Availability of Discretionary Grants for Services to Newly Arriving Refugees, Including: Promoting Increased Placement of Newly Arrived Refugees SUP1 in Preferred Communities; Responding to Unanticipated Arrivals or Significant Increases in Arrivals of Refugees to Communities Where Adequate or Appropriate Services Do Not Exist; Providing Orientation Services in Local Communities; Providing Mental Health Services on Behalf of Refugees in Local Communities. In Addition, There is Available Discretionary Grants for Technical Assistance for the Orientation Projects

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

Availability of Discretionary Grants for Services to Newly

Arriving Refugees, Including: Promoting Increased Placement of Newly

Arrived Refugees 1 in Preferred Communities; Responding to

Unanticipated Arrivals or Significant Increases in Arrivals of Refugees

to Communities Where Adequate or Appropriate Services Do Not Exist;

Providing Orientation Services in Local Communities; Providing Mental

Health Services on Behalf of Refugees in Local Communities. In

Addition, There is Available Discretionary Grants for Technical

Assistance for the Orientation Projects

AGENCY: Office of Refugee Resettlement, ACF, HHS.

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

400.43, Requirements for documentation of refugee status,

eligibility for refugee social services also includes: (1) Cuban and

Haitian entrants, under section 501 of the Refugee Education

Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain Amerasians

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

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

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

Continuing Resolution (Pub. L. No. 100-202); and (3) certain

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

the Foreign Operations, Export Financing, and Related Programs

Appropriations Acts, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No.

101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term

refugee is used in this notice to encompass all such eligible

persons unless the specific context indicates otherwise.

Refugees admitted to the U.S. under admissions numbers set aside

for private-sector-initiative admissions are not eligible to be

served under the social service program (or under other programs

supported by Federal refugee funds) during their period of coverage

under their sponsoring agency's agreement with the Department of

State--usually two years from their date of arrival or until they

obtain permanent resident alien status, whichever comes first.

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

SUMMARY: This ORR standing announcement invites submission of grant

applications for funding, on a competitive basis, in five categories:

(1) to promote the increase of refugee placements in communities where

they have ample opportunities for early employment and sustained

economic independence; (2) to provide services to unanticipated

arrivals, i.e., refugees who have arrived without prior notice in

communities where adequate or appropriate services for these refugees

do not exist; (3) to provide ethnically- and linguistically-matched

orientation services to newly arriving refugees in the local

communities; (4) to provide technical assistance to the grantees

including those funded under Category 3, orientation; and (5) to

provide mental health orientation, staff development, and technical

expertise to improve services for newly arriving refugee populations.

This notice revises previous publications. The programs numbered

(1) and (2) above were first published as Categories 1 and 2 of the

notice published in the Federal Register on May 18, 1994 (59 FR 25929).

The notice was revised January 17, 1995 (60 FR 3416). A Category 3,

added in the revision of January 17, 1995, was canceled as published in

the Federal Register on February 15, 1996 (61 FR 6018). New categories,

which are added to this standing announcement, are numbered 3.

Orientation, 4. Orientation Technical Assistance, and 5. Mental Health

Services.

This announcement supersedes all prior announcements of the same

name.

The categories are summarized as follows:

Category 1

Preferred Communities: To increase placement of arriving

refugees in preferred communities where refugees have

[[Page 32834]]

opportunities to attain early employment and sustained economic

independence without public assistance. Eligible applicants are

agencies which resettle refugees under a Reception and Placement

Cooperative Agreement with the Department of State or the Department

of Justice. Preferred communities awards will be Cooperative

Agreements. ORR's involvement will include: review and approval of

preferred community sites and review and approval of the design of

program reports on progress toward project goals and outcomes.

Category 2

Unanticipated Arrivals: To provide services for significant

numbers of, or increases in, the number of unanticipated refugees

who have arrived in communities that are unable to provide adequate

or appropriate services. The arrivals may be new populations to the

U.S., or new to the location requesting additional resources. The

arrivals may also be a significant and unanticipated additional

number of a particular ethnic group in a community. Awards in this

category will be grants.

Category 3

Orientation: To provide funds for grantees to serve newly

arriving refugees through orientation services that are ethnically-

and linguistically-matched to the targeted refugee population.

Under Category 3, applications will be accepted for orientation

programs designed to provide newly arriving refugees with

information on local resources, community services and institutions,

American mores, customs, laws, responsibilities associated with

being new residents of their communities, and other appropriate

topics.

Applications will be accepted from prospective grantees to

provide services in communities where new refugees are arriving and

where available orientation materials are not appropriate or

adequate. Awards in this category will be made as grants.

Category 4

Technical Assistance to Orientation grantees: To provide

technical assistance to orientation projects awarded under Category

3 and other orientation programs serving refugees.

Category 5

Mental health services: To improve services to newly arrived

populations who have been made vulnerable in their resettlement by

having suffered mental and/or physical torture prior to or during

their escape. Applications are encouraged from agencies that support

resettlement services by providing staff development consultation to

staff who work directly with traumatized populations. In addition,

and if appropriate to the newly arriving refugee populations,

projects may be funded to develop technical knowledge concerning

particular groups and the clinical interventions that effectively

treat them. The knowledge and experience gained by these projects

will be made available throughout the refugee resettlement program.

Categories 1, 3, 4, and 5 solicit applications for project

periods up to three years. Awards, on a competitive basis, will be

for one-year budget periods. Applications for continuation grants,

to extend activities beyond the one-year budget period, will be

entertained on a noncompetitive basis in subsequent years within the

three year project period, subject to the availability of funds,

timely and successful completion of activities during the budget

period, and determination that such continuations would be in the

best interest of the Government.

Awards for Category 2 will be for a single 17-month budget

period. Applicants should view these resources as a temporary

solution to an emergency created by unanticipated arrivals. ORR

expects that by the end of the project period, States will have

incorporated services for these particular refugees into their

refugee services network funded by ORR social service formula

allocations.

Projects and services allowed under this announcement for each

category are described below. Each application will be considered for

one category only and must state specifically for which category the

application is being submitted. An applicant may apply for more than

one category; however, each category must be applied for in a separate

application.

Available Funds

In FY 1996, ORR expects to make individual new grant awards in

amounts ranging from approximately $20,000 to $150,000. Amounts in

subsequent years will depend upon the availability of funding, need,

and the best interests of the Government. Approximately $800,000 will

be available for awards under Preferred Communities; $500,000 under

Unanticipated Arrivals; $400,000 for Orientation; $250,000 under

Orientation Technical Assistance; and $400,000 for Mental Health

Projects.

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.'' In addition, section 412(a)(2)(B)-(C)

gives the Director the responsibility to promote and encourage refugee

resettlement in communities where the prospects for early self-

sufficiency are good and the history of welfare utilization is low.

Application Submission

This announcement contains forms and instructions for submitting an

application. Applications must stipulate the category for which funding

is being sought. Applicants may submit applications for more than one

category; however, each category must be applied for in a separate

application.

Standing Announcement

This is a standing announcement, effective until canceled or

modified by the Director of the Office of Refugee Resettlement. The

Director will observe the following closing dates for all categories:

August 15 the first year; and January 15 and July 15 of each subsequent

year.

Organization of This Announcement

This standing announcement consists of two parts: Part I. the

program categories under which grants will be awarded and Part II. the

general application information and guidance.

Eligible Applicants

For categories 2, 3, 4, and 5, eligible applicants are public and

private non-profit organizations.

For category 1, eligible applicants are public and private non-

profit agencies which currently resettle newly arriving refugees under

a Reception and Placement cooperative agreement with the Department of

State or with the Department of Justice. This announcement is

restricted to these agencies because placements of new arrivals occur

under the terms of the cooperative agreements, and no other agencies

place new arrivals or participate in determining their resettlement

sites. Applications shall include documentation that the applicant is a

recipient of a Reception and Placement Grant. Applications lacking this

documentation will not be considered.

For Further Information Contact: Concerning Categories 1, Preferred

Communities; 2, Unanticipated Arrivals; 5, Mental Health Services,

contact: Ms. Marta Brenden, Program Officer, Administration for

Children and Families, Office of Refugee Resettlement, 370 L'Enfant

Promenade, SW 6th Floor, Washington, DC 20447, Tel: (202) 205-3589, E-

mail: [email protected].

Concerning Category 3, Orientation and 4, Orientation Technical

Assistance, contact: Ms. Kathy Do, Administration for Children and

Families, Office of Refugee Resettlement, 370 L'Enfant Promenade, SW

6th Floor, Washington, DC 20447,

[[Page 32835]]

(202) 401-4719, E-mail: [email protected].

PART I--PROGRAM CATEGORIES UNDER WHICH GRANTS WILL BE AWARDED

Category 1: Preferred Communities: Grants to Support Preferred

Communities

A. Purpose and Scope

The purpose is to provide funds to be applied toward the costs

associated with increasing the numbers of refugees placed in preferred

communities and with reducing the numbers of refugees placed in high

impact sites.

A proposed preferred community should have the following: (1)

favorable circumstances described below, (2) services that meet the

needs of arriving refugees for achieving self-sufficiency, and (3)

reception of a minimum of 100 new refugees annually. ORR will consider

exceptions to the annual standard where the applicant provides

substantial justification for the request and documents the community's

history of arrivals, the period of time needed to reach a level of 100

new refugees, and the record of outcomes for achieving self-sufficiency

soon after arrival.

Applicants must plan within their own network for improved

placements. They may also consider planning cooperatively with other

prospective applicants to create cost-effective, co-located

resettlement services where, for example, the pool of newly arriving

refugees for each network is too small to warrant individual offices.

Preferred Community sites refer to those localities where refugees

have the best opportunities to achieve early employment and sustained

economic independence without public assistance. Preferred communities

should have a history of low welfare utilization by refugees. In

addition, refugees should have the potential for earned income at a

favorable level relative to the cost of living and to public assistance

benefits in such communities. These communities should also have a

moderate cost of living; good employment opportunities in a strong,

entry-level labor market; affordable housing; low out-migration rates

for refugees; religious facilities, if important to the refugees; local

community support; receptive school environments; and other related

community features that contribute to a favorable quality of life for

arriving refugees.

Applicants may wish to consider the following ``arrival''

categories of refugees for preferred community sites:

a. Free cases: Those refugees who are determined in the allocation

process to be ``free cases,'' that is, unrelated or without family ties

to persons already living in the communities.

b. New refugee populations: Refugees who have no or few existing

communities in the United States.

c. Other refugees: The applicant may identify refugees in the

reception process who would accept the opportunity for resettlement in

a preferred community: e.g., refugees who would otherwise be resettled

under the rubric of ``family reunification,'' but who in fact are

distant relatives and friends. These refugees may elect placement in a

preferred community where there are opportunities described above.

B. Preferred Community Site Selection

ORR recognizes that changes in the selection of resettlement sites

of refugees may result in changes to an applicant agency's network and

should be preceded by careful attention and planning. Thus, as part of

the application preparation, it will be incumbent upon the applicant

to: (1) consult with ORR about prospective preferred sites; (2) propose

sites that are either already listed within the applicant's Cooperative

Agreement with the Department of State (DOS) or that will be proposed

for DOS approval; (3) coordinate with other voluntary agencies whose

local affiliates place refugees in the same sites; (4) inform and

coordinate with State governments for site selection, adequate

services, and program strategies to be developed; and (5) plan and

coordinate locally with community resources, such as schools and public

health agencies.

The application must, for the first budget year, specify the sites

selected with a description of each site and the rationale for its

selection. Applicants are encouraged to include planning activities in

their application. The application should specify one or more preferred

communities and should also propose to include one or more unspecified

sites to be determined following planning activities during the course

of each budget year. There should also be a description of coordination

activities that occurred prior to the selection, and the ongoing

evaluation and planning for placement in preferred communities.

Additional sites proposed under approved applications during the period

of the project will require ORR's concurrence under the terms of the

Cooperative Agreement.

Preferably, the selected sites should be those that have had

successful refugee placements and have the capacity for additional

successful placements. However, the sites may be ones where refugees

have not previously been placed, but which have all the elements of a

successful refugee resettlement community, listed in section e. 2,

below.

Allowable activities for the preferred communities include services

that would otherwise be provided through the State formula social

services. ORR formula social services funding is awarded to States

proportionate to the number of refugee arrivals during the previous

three years and does not take into account newly arrived refugees.

Grantees should view Preferred Communities award as a temporary

solution to the increase in refugee placements in preferred

communities.

Therefore, planning for the application and implementing the

program must be done in concert with State Refugee Coordinators to

assure an orderly transition and complement of services. The applicant

shall describe and document this coordination and planning in the

application. ORR anticipates that ORR formula social service funds

provided to the States will reflect, over time, the increase in

arrivals.

C. Allowable Activities

ORR will accept applications for the following activities: (1)

services needed for the increased placements in the preferred

communities, (2) project planning and coordination activities, and (3)

national and local project management costs associated with these

activities.

D. Application Content

The application must include the following:

1. Description of the proposed program. Include the rationale for

meeting the goals of this Announcement: i.e., the increased placement

of refugees in preferred communities and the diversion of refugees from

communities with histories of extended use of welfare. Descriptions

should include anticipated improved resettlement opportunities; the

employment services available in the new location, including those to

be funded under this grant, if awarded; and the cost implications in

both the impacted and preferred sites for the population shifts in

local resettlement services.

2. A description and rationale for sites from which placements will

be diverted. A list of the designated and potential sites and the

rationale for each site with respect to the following criteria:

--Local community support (e.g., letters, financial and in-kind

[[Page 32836]]

donations, news clippings that the community supports the placement of

these refugees in their area);

--State consultation (e.g., copies of letters; notes of planning/

coordination meetings);

--Evidence of availability of entry level and other appropriate

employment opportunities (e.g., letters from current and repeating

employers of refugees);

--History of low out-migration rates for proposed sites, with

documentation for the last two years;

--Moderate cost of living (e.g., needs and payment standards from AFDC

programs from the State, statements of voluntary agency affiliates,

statements from refugees);

--Low welfare benefit levels relative to earnings potential;

--Qualified staff: give job descriptions and resumes, as available, and

show how staff will be linguistically and culturally aligned with the

prospective refugees;

--Affordable housing: provide average rental costs for apartments of a

specified number of bedrooms and describe access to and distance from

services and potential employment.

3. A description of the caseload: e.g., free cases, ethnicity, new

or existing ethnic group, interventions to be used to promote stability

of placements, proposed numbers, proposed placement schedule, and back-

up strategy should the proposed placement schedule fail.

4. A description of national and local project management. A

statement of expected outcomes, e.g., refugee arrivals and participants

in social services, such as, employment. Number expected to enter

employment; 90 day retention rates and/or welfare avoidance,

reductions, and terminations; expected hourly wage and the number of

jobs with health benefits. Projected outcomes must include the increase

in placements in Preferred Communities and the diversion of placements

from communities where there is a history of extended welfare use.

5. A description of the national and local planning process, of

coalitions formed to support the new placements, and the consultative

process used to support the implementation. If several local agencies

are planning a coordinated project, e.g., placing refugees from the

same ethnic groups in the same designated sites, describe the

coordination of these plans. Include discussion of anticipated outcomes

of the placement strategy for new arrivals.

6. Budget, including line items and a narrative justification for

each line. Clearly state the costs for national and local planning and

project coordination. Discuss relationship between costs proposed for

this grant and costs (e.g., for services) which will be covered by

existing refugee or mainstream funding.

E. Review Criteria

Preferred Communities applications will be reviewed, scored and

ranked utilizing the following criteria:

1. Clarity of description of proposed program and soundness of

rationale for achieving the goals of the Announcement. Reasonableness

of cost implications in both the impacted and preferred communities.

Adequacy of the anticipated improved resettlement opportunities as well

as the diversion of placements from sites with histories of extended

welfare usage. Soundness of refugee social services in the new

community and choice of services to be funded by this grant. (20

Points)

2. Clear and comprehensive description of the preferred sites

proposed in terms of community support, Federal, State, and local

government consultation, and linkages, cost-of-living, out-migration

history, housing, and employment availability, welfare benefit levels

relative to potential earnings, and quality of life features, such as

school environment and available religious facilities. Adequacy of

description of sites from which refugees will be diverted and the

rationale for diverting cases from them. (25 Points)

3. Appropriateness to the targeted population of the proposed

shift, and strategies to be used to promote stability of placements.

(15 Points)

4. Adequacy of national and local management, including objectives

and outcomes, reporting procedures, outcome measures, data collection

and monitoring. (10 Points)

5. Adequacy of planning process and reasonableness of anticipated

outcomes. (15 Points)

6. Reasonableness of the budget and adequacy of line item

narrative; coordination of these grant funds with other funds. (15

Points)

Category 2: Unanticipated Arrivals or Increases in Arrivals of Refugees

to Communities Where Adequate or Appropriate Services do Not Exist

A. Purpose and Scope

This grant program is intended to provide an emergency response

capability by enhancing existing services for unanticipated new

arrivals who, because of their recent entry into the U.S., are not

included in ORR's services formula allocation. The funds may be used to

enable communities to respond to the following situations: (1) the

arrival of new ethnic populations of refugees and entrants in

communities where the existing services' system does not have

appropriate bilingual capacity, or where the arrivals of such

populations are in communities where refugee services do not presently

exist; or (2) significant increases in arrivals of an already existing

ethnic group where the service capacity is not sufficient to

accommodate them.

Applications will be accepted only for proposals for services in

communities which have received, or expect to receive, minimally 100 or

more persons annually as an unexpected population to a single local

community. This is a minimum, not a standard. The reasonableness of the

proposal will depend on the number of unanticipated arrivals relative

to the anticipated number. The applicant must establish that the

unanticipated number is statistically significant relative to the

resident population by documenting all arrivals, both anticipated and

unanticipated. Applications which do not satisfactorily document all

arrivals will not be considered.

ORR encourages the formation of coalitions of organizations which

propose to serve the new population(s) jointly, with one agency

designated as grantee, responsible for administration of the project.

As noted above, grantees should view these resources as a temporary

solution to the challenge of program transition. This grant program is

intended to supplement a State's existing refugee services network by

responding to unmet needs of new refugee populations, with the

expectation that the State will have incorporated services for these

new populations into its refugee services network, funded by formula

social service dollars, by the end of the grant project period.

B. Allowable Services

ORR will accept applications under this announcement for the type

of activities generally funded by States under their social services

formula allocation, in accordance with section 412(c)(1) of the

Immigration and Nationality Act for refugee social services. In

general, such service categories are defined as employment services,

language training, and other support services. Applications under this

section should contain references to the provision of appropriate

bilingual and bicultural service delivery. Services provided by all

grantees, whether private or public, must comport with the regulations

at 45 CFR sections 400.147, 400.150, and 400.153-.156

[[Page 32837]]

regarding eligibility for services, scope of services, and priorities

for services.

C. Application Content

1. A description of the applicant agency's qualifications,

including key personnel, to carry out the proposed activities for the

target population.

2. A discussion of the characteristics of the target population and

the needs which cannot be addressed by the existing refugee program.

Include a letter from the sponsoring national voluntary agency or

agencies substantiating that there will be an unanticipated arrival of

at least 100 or more refugees or entrants from the target population.

3. A description of the planning process used in developing the

proposal, the names and roles of the organizations participating in

this process, as well as the roles of all organizations which will be

involved in serving the population.

4. A description of the strategy to be used and services to be

provided. If the proposal was developed by a consortium or other

combination of entities, the role of each agency must be detailed. The

applicant must describe the specific geographic area(s) and client

group(s). Include a letter from the State verifying that the services

are needed, not currently available, and not fundable from existing

resources; and discussing whether the State intends to integrate these

services into the State refugee services network.

5. A description of the anticipated outcomes, including the number

of job placements, 90-day employment retention, and the anticipated

evidence of welfare avoidance, reduction and termination.

6. A management plan for oversight, monitoring, and submission of

reports.

7. A line-item budget with narrative justification for each line,

including a description of the staffing plan.

D. Application Review Criteria

Applications in the Unanticipated Arrivals category will be

reviewed, scored, and ranked in accordance with the following criteria:

1. Qualifications of the applicant agency to carry out the proposed

activities for the target population to be served. (15 Points)

2. Adequate discussion of the unique characteristics of the target

population to demonstrate that the applicant understands the

characteristics requiring the additional services. (10 Points)

3. Demonstration that the planning process leading to development

of the proposal was appropriate. (15 Points)

4. Appropriateness of the strategy and operational plan in meeting

the needs of the target population, including joint planning activities

and leveraging of other refugee programs or mainstream service

providers. (20 Points)

5. Appropriateness of the projected outcome measures and level of

achievement expected. If employment services are a part of the plan,

project the numbers of refugees to: be active participants; enter

employment; and reach 90 day retention. (15 Points)

6. Adequacy of management plan. (10 points)

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

budget, including the staffing plan and qualifications of key

personnel. (15 Points)

Category 3: Community Orientation Activities and Assistance Program

Grants for Local Communities

A. Purpose and Scope

Since 1992, the majority of refugee arrivals in the United States

represent ethnically diverse populations from such countries as Russia,

Somalia, Bosnia, Croatia, and Iraq. Compared to the pre-1992 refugees,

mainly Southeast Asians who were provided overseas classroom

orientation training, the majority of the post-1992 refugees have not

attended a pre-departure formal cultural orientation program in

preparation for their new life in the United States.

Funding constraints and restrictive conditions at some transit and

departure locations, where refugees are processed for entry into the

U.S., contribute to the lack of preparation for life in a new country.

This is particularly evident where new refugee arrivals do not have

access to pre-departure orientation organized by resettlement agencies

funded under the auspices of the U.S. Department of State, Bureau for

Population, Refugees, and Migration.

In addition to scarce, pre-arrival orientation, there are few

communities in the U.S. where new arrivals can join members of their

own ethnic group. Notwithstanding, information about American life and

resources is usually provided through friends or through word-of-mouth.

Service providers who come into contact with new arrivals may not be

sufficiently knowledgeable of the culture and values of the new

arrivals. Furthermore, limited bilingual and bicultural resources

further exacerbate the assistance effort as well as the new arrivals'

process of integration into their communities.

ORR is aware that to assist these new arrivals to become

economically self-sufficient and self-reliant within their newly

resettled communities, a comprehensive, culturally and linguistically

appropriate orientation program is key. Additionally, a cross-cultural

training and orientation program for local refugee and mainstream

service providers may enhance their assistance efforts with newly

arriving refugees and reduce the conflict or friction of cultural and

social misunderstandings.

B. Objectives of ORR

a. To provide comprehensive culturally and linguistically

appropriate orientation training to new refugee arrivals families

through bilingual, bi-cultural staff representative of the new

arrivals' cultural and linguistic make-up.

b. To identify sub-groups (e.g., home-bound women, the elderly, and

youth) of new arrivals who are more likely to face significant cultural

obstacles to their transition to a new life and to provide them

specialized orientation training customized to their specific needs.

c. To provide orientation and cross-cultural training to refugee

and mainstream service providers on new refugee populations.

d. To provide training to refugee caseworkers and interpreters to

improve their ability to deliver culturally and linguistically

appropriate services to new refugee populations.

e. To provide the mainstream community with information about new

refugee populations resettled in their community.

f. To provide new ethnic communities with small amounts of funds to

form advisory groups for the purpose of community and grass roots

organizing.

C. Allowable Orientation Activities for

1. Newly Arriving Refugee Populations

Conducting outreach (for example, home visits and ethnic group

meetings) to new arrivals to determine needs.

Convening a local work group/task force on orientation. The

composition of the group must include representatives of the ethnic

composition of new arrivals. The primary purpose of the orientation

work group is to plan and consult with local new arrivals and ethnic

communities on the type of orientation materials, services, and

training design which best fit their needs.

Adapting, if necessary, existing orientation materials to ensure

that materials are culturally appropriate for the target population.

Designing and implementing an orientation and cross-cultural

training

[[Page 32838]]

program by bilingual and bicultural staff for the newly arriving

refugee population, taking into consideration training customized to

the specific informational needs of each group, for example, heads of

households, home-bound women, youth, and the elderly.

Designing and implementing a mechanism of ensuring customer

feedback and assessment of each training session. Customers' feedback

must be incorporated for improvement of future training.

Compiling records and materials of training activities into a

training package for replication with other new arrivals.

2. Refugee and Mainstream Service Providers and the Community-at-Large

Planning and consulting with refugee and mainstream service

providers on their need for information on new arrivals, and providing

training to service providers, caseworkers, and interpreters to improve

their ability to deliver culturally and linguistically appropriate

services to new refugee populations.

Designing a mechanism of ensuring customer feedback and conducting

assessment of each training session. Customers' feedback will be

incorporated into future training.

Compiling records and materials of training activities into a

training package for future replication with other new arrivals.

Conducting public relations activities, such as providing

information via a newsletter, informational brochures or video, and

attending community meetings to provide to the community-at-large

information about new refugee arrivals resettled in their community.

3. Ethnic Community Groups

Convening or assisting in convening, members of newly arriving

ethnic communities to form their own advisory board for self-help

purposes.

Recording all community assistance activities in the form of

reports and case studies for future use by other ethnic communities in

community organizing and development.

D. Application Content

Applications for the Community Orientation and Assistance Program

should contain a detailed description of proposed activities and a plan

of action, including a timetable for implementation, and anticipated

measurable outcomes and benefits which directly meet the needs of the

target population to be served. These areas should be addressed:

1. An understanding and knowledge of the unique characteristics,

cultural background, and needs of the target groups to be served,

including discussion of the service methodology that would be

linguistically and culturally appropriate for each target group.

2. An understanding of the domestic and overseas orientation

services as well as how linkage and coordination can be established

between the overseas and domestic service providers to maintain

continuity of services to meet the orientation needs of the new

arrivals.

3. Planning and consultation with the target population, e.g., new

arrivals and refugee and mainstream service providers, to design and

implement an orientation program that best fits their needs. How the

applicant proposes to provide a comprehensive and coordinated project

design, implementation timelines, and achieving measurable outcomes.

4. Convening, or assist in convening, members of the newly arriving

ethnic groups in their effort toward organizing for self-help.

Description of how the proposed advisory groups are to be established.

5. Public relations activities with the community-at-large focusing

on mutual understanding and good will between the refugees and local

communities.

6. Customer feedback and assessment of the training as well as the

project's progress, and how the results of customers' feedback will be

used.

E. Application Review Criteria

1. Demonstrated knowledge of the unique characteristics of the

various populations to be served; demonstrated experience in the

provision of orientation service and/or training; and knowledge of

which service modality best fits each target population. (25 points)

2. Demonstrated understanding of overseas and domestic orientation

services, and the appropriateness of the proposed plan for linkage and

coordination. (10 points)

3. Adequacy and applicability of the project management plan in the

areas of planning, designing, implementing, timelines, and proposed

measurable outcomes. Qualifications of the applicant to carry out all

the proposed activities successfully. (25 points)

4. Demonstrated reasonableness and cost effectiveness in the budget

with reference to the use of bilingual and bicultural staff in all

professional capacities, the staffing plan, and qualifications of key

personnel. (15 points)

5. Demonstrated knowledge of refugee ethnic communities, and

experience in community organizing and development. (10 points)

6. Appropriateness of proposed project's measurable outcomes. (15

points)

Category 4: National Technical Assistance Project in Refugee

Orientation, Cross-cultural Training and Alliance Building

A. Purpose and Availability of Funds

This section announces the availability of Fiscal Year 1996 funds

for a national technical assistance project for refugee orientation,

cross-cultural training, and alliance building in communities heavily

impacted by recent refugee arrivals. The purpose of this category is to

respond to the immediate needs of States, refugee and/or local service

agencies, and mainstream agencies: for training and technical

assistance in cross-cultural awareness and knowledge; for skills

enhancement in resolving and mediating cross-cultural conflict between

and among refugee and non-refugee groups; and for providing culturally

and linguistically appropriate service methodologies to refugee

communities.

The successful applicant will provide group training and technical

assistance in approximately twelve (12) sites identified as impacted by

new refugee arrivals, and may include the grantees funded under

Category 3 of this announcement. Partnerships with ORR customers, e.g.,

States, other grantees, community-based organizations (CBOs), and other

Federal agencies, will be initiated to coordinate nationally in the

areas of conflict resolution and mediation and to enhance knowledge of

cross-cultural understanding and alliance building.

ORR anticipates funding one project through the mechanism of a

cooperative agreement. ORR will be closely involved in the review and

approval of the following: site selection criteria, sites and

recipients of the technical assistance and training, training

curricula, assessment tools, on-site training and technical assistance

sessions and materials, and all project-related reports.

B. Allowable Activities

Proposed activities should be tailored to reflect the orientation,

cross-cultural and mediation needs of local communities.

The types of activities which ORR may fund include, but are not

limited to, the following:

[[Page 32839]]

Convening a national training and technical assistance

work group for project consultation and design, to identify expert

trainers, and to develop strategies for dissemination of project

outcomes;

Identifying proven best practices in cross-cultural

conflict resolution and alliance building for the purpose of adapting

them to the training and technical assistance needs of the project

participants;

Identifying the needs of State and local agencies for

assistance in orientation, conflict resolution and mediation

strategies, and culturally and linguistically appropriate service

delivery;

Developing a training plan of orientation, conflict

resolution and mediation for local communities which includes expanding

the involvement and participation of non-refugee local agencies through

such activities as group training and on-site individualized sessions

for all agencies which interface with newly arrived refugees;

Developing assessment and evaluation tools, and conducting

assessment of project activities;

Developing a list of training and technical resources, and

devising a system for updating and transferring training technology for

future use;

Establishing an electronic medium for dissemination of

information and refugee training resources for use by other

practitioners.

C. Application Content

1. A discussion of the purpose of the technical assistance and

training activities to be conducted under the scope of the grant.

2. A comprehensive description of the plan for providing

coordination of project activities at the local, state, and regional

levels.

3. A comprehensive list of proposed sites for the technical

assistance OR a comprehensive list of criteria for site selection.

4. A discussion of the proposed plan for technical assistance and

training for each site and target group.

5. A description of the process to form a national training and

technical assistance workgroup. A list of the criteria for selection of

the task force members.

6. A description of the management of the plan for implementation

of all project activities.

7. A description of the expected measurable outcomes for each

project activity.

8. A list of the proposed project's key personnel and/or

consultants.

9. A proposed budget with narrative justifying each line item.

D. Application Review Criteria

Applications will be reviewed and scored on a competitive basis

against the following evaluative criteria. Points are awarded only to

applications which respond to this competitive area and to these

criteria:

1. The extent to which the purpose of the project is met, including

how the training and technical assistance needs of local sites are

identified and proposed to be met, and the benefits (measurable

outcomes vs. process outcomes) to be gained by each target group. (15

points)

2. The comprehensiveness of the proposed plan for coordination of

project services at the local, state, and regional level. The extent to

which the proposed sites (or site characteristics, if specific sites

have not been selected) are appropriate and directly related to the

objectives of the project. (10 points)

3. The criteria for selection (e.g., qualifications and experience

in working with refugees, and in fields related to the objectives of

the project) of proposed members of the national training and technical

assistance workgroup. (5 points)

4. The quality of the plan of operation and management. The extent

to which the plan of management ensures implementation of project

activities and customer feedback, the adequacy of proposed resources,

and the ability of the applicant to deliver the services in a timely

manner. (20 points)

5. The quality of the proposed training and technical assistance

plan for each site and target group, the appropriateness of training

and personnel resources, and the degree to which the training will

increase the capacity of the trainees to provide quality services to

their refugee clients and/or increase the capability of the trainees to

design and implement cross-cultural and conflict resolution strategies.

(20 points)

6. The qualifications and experiences of key personnel and/or

consultants in working with the target population and in fields related

to the objectives of the project. (10 points)

7. The quality of the proposed plan of assessment of project

activities, and appropriateness of proposed project measurable outcomes

(versus process outcomes). (10 points)

8. The cost-effectiveness and reasonableness of the proposed

budget, and budget narrative. (10 points)

Category 5: Mental Health Services

A. Purpose and Scope

The condition of a refugee's physical and mental health is a major

factor affecting resettlement and socio-economic adjustment. The most

serious mental health conditions, such as depression, anxiety-related

disorders, and post traumatic stress disorders are often seen in

refugees who have experienced severe trauma, physical abuse, and

torture.

Most refugees receive pre- and post-arrival health screening at the

time of their entry into the United States. It is through screenings

that physical health conditions are diagnosed and treated. Serious

mental health conditions are sometimes identified by health screeners

and service providers, but more frequently they are not diagnosed until

much later in the resettlement process. These mental health conditions

interfere with a refugee's progress toward economic self-sufficiency.

Especially vulnerable are refugees who have experienced traumatic

events, such as the death of relatives, loss of home, and witnessing of

atrocities, either before they leave their country of origin and/or

during migration. Some have experienced physical and psychological

torture, deprivation, hunger, isolation, and violence. In addition,

refugees are often further traumatized during the resettlement process

because their cultural backgrounds are in sharp contrast with

mainstream American social and cultural practices.

For many, resettlement means mastering a new language and adjusting

to U.S. society and its economy, its expectations, customs, and

cultural values, which may be significantly different from their own.

These challenges confront all refugees, but are more difficult for

those who suffered major physical, social, economic and political

losses.

Less serious, but also a barrier to economic self-sufficiency, are

transitory emotional difficulties which can be characterized as social

adjustment problems. If not adequately addressed, these may accumulate

over time and hamper the resettlement process. Often these problems are

handled by supportive bilingual resettlement staff and ESL teachers who

have an understanding of the refugees' plight and are sensitive to the

challenges and difficulties refugees face. This support often

facilitates the refugees' transition to their adoptive country and

lessens the impact of migration-related stressors, contributing to the

refugees' progress towards self-sufficiency.

[[Page 32840]]

Beyond the support from resettlement staff, volunteers, and ESL

teachers, refugees frequently do not receive mental health services.

Most community mental health services do not have bilingual staff who

match the local refugee groups. Also, refugees are often not receptive

to mental health services because of the stigma attached to mental

illness. Direct service workers can become overwhelmed by working with

individuals who have experienced torture and other trauma. Regular

consultation for direct case workers from experienced mental health

professionals can provide useful feedback to improve services to

refugees disabled by trauma and supportive professional relationships.

B. Mental Health Services

ORR seeks to provide resources to local community organizations to

address the need for mental health interventions in the refugees'

communities in the following ways: staff development training for

bilingual caseworkers, ESL teachers, and volunteers; orientation of

refugees to promote understanding and utilization of supportive

assistance; and orientation of mainstream mental health providers to

the refugee program, to arriving refugee populations, and to multi-

cultural perspectives for effective treatment of refugees. It is ORR's

intent that direct service workers, such as bilingual case managers,

ESL teachers, and volunteers who often provide important support to

refugees, have the benefit of regular consultation for the purpose of

increasing their effectiveness in working with refugees who are

experiencing the results of torture and social adjustment issues due to

migration.

Also, ORR seeks to promote the increase of knowledge in mental

health services for newly arriving refugee populations that have

experienced significant trauma. In addition to staff development and

orientation, it is permissible as part of this project to provide

direct clinical services to refugee patients in order to expand

knowledge and technical expertise related to refugee groups that have

experienced torture and other trauma. The technical knowledge of each

group and the effective treatment strategies gained through each

project shall be made available through written reports and oral

presentations to the ORR refugee resettlement program at conferences

convened by ORR, to the mental health community projects funded by ORR,

and to the Community Mental Health Services, SAMHSA. However, the main

objective of this category is the expansion and dissemination of

information on effective treatment to direct workers providing services

to the particular refugee group with associated trauma.

C. Allowable Activities

ORR will accept applications under this Category for the following

activities: (1) ongoing mental health professional consultation,

supervision, and training for bilingual caseworkers, ESL teachers, and

volunteers in working with refugees who are in the process of

resettlement and exhibiting extreme behaviors; (2) orientation to U.S.

mental health services for newly arriving refugees; (3) orientation of

mental health professionals to newly arriving refugees and the programs

of resettlement; and (4) development of a body of technical knowledge

and expertise concerning newly arriving refugees who have experienced

severe trauma and the clinical interventions that are therapeutically

effective with them.

D. Application Content

1. A description of the target population(s) and their need for the

proposed project activities: i.e., orientation; staff development; or

development of technical assistance.

2. A description of the planning process used in developing the

application: the names of the organizations and the roles played in the

planning; a comprehensive list of all organizations in the community

working with the target population; and the manner by which all direct

service professional staff will benefit from the project's orientation,

consultation and training services.

3. A description of the project strategy: orientation; staff

development; and development of technical assistance to address the

target populations' need for mental health services as listed under

``allowable activities.''

4. A statement of the status of need for services and the projected

outcomes expected from the services provided.

5. A description of the management plan providing oversight,

monitoring, and program reports, including the applicant agency's

qualifications to carry out the proposed activities; and key personnel,

including consultants for professional mental health services.

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

E. Application Review Criteria

1. Adequacy of the description of the target population(s) and the

need for proposed activities. (10 points)

2. Demonstration that the planning process is community-wide and

comprehensive in addressing the needs of direct service staff for

ongoing professional consultation, supervision, and training in working

with refugees exhibiting needs for mental health services. (20 points)

3. Appropriateness and adequacy of the strategy of services

proposed. (30 points)

4. Relevance and appropriateness of the proposed program outcomes

to the project's objectives. (20 points)

5. Adequacy of the management plan, monitoring plan, and proposed

program reports. Appropriateness of key personnel and consultants

implementing the project. (10 points)

6. Reasonableness of the budget; the completeness of the line-item

narrative. Cost-effectiveness of the budget in providing for the

services. (10 points)

PART II. GENERAL APPLICATION INFORMATION AND GUIDANCE

The Director may award more or less than the funds described for

each category, subject to the quality of the applications or other

circumstances as may be deemed in the best interest of the government.

In making awards, the Director of ORR may award less for individual

projects than the maximums described in the ``Available Funds'' section

above. No applicant is guaranteed an award.

Eligible applicants may apply for more than one project and may

apply in more than one of the categories as described above. However,

an applicant must submit a full project application for each category

separately.

Awards for Categories 1, 3, 4, and 5, on a competitive basis, will

be for one-year budget periods, although project periods may be for 3

years. Applications for continuation grants funded under these awards

beyond the one-year budget period, but within the 3 year project

period, will be entertained in the subsequent years on a non-

competitive basis, subject to the availability of funds, satisfactory

progress of the grantee and determination that continued funding would

be in the best interest of the Government.

Category 2, Unanticipated Arrivals, has one project period of up to

17 months.

A. Deadlines and Mailing Instructions

The initial closing date for submission of applications is August

15, 1996. Closing dates for subsequent years applications, beginning in

1997, are January 15 and July 15. Applications postmarked after the

appropriate closing date will be classified as late.

Deadline: Mailed applications shall be considered as meeting an

announced

[[Page 32841]]

deadline if they are either received on or before the deadline date or

sent on or before the deadline date and received by ACF in time for the

independent review to: U.S. Department of Health and Human Services,

Administration for Children and Families, Division of Discretionary

Grants, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462, Washington,

D.C. 20447, Attention: Ms. Shirley Parker.

Applicants must ensure that a legibly dated U.S. Postal Service

postmark, or a legibly dated, machine produced postmark of a commercial

mail service appears on the envelope/package containing the

application(s). An acceptable postmark from a commercial carrier is one

which includes the carrier's logo/emblem and shows the date the package

was received by the commercial mail service. Private Metered postmarks

shall not be acceptable as proof of timely mailing.

Applications handcarried by applicants, applicant couriers, or by

overnight/express mail couriers shall be considered as meeting an

announced deadline if they are received on or before the deadline date,

between the hours of 8:00 a.m. and 4:30 p.m., at the U.S. Department of

Health and Human Services, Administration for Children and Families,

Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,

Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between

Monday and Friday (excluding Federal holidays). (Applicants are

cautioned that express/overnight mail services do not always deliver as

agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

ACF electronically will not be accepted regardless of date or time of

submission and time of receipt.

B. Late Applications

Applications which do not meet the criteria above are considered

late applications. ACF shall notify each late applicant that its

application will not be considered in the current competition.

C. Extension of Deadlines

ACF may extend the deadline for all applicants because of acts of

God such as floods, hurricanes, widespread disruption of the mails, or

when it is anticipated that many of the applications will come from

rural or remote areas. However, if ACF does not extend the deadline for

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

applicant.

D. Process for Review of Application

Applicants will be reviewed competitively and scored by an

independent review panel of experts in accordance with ACF grants

policy and the criteria stated below. The results of the independent

review panel scores and explanatory comments will assist the Director

of ORR in considering competing applications. Reviewers' scores will

weigh heavily in funding decisions but will not be the only factors

considered. Applications generally will be considered in order of the

average scores assigned by the reviewers. Highly ranked applications

are not guaranteed funding since other factors are taken into

consideration, including: comments of reviewers and of ACF/ORR

officials; previous program performance of applicants; compliance with

grant terms under previous DHHS grants; audit reports; and

investigative reports. Final funding decisions will be made by the

Director of ORR.

The application must stipulate the category for which funding is

being sought. Where the category is not clearly stipulated, the project

will not be considered and will not be completed.

The two letter designation for the standing announcement

Discretionary Grants is for: category 1. RP; category 2 RU; category 3

RO; category 4 is RA; and category 5 is RM. On the face page of the SF

424, block #11, the applicant should identify each application

accordingly.

E. Application Submission: Forms, Certifications, Assurances, and

Disclosure

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.

Applicants must provide a certification concerning Lobbying. Prior

to receiving an award in excess of $100,000, applicants shall furnish

an executed copy of the lobbying certification. Applicants must sign

and return the certification with their applications.

Applicants must make the appropriate certification of their

compliance with the Drug-Free Workplace Act of 1988. By signing and

submitting the applications, applicants are providing the certification

and need not mail back the certification with the applications.

Applicants must make the appropriate certification that they are

not presently debarred, suspended or otherwise ineligible for award. By

signing and submitting the applications, applicants are providing the

certification and need not mail back the certification with the

applications.

Copies of the certifications and assurance are located at the end

of this announcement.

4. SPOC Notification: This program is covered under Executive Order

12372, ``Intergovernmental Review of Federal Programs,'' and 45 CFR

Part 100, Intergovernmental Review of Department of Health and Human

Services Program and Activities.''

As of February, 1996, the following jurisdictions have elected not

to participate in the Executive Order process. Applicants from these

jurisdictions need take no action in regard to E.O. 12372:

Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana,

Massachusetts, Minnesota, Montana, Nebraska, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee, Virginia, Washington, American

Samoa, and Palau.

All remaining jurisdictions participate in the E.O. process and

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

participating jurisdictions should contact their SPOCs as soon as

possible to alert them to the prospective applications and receive

instructions. Applicants must submit any required material to the SPOCs

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

SPOC comments as part of the award process. The applicant must submit

all required materials, if any, to the SPOC and indicate the date of

this submittal (or the date of contact if no submittal is required) on

the Standard Form 424, item 16a.

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

deadline to comment on proposed new or competing continuation awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations.

Additionally, SPOCs are requested to clearly differentiate between

mere advisory comments and those official State process recommendations

which may trigger the ``accommodate or explain'' rule.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, 370

L'Enfant Promenade, S.W., Washington, D.C. 20447.

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

is included as Appendix A of this announcement.

[[Page 32842]]

F. Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act of 1995, Pub. Law 104-13, the

Department is required to submit to the Office of Management and Budget

(OMB) for review and approval any reporting and record keeping

requirements in regulations, including program announcements. All

information required by this is covered under the following OMB

Approval Nos:

SF 424 OMB Clearance No. 0348-0043 Application for Federal

Assistance Standard Form 424.

SF 424A OMB Clearance No. 348-044 Budget Information.

SF 424B OMB Clearance No. 0348-040 Assurances--Non

Construction Programs.

SF ORR-6 Revised 9/05/95 OMB Clearance No. 0970-0036.

Quarterly Performance Report.

This program announcement meets all information collection

requirements approved for ACF grant applications under OMB Control

Number 0970-0139.

G. Applicable Regulations

Applicable HHS regulations will be provided to grantees upon award.

H. Reporting Requirements

Grantees are required to file Financial Status (SF-269) every 6

months and Program Progress Reports on a quarterly basis. Funds issued

under these awards must be accounted for and reported upon separately

from all other grant activities.

The official receipt point for all program performance and

financial status reports is the Division of Discretionary Grants. The

original and two copies of each report shall be submitted to the

Department of Health and Human Services, Administration for Children

and Families, Division of Discretionary Grants, 370 L'Enfant Promenade,

S.W., Washington, D.C. 20447.

The final Financial and Program Progress Reports shall be due 90

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

The Catalog of Federal Domestic Assistance (CFDA) number assigned

to this announcement is 93.576.

Date: June 18, 1996.

Lavinia Limon,

Director, Office of Refugee Resettlement.

OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,

Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,

FAX: (602) 280-1305

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and

Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas

72203, Telephone: (501) 682-1074, FAX: (501) 682-5206

Alabama

Jon C. Strickland, Alabama Department of Economic and Community

Affairs, Planning and Economic Development Division, 401 Adams

Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483,

FAX: (205) 242-5515

California

Grants Coordinator, Office of Planning & Research, 1400 Tenth

Street, Room 121, Sacramento, California 95814, Telephone (916) 323-

7480, FAX (916) 323-3018

Delaware

Francine Booth, State Single Point of Contact Executive Department,

Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,

Telephone: (302) 739-3326, FAX: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants

Mgmt. & Dev., 717 14th Street, N.W.-Suite 500, Washington, D.C.

20005, Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740

Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)

922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254

Washington Street, S.W.-Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938

Illinois

Barbara Beard, State Single Point of Contract, Department of

Commerce and Community Affairs, 620 East Adams, Springfield,

Illinois 62701, Telephone: (217) 782-1671, FAX: (217) 534-1627

Indiana

Amy Brewer, State Budget Agency, 212 State House, Indianapolis,

Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department

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

50309, Telephone: (515) 242-4719, FAX: (515) 242-4859

Kentucky

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

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

8204, Telephone: (502) 573-2382, FAX: (502) 573-2512

Maine

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

Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489

Maryland

William G. Carroll, Manager, State Clearinghouse for

Intergovernmental Assistance, Maryland Office of Planning, 301 W.

Preston Street-Room 1104, Baltimore, Maryland 21201-2365, Staff

Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900

Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:

(313) 961-4266

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and

Administration, 455 North Lamar Street, Jackson, Mississippi 39202-

3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 760, Truman Building, Jefferson

City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex,

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

687-3983

New Hampshire

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

Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon

Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,

FAX: (603) 271-1728

New Jersey

Gregory W. Adkins, Assistant Commissioner, New Jersey Department of

Community Affairs

Please direct all correspondence and questions about

intergovernmental review to:

Andrew J. Jaskolka, State Review Process, Intergovernmental Review

Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone:

(609) 292-9025, FAX: (609) 633-2132

New Mexico

Robert Peters, State Budget Division, Room 190 Bataan Memorial

Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

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

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

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the

Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina

27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571

[[Page 32843]]

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental

Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-

0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse,

Office of Budget and Management, 30 East Broad Street, 34th Floor,

Columbus, Ohio 43266-0411

Please direct correspondence and questions about

intergovernmental review to:

Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400

Rhode Island

Daniel W. Varin, Associate Director, Department of Administration/

Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode

Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

Please direct correspondence and questions to:

Review Coordinator, Office of Strategic Planning

South Carolina

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, FAX: (803) 734-0385

Texas

Tom Adams, Governor's Office, Director, Intergovernmental

Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)

463-1771, FAX: (512) 463-1880

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and

Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538-1535, FAX: (801) 538-1547

Vermont

Nancy McAvoy, State Single Point of Contact, Pavilion Office

Building, 109 State Street, Montpelier, Vermont 05609, Telephone:

(802) 828-3326, FAX: (802) 828-3339

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia

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

25304, Telephone: 9304) 558-4010, FAX: (304) 558-3248

Wisconsin

Martha Kerner, Section Chief, State/Federal Relations, Wisconsin

Department of Administration, 101 East Wilson Street--6th Floor,

P.O. Box 7868, Madison, Wisconsin 53707, telephone: (608) 266-2125,

FAX: (608) 267-6931

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building

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

7574, FAX: (307) 638-8967

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and

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

Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning

Board, Federal Proposals Review Office, Minillas Government Center,

P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)

727-4444; (809) 723-6190, FAX: (809) 724-3270; (809) 724-3103

North Mariana Islands

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

the Governor, Saipan, CM, Northern Mariana Islands 96950

Virgin Islands

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

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

Virgin Islands 00802

Please direct all questions and correspondence about

intergovernmental review to:

Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069

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BILLING CODE 4184-01-C

[[Page 32845]]

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 (for 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.)

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BILLING CODE 4184-01-C

[[Page 32848]]

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 Line 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 32849]]

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 CFR 900, Subpart F).

6. Will comply with all Federal statutes relating to

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

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

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

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

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

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

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

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

amended (42 U.S.C. 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. 290dd-3 and 290ee-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 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 (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. Sec. 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.

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Signature of authorized certifying official

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Title

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Applicant organization

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Date submitted

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[[Page 32851]]

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BILLING CODE 4184-01-C

[[Page 32852]]

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 belief 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

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 indicated 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 participate 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 Transactions'' 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 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.

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

Signature

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

Title

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

Organization

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

Date

BILLING CODE 4184-01-M

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BILLING CODE 4184-01-C

[[Page 32854]]

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 $1,000

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.

[FR Doc. 96-16187 Filed 6-24-96; 8:45 am]

BILLING CODE 4184-01-P