 L'Enfant Promenade SW., Washington, D.C. 20447,

Telephone (202) 401-1196, email: [email protected].

Purpose and Scope

The Refugee Act of 1980 mandates two broad goals: (1) To assist

refugees in achieving self-sufficiency as early as possible after

arrival, and (2) to provide long-term effective resettlement. Since

1975, almost two million refugees have been resettled in communities

throughout the United States. While many refugees have achieved

economic and social self-sufficiency, some continue to face poverty,

joblessness, under-employment and lack of access to opportunities. ORR

recognizes that in [[Page 32687]] order for refugees to be effectively

resettled, refugees need to have continuing access to mainstream

services and resources beyond ORR funds; and refugee communities must

be strengthened so that they can provide their own members with a long-

term economic and social safety net.

The purpose of this announcement is to solicit applications for a

project to strengthen refugee community-based organizations (CBOs)

which are already engaged in community development in sites where

significant refugee populations currently reside. A strong CBO is able

to tap into a community's desire for self-help, improve services,

nurture leaders, raise money from a variety of sources within and

outside the community, expand housing and economic opportunities and,

at the same time, remain accountable to the community. Most

importantly, these organizations give refugees a sense of hope about

their community's future.

Strong refugee CBOs are critical building blocks for effective

resettlement. Such organizations can foster long-term community

development--the process by which refugee communities identify their

own needs and wants, mobilize resources, and develop and carry out

their own strategies--in order to improve their own communities.

The successful applicant to this notice will be expected to do

three things:

(1) Design and implement a comprehensive strategy which will

increase the organizational capacity of a certain number of refugee

CBOs so that these organizations can promote effective, long-term

development of their communities

(2) Provide limited core funding to this group of CBOs so that they

can devote specific staff resources to a sustained implementation of

their respective organizational and community development plans; and,

(3) Conduct a select number of activities, such as workshops or

peer-to-peer assistance, for the purpose of providing broad technical

assistance in community and organizational development to additional

refugee CBOs which are not selected for participation in items 1 and 2

described above.

ORR will enter into a cooperative agreement with the successful

applicant(s) in order to jointly develop the technical assistance

procedures and project schedules. ORR will also provide guidance on

selection of participating refugee CBOs and service and monitoring

protocols.

Eligible Applicants

Eligible applicants are public or private nonprofit organizations.

If an applicant represents a consortium (that is, the applicant

includes other types of agencies among its membership), the single

organization identified to be the grant recipient with primary

administrative and fiscal responsibilities must be a nonprofit

organization.

Application Content

All applications must be submitted on Standard Form (SF) 424 Parts

I through III. A narrative project description constitutes Part IV and

must not exceed 30 pages (typewritten, double spaced on standard,

letter-size paper) plus a maximum of 20 pages of appended material. In

the event that the project description and/or supplementary material

exceed the page limitations, only the first 30 pages of the project

description (if single-spaced, only the first 15 pages), and the first

20 pages of the supplementary material, will be considered in the

review process. The limitation should be considered as a maximum, and

not necessarily a goal to be achieved.

Part IV should contain the following sections:

A. A discussion of the specific criteria to be used in participant

selection, and the community development needs to be addressed by this

project. ORR recognizes that concentrated planning has to occur at all

stages in the design and implementation of such a project. Part of this

planning should involve detailed consideration of the priority criteria

for determination of which ethnic CBOs will be invited to participate

with the applicant technical assistance provider in proposed activities

1 and 2 referenced in the section titled Purpose and Scope.

ORR suggests the following criteria for refugee ethnic CBO

participants to be served by the grantee. Agencies served should be

viable nonprofit organizations with IRS 501(c)(3) status.

Organizational missions should provide a commitment to community

accountability and grassroots democracy.

These CBOs should have staff and an actively involved broad-based

board. Such organizations should reflect the community-responsiveness,

decision-making, and oversight role of the Board.

Applicants should discuss how they would identify organizations

with these respective characteristics, and suggest other criteria they

consider appropriate to qualify for receipt of services funded under

this grant. Applications should include examples of appropriate CBOs

for participation. (Final selection of participating CBOs will require

ORR concurrence under the terms of the Cooperative Agreement.)

B. A description of the applicant's approach to community

development and how the applicant determines the type of technical

assistance that is required. A discussion of the perceived strengths

and obstacles in promoting effective refugee community development and

how the applicant can incorporate the strengths in its approach. An

analysis of how the strategies proposed would enhance community

development for refugees, indicating specifically how these services

can be applied and how the refugee communities selected can develop

constituency support. If the proposal was developed by a consortium or

other combination of entities, the role of each must be detailed.

C. A description of the anticipated one-, two-, and three-year

outcomes. ORR expects at a minimum that during the project period a

certain number of refugee community-based organizations will exhibit

(1) significant progress toward a stabilized, multiple-source income

base appropriately related to the economic forces in the local

community; (2) outreach and accountability to multiple strata of the

local refugee community demonstrated inter alia by constituency-

contributed financial support; (3) a track record of advocacy

activities and relevant organizational collaboration; and if

appropriate, (4) a demonstrated resettlement-related service provision

or refugee representation capacity.

D. A description of the applicant's qualifications to carry out the

proposed activities, particularly descriptions of relevant previous

experience emphasizing experience with differing cultural groups.

Applications should include names and addresses of at least three

organizations for whom the applicant has previously provided similar

services, as well as a brief outline of the measurable outcomes

achieved for each. The applicant should also include resumes of key

staff proposed to work for the applicant in the implementation of this

grant, if awarded. (Applicants which cannot document experience in

technical assistance similar to that required herein will not be

considered.)

E. A description of the proposed activities based on an analysis of

refugee ethnic community-based organizational needs and available

resources, as necessary to address the development of the refugee

community. Applicants should provide a detailed workplan of

[[Page 32688]] the steps and activities proposed to carry out the

objectives of the project, if funded, including a timetable for

implementation. ORR anticipates that such activities may include, but

are not limited to:

Intensive, individually tailored technical assistance to a

certain number of refugee ethnic community-based organizations in a

limited number of sites;

General community development assistance (i.e. grassroots

democracy and organizing, leadership training, coalition building,

resource development) for a broad audience of refugee community-based

organizations;

Facilitation of peer to peer consultation among community-

based organizations; and

Development and applied testing of a refugee appropriate

model design or curricula for these activities.

F. A line-item budget with narrative justification for each line

which correlates with and/or refers to the workplan.

Application Review Criteria

Applications will be reviewed, scored, and ranked in accordance

with the following criteria:

1. Understanding of community development demonstrated by the

quality of the discussion of the criteria that would be used and how

they would be applied in selecting implementation sites and

participating refugee CBOs, including appropriate examples of each. (10

Points)

2. Adequacy of the applicant's community development strategy,

including leveraging of other resources and recruiting mainstream

service providers, and the appropriateness of this approach for refugee

community organizations. (25 Points)

3. Appropriateness of the anticipated outcomes. (15 Points)

4. Qualifications of the applicant agency, including the staffing

plan and qualifications of key personnel to carry out the proposed

activities. (25 Points)

5. Adequacy and reasonableness of implementation plan. (15 points)

6. Appropriateness, cost-effectiveness, and reasonableness of the

budget. (10 Points)

Administrative Requirement

A. Availability of Application Forms

All forms necessary for submission of an application, as described

herein are attached to this announcement and may be reproduced.

B. Assurances and Procedures

Applicants requesting financial assistance for a non-construction

project must file the Standard Form 424B, ``Assurances: Non-

Construction Programs.'' Applicants must sign and return the Standard

Form 424B with their applications.

The following certifications are attached: Drug-Free Workplace,

Debarment, Environmental Tobacco Smoke, and Anti-Lobbying. In signing

and submitting an application, the applicant should be aware that it is

certifying that it will comply with the Federal requirement concerning

the above-cited certifications for a drug-free workplace, debarment,

and environmental tobacco smoke. By signing and submitting the

applications, applicants are providing these certifications and need

not mail back the certification with the applications. However, the

applicant must submit a signed certification regarding Lobbying with

the application.

Copies of the certifications and assurance are located at the end

of this announcement.

Any non-profit organization submitting an application must submit

proof of its non-profit status in its 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, and by providing a copy of the articles

of incorporation bearing the seal of the State in which the corporation

or association is domiciled.

C. Closing Date

1. Applications will be considered to have met the announced

deadline if they are received at the address specified in this

announcement by 6:30 p.m. on July 24, 1995. Applicants are responsible

for mailing applications well in advance, when using all mail services,

to ensure that the applications are received on or before the deadline

date. (Applicants are cautioned that postmarks will not be considered

as a methodology for meeting the deadline.)

2. Applications which do not meet the criteria in paragraph 1 of

this section are considered late applications. The ACF shall notify

each late applicant that its application will not be considered in the

current competition.

3. The ACF 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 ACF does not extend

the deadline for all applicants, it may not waive or extend the

deadline for any applicant.

4. Once an application has been submitted, it is considered as

final and no additional materials will be accepted by ORR. An

application with an original signature and two copies is required.

Applications, if mailed, should be addressed to: Department of Health

and Human Services, Administration for Children and Families, Division

of Discretionary Grants, 370 L'Enfant Promenade SW., Washington, DC

20447.

No application will be accepted by telefax. Hand delivered

applications are accepted during the normal working hours of 8 a.m. to

6:30 p.m. (Eastern Daylight Time), Monday through Friday, on or prior

to the established closing date at: Administration for Children and

Families, Division of Discretionary Grants, 6th Floor, ACF Guard

Station, 901 D Street, SW., Washington, DC 20447.

The application should reference this program announcement.

Intergovernmental Review

This program is covered by Executive Order 12372,

``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,

``Intergovernmental Review of Department of Health and Human Services

Programs and Activities.'' Under the Order, States may design their own

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alabama, Alaska, Colorado,

Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, Oklahoma, Oregon, Pennsylvania, South

Dakota, Tennessee, Virginia, Washington, American Samoa and Palau have

elected to participate in the Executive Order process and have

established Single Points of Contact (SPOCs). Applicants from these

nineteen jurisdictions need take no action regarding Executive Order

12372. Applicants for projects to be administered by Federally-

recognized Indian Tribes are also exempt from the requirements of E.O.

12372. Otherwise, applicants should contact their SPOCs as soon as

possible to alert them of the prospective applications and receive any

necessary instructions. Applicants must submit any required material to

the SPOCs as soon as possible so that the program office can obtain and

review SPOC comments as part of the award process. It is imperative

that the applicant submit all required materials, if any, to the SPOC

and indicate the date of this submittal (or the date of contact

[[Page 32689]] if no submittal is required) on the Standard Form 424,

item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application

deadline date to comment on proposed new or competing continuation

awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations. Additionally, SPOCs are

requested to clearly differentiate between mere advisory comments and

those official State process recommendations which they intend to

trigger the ``accommodate or explain'' rule.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, 6th Floor,

OFM/DDG, 370 L'Enfant Promenade SW., Washington, DC 20447.

A list of Single Points of Contact for each State and Territory is

included as Appendix A of this announcement.

Applicable Regulations

Applicable HHS regulations will be provided to grantees upon award.

Post-Award Requirements--Records and Reports

Grantees are required to file Financial Status (SF-269) on a semi-

annual basis and Program Progress Reports on a quarterly basis. Funds

shall be accounted for and reported upon separately from all other

grant activities. Successful applicants will be given specific

instructions by ACF, following the award of the grant, for reporting

grant performance.

The official recipient point for all reports and business

management correspondence is the Division of Discretionary Grants. The

original and two copies of each report and business management

correspondence shall be submitted to the Department of Health and Human

Services, Administration for Children and Families, Division of

Discretionary Grants, 370 L'Enfant Promenade SW., Washington, DC 20447.

The final Financial and Program Progress Reports shall be due 90

days after the project expiration date or termination of grant support.

ORR expects grantees to maintain adequate records to track and

report on project outcomes and expenditures by budget line item.

The Catalog of Federal Domestic Assistance (CFDA) number assigned

to this announcement is 93.576.

Dated: June 19, 1995.

Regina Lee,

Deputy Director, Office of Refugee Resettlement.

Appendix A--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, PO Box 3278, Little Rock, Arkansas 72203, Telephone

(501) 682-1074

CALIFORNIA

Glen Stober, Grants Coordinator, Office of Planning and

Research, 1400 Tenth Street, Sacramento, California 95814, Telephone

(916) 323-7480

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, NW, Suite 500,

Washington, DC 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

Mr. Charles H. Badger, Administrator, Georgia State

Clearinghouse, 254 Washington Street, SW, 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

Mr. 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 Fe, 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, Telepone (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

[[Page 32690]] 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

Omeagie 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 Charlotta Avenue, 309 John Sevier Building, Nashville,

Tennessee 37219, Telephone (615) 741-1676

TEXAS

Mr. Thomas Adams, Governor's Office of Budget and Planning, PO

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, PO Box 7864,

Madison, Wisconsin 53707, Telephone (608) 266-0267

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, PO 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, PO 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

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BILLING CODE 4184-01-C

[[Page 32692]] 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. Ester 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.)

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BILLING CODE 4184-01-C

[[Page 32695]] 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

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

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

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

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

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

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

funds for the current year of existing grants.

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

submit additional schedules as necessary.

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

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

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

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

ordinary or to explain the details as required by the Federal

grantor agency.

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

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

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

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

ASSURANCES--NON-CONSTRUCTION PROGRAMS

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

[[Page 32696]] 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. 4728-4763) relating to prescribed standards for merit

systems for programs funded under one of the nineteen statutes or

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

System of Personnel Administration (5 CFR 900, Subpart F).

6. Will comply with all Federal statutes relating to

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

VI of the Civil Rights Act of 1964 (Pub. 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.

1681-1583, 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. 794), which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act of 1975, as amended (42

U.S.C. 6101-6107), which prohibits discrimination on the basis of

age; (e) the Drug Abuse Office and Treatment Act of 1972 (Pub. 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 (Pub. L. 91-

616), as amended, relating to nondiscrimination on the basis of

alcohol abuse or alcoholism; (g) sections 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 the confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil Rights Act of 1968 (42

U.S.C. 3601 et seq.), as amended, relating to nondiscrimination 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 (Pub. 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.

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

276c and 18 U.S.C. 874), and the Contract Work Hours and Safety

Standards Act (40 U.S.C. 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 (Pub. 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 (Pub. 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. 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. 7401 et seq.); (g)

protection of underground sources of drinking water under the Safe

Drinking Water Act of 1974, as amended, (Pub. L. 93-523); and (h)

protection of endangered species under the Endangered Species Act of

1973, as amended, (Pub. L. 93-205).

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

U.S.C. 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 Pub. 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

(Pub. 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. 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---------------------------------------------------------

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[[Page 32699]] 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.

Appendix E

Certification Regarding Environmental Tobacco Smoke

Public Law 103-227, Part C--Environmental Tobacco Smoke, also

known as the Pro-Children Act of 1994 (Act), requires that smoking

not be permitted in any portion of any indoor facility owned or

leased or contracted for by an entity and used routinely or

regularly for the provision of health, day care, education, or

library services to children under the age of 18, if the services

are funded by Federal programs either directly, or through State or

local governments, by Federal grant, contract, loan, or loan

guarantee. The law does not apply to children's services provided in

private residences, facilities funded solely by Medicare or Medicaid

funds, and portions of facilities used for inpatient drug or alcohol

treatment. Failure to comply with the provisions of the law may

result in the imposition of a civil monetary penalty of up to $1000

per day and/or the imposition of an administrative compliance order

on the responsible entity.

By signing and submitting this application the applicant/grantee

certifies that it will comply with the requirements of the Act. The

applicant/grantee further agrees that it will require the language

of this certification be included in any subawards which contain

provisions for children's services and that all subgrantees shall

certify accordingly.

Appendix F--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 of any Federal grant, the making

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

and the extension, continuation, renewal, amendment, or modification

of any Federal contract, grant, loan, or cooperative agreement.

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

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

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

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

Member of Congress in connection with this Federal contract, grant,

loan or cooperative agreement, the undersigned shall complete and

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

accordance with its instructions.

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

certification be included in the award documents for all subawards

at all tiers (including subcontracts, subgrants, and contracts under

grants, loans, and cooperative agreements) and that all

subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon

which reliance was placed when this transaction was made or entered

into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the required certification

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

more than $100,000 for each such failure.

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 than $10,000 and not more

than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

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