Office of Refugee Resettlement's Fiscal Year 1997 Omnibus Discretionary Social Service Grants Program

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

Office of Refugee Resettlement's Fiscal Year 1997 Omnibus

Discretionary Social Service Grants Program

AGENCY: Office of Refugee Resettlement (ORR), ACF, DHHS.

ACTION: Request for applications to support projects under the Office

of Refugee Resettlement's Fiscal Year 1997 Omnibus Discretionary Social

Service Grants Program for services to refugees.1

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

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

Cuban and Haitian entrants, under section 501 of the Refugee

Education Assistance Act of 1980 (Pub. L. 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 Act, 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.

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SUMMARY: This program announcement governs the availability of and

award procedures for approximately $4,400,000 in FY 1997 Social

Services discretionary grants. The Office of Refugee Resettlement (ORR)

will accept competing applications for grants in three categories,

pursuant to the Director's discretionary authority under section

412(c)(1) of the Immigration and Nationality Act (INA), as amended by

section 311 of the Refugee Act of 1980 (Pub. L. 96-212), 8 U.S.C.

1522(c); section 501(a) of the Refugee Education Assistance Act of 1980

(Pub. L. 96-422), 8 U.S.C. 1522 note, insofar as it incorporates by

reference with respect to Cuban and Haitian entrants the authorities

pertaining to assistance for refugees established by section 412(c) of

the INA, as cited above; and the Refugee Assistance Extension Act of

1986 (Pub. L. 99-605).

Applications may be submitted in Category One for naturalization

and citizenship programs. Category Two, Part I consists of

microenterprise programs; Part II is for one technical assistance

provider to serve ORR microenterprise grantees. Category Three is for

technical assistance providers in three program areas: (1) Refugee

Employment, (2) Refugee Elderly Services, and (3) Welfare and

Immigration Reform Impact.

Applicants may request a project period of up to three years, with

an initial budget period of one year. Where awards are for multiple

year project periods, applications for continuation grants will be

entertained in subsequent years on a non-competitive basis, subject to

availability of funds, successful progress of the project, and ACF's

determination that this would be in the best interest of the

government. This announcement contains forms and instructions for

submitting an application.

CLOSING DATE: The closing dates for submission of applications is

August 15, 1997. Applications received after the closing date will be

classified as late and will not be considered in the current

competition.

FOR FURTHER INFORMATION REGARDING THIS ANNOUNCEMENT, CONTACT: Anna Mary

Portz, telephone (202) 401-1196, or e-mail [email protected].

For further information regarding Category One, Citizenship,

contact: Nguyen T. Kimchi at (202) 401-4556 or N[email protected].

For further information regarding Category Two, Microenterprise,

contact: Marta Brenden at (202) 205-3589 or [email protected].

For Category Three, Program Area One, Employment Technical

Assistance, contact: Carolyn V. Plummer at (202) 401-5449 or Kathy Do

at (202) 401-4579.

For Category Three, Program Area Two, Elderly Technical Assistance,

contact: Nguyen T. Kimchi at (202) 401-4556, e-mail

N[email protected] or Bill McPherrin at (202) 401-5429,

[email protected].

For Category Three, Program Area Three, Welfare and Immigration

Reform Technical Assistance, contact: Anna Mary Portz as above.

You may address correspondence to the contact persons as follows:

Office of Refugee Resettlement, Administration for Children and

Families, 370 L'Enfant Promenade, S.W. 6th Floor, Washington, D.C.

20447.

SUPPLEMENTARY INFORMATION:

Legislative Authority

Section 412(c)(1)(A) of the INA authorizes the Director ``to make

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

agencies for projects specifically designed--(i) to assist refugees in

obtaining the skills which are necessary for economic self-sufficiency,

including projects for job training, employment services, day care,

professional refresher training, and

[[Page 32628]]

other recertification services; (ii) to provide training in English

where necessary (regardless of whether the refugees are employed or

receiving cash or other assistance); and (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.'' Furthermore, Section 412(a)(4)(A)(i) of the INA

states: ``* * * the Director [of ORR is]* * *authorized--to make

loans'' for the purpose of carrying out this section.

Eligible Applicants

Eligible applicants are States and other public or private,

nonprofit organizations and institutions.

Background

As with all programs funded by appropriations pursuant to the

Refugee Act, services may be provided only to refugees (see definition

in footnote 1, above) and may not be provided to refugees who have

become citizens (except for those Amerasians listed in footnote 1).

Coalitions

For Category One (naturalization and citizenship program), and

Category Two, Part I (microenterprise program), organizations, which

have not already done so, are encouraged to build coalitions to apply

under this announcement to design and implement these programs. The

activities funded by these grants are intended to serve as a catalyst

to bring the community together to address the economic and social

problems of refugee families and communities. The goal in all cases

should be to build and strengthen the community's capacity to serve its

members in improving the quality of life and standard of living for

refugee families. While activities proposed do not have to be directly

related to employment, applicants should be guided by the overarching

goal of improving the economic condition of refugee families and of

gearing them to adjust socially and economically to their new country

and their new communities.

This announcement strongly encourages partnerships or consortia of

two or more eligible organizations to submit joint applications for

grants. For each coalition, the one organization submitting the

application will be identified as the primary grant recipient (grantee)

with administrative and fiscal responsibilities. Applications from

consortia which do not clearly specify which organization will serve as

grantee cannot be considered. In all cases the applicant must

demonstrate that wherever potential partners for collaboration exist,

the applicant, at a minimum, has planned the proposed activities in

collaboration with these potential partners, whether they are in the

refugee services provider community of organizations and institutions

or in mainstream services organizations, e.g., adult basic education

providers, senior citizens organizations. Consultation might also

include the Mayor's office, school parent-teacher groups, local police

departments, and other mainstream community service organizations.

The emphasis on coalitions notwithstanding, ORR will not fund

projects where the role of the applicant is primarily to serve as a

conduit for funds to organizations other than the applicant.

Service Compatibility

Applicants are more likely to be successful in obtaining a grant if

they describe the refugee community, family, and service capacity

concerns under consideration. It should be clear how the proposed

activity fits into the existing network of services; how it responds to

the particular needs of families in that community or to a broader need

of the community; who is committed to do what, in order to accomplish

this goal; and what the expected outcomes of the activity will be.

The process of coalition-building is key to strengthening

cooperation and coordination among the local service providers,

community leaders, Mutual Assistance Associations, voluntary agencies,

churches, and other public and private organizations involved in

refugee resettlement and/or community service. ORR intends that this

process will be part of local efforts to build strategic partnerships

among these groups to expand their capacity to serve the social and

economic needs of refugees and to give support and direction to ethnic

communities facing problems in economic independence and social

adjustment.

In all cases, and regardless of the type of organization designated

to provide services or conduct activities funded under this

announcement, organizations should consider and describe how the

services/activities will be linguistically and culturally compatible

with the refugee families or communities to be served. In addition, the

applicant must describe how proposed providers will have access to the

families and to the community to be served.

Availability of Funds

Approximately $4.4 million will be awarded in FY 1997 through this

Omnibus Announcement. ORR expects to make available $3,000,000 in FY

1997 discretionary funds for Category One: Naturalization and

Citizenship programs, and anticipates that awards will range from

$50,000 to $250,000 per budget period. In Category Two:

Microenterprise, Part I, ORR expects to make 5-6 individual new grant

awards to total approximately $750,000; in Part II, there will be a

single award anticipated at $100,000. In Category Three: Technical

Assistance, ORR anticipates one award each of $150,000 in Program Areas

One and Two, Employment and Elderly Services respectively, and one

award of $250,000 in Program Area Three, Impact of Welfare and

Immigration Reform on Refugees and Refugee Communities.

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

funds described, in the absence of worthy applications, or under such

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

government. Applicants may be required to reduce the scope of selected

projects to accommodate the amount of the approved grant award.

Length of Application

Applicants are encouraged to limit program narratives (see Part C.

under each category below) to 20 pages (typewritten, double spaced on

standard, letter-size paper) plus no more than 20 pages of appended

material. This limitation of 20 pages per component should be

considered as a maximum, and not necessarily a goal to be achieved.

Category One: Naturalization and Citizenship

A. Purpose and Scope

A refugee's resettlement in this country is not completed until he

or she becomes a full fledged participant in an American community.

Naturalization marks the beginning of the process for refugees to

become fully participating members of their new country. Most refugees

eventually become citizens after meeting their residency requirement.

However, older refugees, and refugees who are not literate in their own

language, often have difficulty meeting the English language and civics

requirements of the naturalization process. Citizenship preparation

classes currently available at local educational institutions often

require an English proficiency that many refugees do not possess.

[[Page 32629]]

The purpose of this grant program is to provide support for

citizenship education and application programs for refugees who have

met or are within one year of meeting the residency requirement to

become citizens. ORR is particularly interested in helping refugees who

are hard to reach for existing citizenship services and who have had

historically low rates of naturalization because of language, cultural,

or other barriers. These include pre-literate refugees, elderly

refugees who are non-English speakers and refugees with limited English

and/or literacy skills. Refugees with strong English proficiency who

need civics instruction may be served under these programs, but are

considered a lower priority.

Refugees eligible for services in this program must have no more

than one year remaining to meet residency requirements for

naturalization. For most refugees, this equates to at least four years

residency since arrival in the U.S., or two years in the case of

refugees who are married to U.S. citizens.

ORR encourages refugees to participate in citizenship and

naturalization programs that are generally available in metropolitan

areas. However, ORR also recognizes that there is a need for

specialized programs to meet the needs of underserved refugees. ORR

encourages collaboration among service providers to ensure that these

at-risk refugees can access the citizenship preparation services

appropriate to their background and level of education.

These funds may be used for services designed to reach refugees who

have not traditionally availed themselves of mainstream programs

because they either do not understand the significance of citizenship

or need specialized services.

The program is intended:

To provide outreach and information to eligible,

vulnerable refugee groups, such as older refugees, pre-literate

refugees, homebound women, and others with special needs in the

naturalization process, and to educate them on the rights and

responsibilities of citizenship.

To provide enhanced English language training and civics

instruction for pre-literate refugees and refugees with limited

literacy skills to help them qualify for citizenship.

To provide citizenship application assistance for

qualified refugees and to eliminate barriers to citizenship for

vulnerable groups of refugees.

To promote naturalization by encouraging cooperative

working relationships among local public, private and community-based

organizations such as refugee mutual assistance associations (MAAs),

States, and the Immigration and Naturalization Service, U.S. Department

of Justice (INS).

To assist service providers in securing pro bono legal

and/or medical services and other volunteer services, as necessary, for

successful attainment of citizenship.

To the extent that a project charges fees or earns income related

to a grant in the citizenship/naturalization program, such program

income may be retained by the project grantee so long as these costs

further the objectives of the grant in accordance with 45 CFR

74.24(b)(1) or 92.25(g)(2).

B. Allowable Services

ORR will consider applications for services which are based on an

analysis of citizenship service needs and available resources.

Allowable services are those not readily available to refugees in the

community especially the underserved groups of refugees e.g., the

elderly, refugees not literate in their own language, and homebound

refugees. Activities and services proposed should be planned in

conjunction with existing services and should supplement and complement

these services. Special attention should be given in the planning

process to the citizenship and naturalization services available to

other immigrants in the community, including those designed for

immigrants with similar background as refugees.

In most large States and metropolitan areas, refugee and immigrant

forums have already assessed citizenship service needs. Applicants are

advised to consult with these forums or with their State refugee office

to examine these assessments and to submit them as supportive

documentation for their proposed program.

Examples of allowable activities are:

Provision for innovative programs to reach underserved

refugee groups for citizenship activities.

Provision for creatively designed English language

training and civics instruction appropriate for pre-literate refugees

and refugees with limited literacy skills.

Assistance in the submission of the N-400 application for

citizenship and in meeting related requirements or referral to

appropriate partner organizations.

On-site training and/or mobile processing services for

refugees who have difficulty accessing citizenship preparation classes

in order to prepare for the qualifying examination to become

naturalized U.S. citizens.

Removal of barriers to citizenship through the formation

of peer support groups to coordinate transportation, child care and

other support services necessary for increasing participation in

citizenship/naturalization activities.

Preparation for the naturalization interview, interpreting

and translating services for citizenship interviews when necessary and

where such services are not available through the INS or other

agencies.

Coordination with local school districts, legal aid

societies, medical professionals, corporate enterprises and foundations

to leverage in-kind or cost-sharing contributions to the program.

Developing and maintaining working partnerships between

local public, private nonprofit and community-based organizations

(e.g., MAAs), and States and the INS.

C. Program Narrative

All applicants should address the following in their applications

for financial assistance.

1. Objectives and Need for Assistance

State the objectives for the program and indicate how they relate

to the provision of services in helping refugees to obtain citizenship

through naturalization. Demonstrate that the need for the program is

based on an assessment of the community's refugee population and

consultation with refugees and refugee service providers. Provide

letters of support for the proposed program from community leaders and

residents--particularly those involved with refugees and the special

populations to be served. If the applicant proposes to initiate a new

program in an area where no other organizations serve refugees, and a

coalition with other organizations is not possible, this should be

explained and documented.

Identify the population(s) to be served by the project and explain

why this population is most in need of the program. Identify the

intended enrollment size (number of elderly refugees, their ethnicity,

etc.).

Describe any citizenship services and resources which are available

in the area to serve the refugee population(s) and how those which are

proposed will complement the existing network.

2. Approach and Results or Benefits Expected

Describe the method used to involve and consult with potential

consumers (i.e., older and homebound refugees, refugee women) that

caused the applicant to conclude that there is a need for a special

program to serve the

[[Page 32630]]

proposed target population(s). Applicants must describe what will be

done during the start-up period to prepare for implementation.

Describe what services the program will provide, either directly or

through referral, to promote citizenship and naturalization.

Explain the approach to recruiting and enrolling underserved

refugees and identify the target recruitment area.

Explain how the applicant intends to coordinate the program with

other service providers, MAAs, and other community-based organizations

providing citizenship services to avoid duplication.

Describe how the program will develop relationships with the local

INS district office or other organizations that are authorized by INS

to provide naturalization services such as, test administration, finger

printing, etc.

Describe what assistance the program will provide to refugees with

special needs such as older and disabled refugees in order to enable

them to participate in the citizenship education program. Identify the

existing transportation resources available to refugees in reaching

services provided at the program site and in off-site locations.

Identify the specific results or benefits that could be expected

for refugees participating in the program, by qualitative and

quantitative data measuring outcomes and progress toward stated results

or benefits, (e.g. how many completed the program; how many submitted

applications to INS; how many passed the civics test?).

Provide assurances that the program will collect data on groups of

refugees served (age, sex, etc.), types of services to be furnished

(English and citizenship education, citizenship application,

information and referral, etc.), service utilization information, types

and nature of needs identified and met, and such other information as

may be required periodically for purposes of evaluation.

Describe how the lessons learned from the program will benefit

national policy, practice, theory and/or research.

3. Organizational Capability

Provide a description of the applicant's organization and document

its non-profit status. Describe the applicant's experience in providing

citizenship services to refugees and immigrants as well as the

applicant's experience in collaborating with refugee service providers

and ethnic organizations.

Identify and provide a brief description of key staff who are

proposed to work in the program and indicate their educational training

and experience working with refugees and citizenship education

programs/services. Describe staffing patterns and staff qualifications

and language/cultural competencies. Explain how the ethnic composition

and language proficiency of particular staff persons are reflective of

the community.

Provide assurances that the applicant will cooperate with an

evaluation contractor and any other contractor ORR may fund to evaluate

and assess the effectiveness of the program.

4. Budget

Provide a line item budget with detailed narrative justification.

Applicants who request indirect charges must attach a copy of the

organization's current negotiated indirect cost agreement. If the

applicant does not have a negotiated indirect cost agreement with any

agency of the federal government, all costs must appear in the budget

as direct charges.

Provide documented assurance that:

Federal funds awarded under this grant program will not be

used to reimburse clients for any fees paid to INS.

Funds awarded under this grant program will not duplicate

naturalization and citizenship activities already funded by another

source. These funds will not be used to offset funding otherwise

available for citizenship activities.

None of the funds awarded under this announcement will be

used for the development of new materials where existing materials have

already been developed to an acceptable standard. Applicants are

reminded to secure permission to use materials developed by national

organizations experienced in citizenship activities.

D. Review Criteria

Each project proposal will be rated and scored by an independent

review panel using criteria described below. State applicants which

plan to contract for services must submit detailed proposals of their

approach and identify the subcontractors or provide a description of

the contractual award process and projected timelines. State applicants

must assure ORR that sub-grantees will abide by the same requirements

as direct ORR grantees in this program.

1. Demonstration of how the program--working collaboratively--will

meet the need for citizenship services of the target refugees through

direct services and/or through leveraging existing community resources.

Reasonableness of the project activities and timeline for meeting the

proposed objectives. 25 points

2. Quality of the innovative program to meet the needs of the

underserved population in reducing barriers to citizenship to enable

them to become citizens within a short time frame. Extent to which the

expected results and benefits of the project are appropriate and

reasonable. 35 points

3. Demonstration of the applicant's qualified records of good

performance in citizenship activities. Quality of proposed staff,

appropriateness of the staff selection in relation to the proposed

activities and the characteristics of the target population. 20 points

4. The budget is reasonable, clearly presented, sufficiently

detailed, and demonstrates a cost-effective use of federal funds. 20

points

Total: 100 points.

Category Two, Part I: Microenterprise Development

A. Purpose and Scope

The purpose of these funds is to use microenterprise development to

enable refugees to increase household income and thereby decrease their

likelihood of relying on public assistance. For purposes of

participation in a program, there is no limitation on the number of

years a refugee may have been in the U.S. as long as he/she has not

become a naturalized citizen at the time of enrollment in the project.

Projects should be designed in a manner that is linguistically and

culturally appropriate for the target population; additionally,

projects may not exclude an individual or group of refugees on the

basis of ethnicity.

B. Allowable Activities

Funds may be used to provide business technical assistance,

business training, credit in the form of microloans, and/or for the

administrative costs of managing the project and a microloan fund to

assist refugees in starting or expanding microbusinesses. Training may

be conducted in classes, in small groups or with individuals. Ongoing

technical assistance should be available to participants for up to the

first year following the business start-up.

Microloans: Consist of small amounts of credit, generally in sums

less than $10,000, extended to low-income entrepreneurs for start-up of

microenterprises. Microloans may also be available for micro-business

expansions. Refugee borrowers who

[[Page 32631]]

may benefit from agency-based revolving loan funds typically have few

personal assets or savings and do not qualify for commercial loans.

Microloans may be made available to clients through a partnership with

commercial banks or other traditional lending institutions. Federal

funds may also be used as guarantees or leverage for commercial loans.

In any case, ORR encourages the use of current market rates of interest

which may be charged up to four percentage points above the New York

Prime lending rate at the time of the loan approval. Microloans will

have a maximum maturity of three years.

Applicants who propose to administer a microloan fund, in which

some or all of the available capital comes from ORR grant funds, must

use a revolving loan fund to disperse these loans. ORR grant funds for

a revolving loan fund will be capped for all new grantees at $50,000

for the first budget period. Program income in the form of interest (on

individual loans or from loan loss reserves) may be retained by the

agency project so long as these costs further the objectives of the

grant and the Federal statute under which the grant was made. Program

income of this type may be used to expand the number of microloans to

be made available to the participants in accordance with 45 CFR 74.24

(b)(1), (b)(2), and (e) or 92.25 (b), (g)(2), and (h). The

microenterprise grantee may not charge fees, points, or other amounts

to the individual borrower applying for a microloan other than actual

costs associated with obtaining, approving and closing the approved

microloan. Additionally, individual borrowers may not be solicited for

contributions toward the cost of training or technical assistance

received under this program.

Technical Assistance for Projects: To ensure the exchange of

technical and training information among ORR microenterprise program

grantees, all grantees are strongly encouraged to attend two training

conferences during each year of their participation in the program.

Grant funds may be used to offset the cost of attendance. Also, ORR is

currently announcing the availability of funds for a technical

assistance provider for refugee microenterprise projects which will be

available for ORR grantees (see Part II of this Category).

C. Program Narrative

Applications to the ORR microenterprise program announcement should

describe the following:

1. Statement of Need

The capital needs and capital market gaps for refugee

microentrepreneurs in their community, and how they will gain access to

credit through this project.

A profile of prospective refugee participants, including: an

annotated list describing ethnicities for the target population, their

status with respect to welfare usage and employment; refugees'

qualifying income and length of time in the U.S.; and prospective

clients' interest in microenterprise.

Any eligibility requirements related to English language

proficiency that will be required of refugee participants.

2. Program Strategy

Describe the structure and approach of the project including, the

form and duration of business training and/or technical assistance to

refugee entrepreneurs; where appropriate, provisions for individual or

group-based lending; whether the business targets are start-ups,

expansions, or both; affiliated agencies; credit enhancements, such as

loan loss reserves, and fees.

ORR encourages partnerships with other appropriate organizations

for training and loans. Refugee ethnic communities frequently have non-

eligible members (naturalized U.S. citizens and immigrants) who will

also be likely candidates for microenterprise services, but will not be

eligible clients for services funded by ORR. For that reason, ORR

suggests that applicants seek to establish partnerships with commercial

banks and other traditional lending institutions; seek funds from other

federal and state government microenterprise programs, and private

sources to fund training and microloans for clients not otherwise

eligible for ORR funded services.

If the program strategy includes a microloan program, the

application must describe the sources and amounts of lending capital,

the anticipated size of the loan fund, its terms, and the activities

for which loans may be used; the lending criteria for borrowers, and

mechanism of approval/disapproval; and a monthly revolving loan cash

flow chart for the three year period beginning October 1, 1997.

3.a. Organizational Capability

The application must include a description of the applicant's

organizational structure, copies of the financial statements for the

last two years, balance sheets and income statements, the plan for

fiscal and project management, a time table for activities, a project

organization chart, a description of staffing, and resumes or

qualifications of staff.

Those applicants to this announcement who have previously operated

refugee microenterprise projects with training and microloans should

describe in some detail their accomplishments under prior projects. The

description should provide a project description, annotated list of

refugee ethnic groups, recruitment strategies, training classes or

other training methods, and performance outcomes in terms of number of

clients, number of loans and an analysis of size and payment history,

and performance measures such as number of business starts and

expansions for each of the project's budget periods.

If a revolving loan fund is part of this application, describe in

detail the management activities with respect to the loans: loan

application forms and criteria for approval, microenterprise activities

for which loans may be used, management and servicing of the loan

funds, a discussion of the applicants' lending history, loan repayment

terms, projected default rates, and projected schedule for local

collection.

3.b. Project Management

Applicant must provide details on the management and operation of

the project and of the loan funds; a description of project staff

credentials including cultural and linguistic appropriateness; and,

staff supervision plan; and the design of program progress reports.

4. Performance Outcome Measures

Performance measures that will demonstrate the impact of the

project on the participants, and whether the purpose of the

microenterprise project is met.

5. Budget

A line-item budget that coincides with the SF 424 object class

categories and provides sufficient detail. In an accompanying section,

submit a narrative justification that explains each budget category.

Applicants who request indirect charges must attach a copy of the

organization's current negotiated indirect cost agreement. If the

applicant does not have a negotiated indirect cost agreement with any

agency of the federal government, all costs must appear in the budget

as direct charges.

D. Review Criteria

Grant applications for microenterprise development will be reviewed

and ranked against the following criteria:

1. A description of the purposes for which funding is proposed; the

[[Page 32632]]

appropriateness of the project (design, policies and procedures) to the

entrepreneurial experience, capital needs, and English language

proficiency of the targeted refugee community. 20 points

2. The appropriateness of the project structure and approach,

including design for training and/or technical assistance, lending,

credit enhancements, and affiliates. 20 points

3. Demonstrated organizational and management capacity and history

of experience with microenterprise development for refugees or other

economically disadvantaged populations. 20 points

4. Extent to which the expected outcomes are appropriate,

consistent with reported nationwide performance in microenterprise

projects, and reasonable for the size of the targeted population. 20

points

5. Appropriateness and reasonableness of the proposed budget,

including the relative distribution of funds for administrative costs,

training or technical assistance, loan capital, and unit costs.

Applicant should include project timelines and a narrative

justification supporting each budget line. 20 points

Category Two, Part II: Assistance to Intermediary Microenterprise

Grantee Agencies

ORR intends that microenterprise programs will have access to

technical assistance and existing materials in the design and

implementation of these projects. To that end, ORR will award one grant

in an amount not to exceed $100,000 to a private, non-profit agency for

the purpose of assisting grantees in the administration of projects and

microloan funds, in the development of appropriate financial systems

for administering these projects, and for securing additional financing

for microloans through non-federal sources. Grantees will be given

access to standardized documents, policies, and procedures that have

been developed or gathered under this initiative. Interested

organizations should submit an application package, in accordance with

instructions stated below in ``Application Preparation and

Submission,'' including the following:

--A description of the applicant's organizational structure, staff

qualifications, experience in microenterprise development, and

expertise in business management principles, the operation of revolving

loan funds, and/or experience in leveraging commercial funds.

--A narrative description of technical assistance activities for

approximately 12 grantee agencies, with a timetable and schedule for

site-visits and related reports.

--A line-item budget and budget narrative (applicants who request

indirect charges must attach a copy of the organization's current

negotiated indirect cost agreement. If the applicant does not have a

negotiated indirect cost agreement with any agency of the federal

government, all costs must appear in the budget as direct charges).

Applications for the technical assistance grant will be reviewed

competitively and scored by a review panel of experts in accordance

with the criteria stated below:

--Organizational expertise and history of experience in microenterprise

development and in providing technical assistance and training to

intermediary agencies. 40 points

--Clarity and appropriateness of the project design for technical

assistance. 30 points

--Reasonableness and appropriateness of the proposed budget. 30 points

Category Three: Technical Assistance

Program Area One: Technical Assistance to Refugee Employment Service

Providers

A. Purpose and Availability of Funds

The primary goal of refugee resettlement is to assist refugees to

become economically self-sufficient. Efficient and effective employment

services are critical to achieving this goal. To that end, ORR

currently provides both formula and discretionary grants to fund

employment services which assist refugees in obtaining employment and

decreasing their need for public assistance.

In recent years, ORR has held a series of conferences to foster

sharing of information among employment services staff. The new welfare

reform legislation further intensifies the need to share best practices

and successful techniques in job development, job placement, and post

placement services. To continue the ORR initiative for improved

employment services, and to increase the capacity of employment service

providers to help refugees attain employment, ORR proposes to award one

cooperative agreement for technical assistance and training to refugee

employment service providers. Funds provided under this award may be

used nationwide for the following purposes:

1. To identify model and best practices for providing employment

services to refugees.

2. To assist discretionary programs in using the existing

Government Performance Results Act (GPRA), and, where appropriate, in

developing and measuring, short and long term program performance

outcomes for employment services to special populations.

3. In areas with large numbers of new arrivals and multiple

employment services providers, to conduct on-site analysis of

employment services and to provide the technical assistance needed to

improve outcomes for: staff training, effective inter-agency

cooperation, increasing employer and/or refugee involvement in the

design or delivery of services, or management and other issues which

may improve performance.

4. To facilitate multi-site, consultative and information-sharing

training sessions where similar agencies and/or agencies serving

similar groups of refugees or working in similar employment

environments can share experiences, conduct self-assessment and group

assessment, and complete a blueprint for self-and agency improvement. A

training session might include an on-site peer group review of a

project which requests technical assistance.

5. To provide training in basic employment services skills to newly

hired or inexperienced staff, to agencies experiencing staff turnover,

or to agencies which lack expertise in employment services or

employment services for refugees.

Through the cooperative agreement, ORR intends to be involved in

the program in the following areas: review and approval of the

technical assistance plan, including the sites proposed; assistance in

giving employment providers access to the grantee's services; review

and approval of training curricula; review and approval of assessment

tools used to evaluate technical assistance needs; and general review

and approval of materials prepared for delivery of technical

assistance.

Approximately $150,000 has been allocated for this project. One

grant may be awarded for one national project.

State applicants who may wish to apply and issue a contract to

provide the technical assistance should identify the sub-contractor

organization and/or provide a description of the contractual award

process. Applicants are advised that provision of technical assistance

to a grantee may only be made on a requested or voluntary basis.

B. Allowable Activities

Applicants may propose all or a combination of the following

activities:

Identification and promotion of projects which constitute

best or model practices.

[[Page 32633]]

Selection justification of proposed sites for technical

assistance activities;

Analysis of employment services in two or more sites for

the purpose of improving performance;

Training for basic employment services skills, including

new Federal and State supported job initiatives, to newly hired or

inexperienced staff;

Training and/or facilitation in developing strategies and

techniques, such as:

--Service delivery to special groups, such as women, older refugees, or

youth;

--Effective inter-agency coordination;

--Obtaining employer feedback in quality or design of services;

--Changing the employment service delivery mechanism (e.g., to a one-

stop center operated by a consortium of providers);

--Assessing clients' transferable job skills;

Training and/or facilitation through on-site peer reviews,

through multi-site information sharing and problem solving sessions,

and/or through individual consultation.

C. Program Narrative

--A description of the applicant's organizational structure, staff

qualifications, especially experience in refugee employment services

and/or job development.

--A narrative description of proposed technical assistance activities

for a designated number of grantee agencies, with a timetable and

schedule for site-visits or other proposed activities and related

reports.

--A line-item budget and budget narrative (applicants who request

indirect charges must attach a copy of their current negotiated

indirect cost agreement. If the applicant does not have a negotiated

indirect cost agreement with any agency of the federal government, all

costs must appear in the budget as direct charges).

D. Review Criteria

Each project proposal will be rated individually by an independent

review panel using the criteria described below:

1. Staff qualifications are clearly presented and are appropriate

to achieving the project's goals. Staff qualifications include

demonstrated expertise in assisting refugees or low income ethnic

minorities in obtaining employment, previous experience with the

provision of technical assistance in the field of employment service,

experience in cross-cultural communication, and knowledge of Federal

and State employment initiatives. Organizational expertise is

described. 40 points

2. The narrative description and plan for providing technical

assistance is clearly described; activities and time-frames are

reasonable, feasible and will achieve ORR's goals.

The technical plan describes proposed activities, how they will be

accomplished, how the applicant will assess the needs for technical

assistance in given communities, and why it proposes those communities.

40 points

3. The budget is reasonable, clearly presented, sufficiently

detailed, and cost effective. 20 points

Program Area Two: Technical Assistance to Elderly Refugee Services

Grantees

A. Purpose and Availability of Funds

Older refugees may be especially vulnerable because of certain age-

related issues: chronic health and emotional problems stemming from the

conditions of refugee flight; family loss and separation; an inability

to advocate for themselves because of cultural, language, or

educational barriers; limited access to appropriate health and social

service agencies; limited incomes due to work histories; and barriers

to meeting the requirements for naturalization.

To address those issues, the Office of Refugee Resettlement is

making available approximately $9.5 million in discretionary grant

funds in a separate grant announcement to assist States with counties

heavily impacted by older refugees. When those grantees are funded, ORR

proposes to award a grant up to $150,000 to one non-profit service

agency capable of providing technical assistance, troubleshooting, and

developing and implementing on-site solutions to barriers which these

potential grantees may experience in coordinating programs for elderly

refugees. ORR is seeking a private, non-profit service agency which has

experience in working with elderly refugees at the federal, State and

local levels.

B. Allowable Activities

Applicants may propose all or some combination of the following or

may propose innovative strategies to address older refugee needs:

Providing technical assistance to ORR grant recipients

under the announcement for services to elderly refugees for the purpose

of insuring coordination between aging and refugee services and

programs.

Making on-site visits to evaluate the success of older

refugees' receiving needed services in a timely manner.

Where grantees are experiencing problems with carrying out

their proposals, working closely with staff to resolve issues.

Evaluating individual success by talking with consumers of

services (elderly refugees); determining whether clients are indeed

participating in the planning process.

Determining which grantees need technical assistance with

refugees in crisis situations, e.g., the short-term provision of

emergency assistance, such as food, shelter and medical services and

helping grantees to develop workable solutions.

Identifying and documenting unmet needs of older refugees

and helping grantees prepare and implement action plans to overcome

these barriers.

C. Program Narrative

--A description of the applicant's organizational structure and staff

qualifications, especially working with refugee and aging

organizations;

--A narrative description of technical assistance activities,

including: timelines and start-up times, the method for assessing the

technical assistance needs of given communities, procedures to evaluate

grantee successes, and action plans to assist grantees meet their

stated objectives;

--A plan to assist grantees with the development of collaboration and

linkages between aging and refugee organizations at the local level;

and,

--A line-item budget and budget narrative, including a cost analysis of

the applicant's management of each proposed activity and narrative

justification to support each line (applicants who request indirect

charges must attach a copy of the organization's current negotiated

indirect cost agreement. If the applicant does not have a negotiated

indirect cost agreement with any agency of the federal government, all

costs must appear in the budget as direct charges).

D. Review Criteria

Each proposal will be rated and scored individually by an

independent review panel using the criteria described below:

1. Organization's expertise and history of experience in working

with aging and refugee organizations at the national, state and local

levels. 30 points

2. Clarity and appropriateness of plan and proposed activities for

providing

[[Page 32634]]

technical assistance, assessing the technical assistance needs of given

communities, procedures to be used to help grantees evaluate their

performance. 35 points

3. Quality of plan for development of grantee collaboration and

linkages between aging and refugee organizations. 20 points

4. Appropriateness and reasonableness of the proposed budget. 15

points

Program Area Three: Technical Assistance regarding the Impact of

Welfare and Immigration Reform on Refugees and Refugee Communities

A. Purpose and Availability of Funds

The primary goal of refugee resettlement is to assist refugees to

become economically self-sufficient. While ORR currently provides

Targeted Assistance and Social Services funds to States and nonprofit

agencies for employment services to assist refugees in obtaining

employment, many refugees need some form of cash or medical assistance

during their resettlement experience.

The Personal Responsibility and Work Opportunity Reconciliation Act

of 1996 (also known as ``Welfare Reform''), Public Law 104-193,

eliminated the AFDC program, the JOBS program, and Emergency

Assistance, and created block grants for States to provide time-limited

cash assistance for needy families, with work requirements for most

recipients. The Temporary Assistance for Needy Families (TANF) Block

Grant funding may be used by States in any manner reasonably calculated

to accomplish several purposes: To provide assistance to needy families

so that children can be cared for in their own home; to reduce

dependency by promoting job preparation, work and marriage; to prevent

out-of-wedlock pregnancies; and to encourage the formation and

maintenance of two-parent families. The Illegal Immigration Reform and

Immigrant Responsibility Act (also known as ``Immigration Reform''),

P.L. 104-208, further restricted access to certain programs by legal

immigrants.

The new rules regarding non-citizens are complex and easily subject

to misinterpretation. For refugees this may have unintended negative

consequences. Refugees may be unfairly denied access to work because of

fear of employer sanctions or denied benefits due to confusion over

status.

ORR proposes to award one cooperative agreement for technical

assistance and training for refugee service providers concerning the

impact of welfare and immigration reform on refugees and refugee

communities. Funds provided under this award may be used nationwide for

the following purposes:

1. To provide technical assistance and coordinate information-

sharing and analysis--State by State, as well as nation-wide--for

refugee service providers with the goal of increasing, as needed,

awareness and understanding of the impact of welfare and immigration

reform on refugee families.

2. To assist refugee service programs through the development and

distribution of materials providing information and education on the

implementation of welfare and immigration reform.

3. To coordinate communication among local refugees and service

providers as well as between local agencies and national organizations

working on these issues i.e. through sharing translated materials or

telephone conferences.

4. To facilitate multi-site consultative and information-sharing

training sessions where similar agencies, and/or agencies serving

similar groups of refugees or working in similar environments, can

share experiences and information.

Through the cooperative agreement, ORR intends to be involved in

the program in the following areas: review and approval of the

technical assistance plan; assistance in giving ORR grantees access to

the technical assistance provider's services; and general review of

materials prepared for delivery of information and technical

assistance.

Approximately $250,000 has been allocated for this project. One

grant will be awarded for one national project.

State applicants who may wish to apply and issue a contract to

provide the technical assistance should identify the sub-contractor

organization and/or provide a description of the contractual award

process. Applicants are advised that provision of technical assistance

to a grantee may only be made on a requested or voluntary basis.

B. Allowable Activities

Applicants may propose all or some combination of the following:

Providing technical assistance to ORR grant recipients and

other refugee service providers to promote an understanding of the

impact of welfare and immigration reform on refugee families and

communities.

Obtaining and assessing refugee feedback regarding the

information on welfare and immigration reform.

Training and facilitation in developing strategies and

techniques, such as:

--Effective inter-agency coordination;

--Assessing the State by State and/or national impact of the new laws

on refugees and refugee communities.

Peer training through multi-site information sharing

sessions, individual agency/community consultations, and on-site

visits.

C. Program Narrative

--A description of the applicant's organizational structure, staff

qualifications, especially demonstrated knowledge of relevant

provisions in welfare and immigration reform, legalization and asylum,

and experience in communicating federal and State policies and

regulations to local, preferably refugee, communities and service-

providers.

--A narrative description of technical assistance activities for a

representative national or regional network of refugee communities and

grantee agencies, with a timetable and schedule for site-visits or

other proposed activities and related reports.

--A line-item budget and budget narrative (applicants who request

indirect charges must attach a copy of the organization's current

negotiated indirect cost agreement. If the applicant does not have a

negotiated indirect cost agreement with any agency of the federal

government, all costs must appear in the budget as direct charges).

D. Review Criteria

Each project proposal will be rated individually by an independent

review panel using the criteria described below:

1. Organizational expertise is described.

Staff qualifications are clearly presented and are appropriate to

achieving the project's goals. Staff qualifications include

demonstrated expertise in assisting refugees or low income ethnic

minorities in accessing information on federal programs and

regulations, previous experience with the provision of related

technical assistance to refugee service-providers, experience in cross-

cultural communication, and knowledge of Federal and State TANF

initiatives and the broader welfare and immigration reform implications

for refugees and refugee communities. 40 points

2. The narrative description and plan for providing technical

assistance is clearly described; activities and time-frames are

reasonable, feasible and will

[[Page 32635]]

achieve ORR's goals. The technical plan describes proposed activities,

how they will be accomplished, how the applicant will meet the needs

for technical assistance to given agencies and communities, and why

these agencies and communities are proposed. 40 points

3. The budget is reasonable, clearly presented, sufficiently

detailed, and cost effective. 20 points

General Procedure for Competitive Review of Applications

All applications which meet the stipulated deadline and other

requirements 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.

A. Application Preparation and Submission

Availability of Forms: Attachments contain all of the standard

forms necessary for the application for awards under this announcement.

Further, copies of the Federal Register containing this announcement

are available at most local libraries and Congressional District

Offices for reproduction. If copies are not available at these sources,

they may be obtained by writing or telephoning the following office:

Office of Refugee Resettlement, 370 L'Enfant Promenade S.W.,

Washington, D.C. 20447, Telephone: (202) 401-9251.

B. Forms, Certifications, Assurances, and Disclosure

1. Applicants for financial assistance under this announcement must

file the Standard Form (SF) 424, Application for Federal Assistance;

SF-424A, Budget Information--Non-Construction Programs; SF-424B,

Assurances--Non-Construction Programs. The instructions and forms

required for submission of applications are included. The forms may be

reproduced for use in submitting applications. An application with an

original signature and two copies is required.

2. Applicants must provide the following certifications. Copies of

the forms and assurances are located at the end of this announcement.

a. Certification regarding lobbying if your anticipated award

exceeds $100,000.

b. Certification regarding environmental tobacco smoke. By signing

and submitting the applications, applicant provides certification that

they will comply with the requirements of the Pro-Children Act of 1994

(Pub.L. 103-227, Part C--Environmental Tobacco Smoke) and need not mail

back the certification with the application.

c. Certification regarding debarment, suspension, and other

Ineligibility. By signing and submitting the applications, applicant

provides certification that they are not presently debarred, suspended

or otherwise ineligible for this award and therefore need not mail back

the certification with the application.

d. Drug-Free Workplace Act of 1988.

C. Deadline

1. Mailed applications shall be considered as meeting an announced

deadline if they are received on or before the deadline date by ORR at:

U.S. Department of Health and Human Services, Administration for

Children and Families, Office of Refugee Resettlement, Division of

Community Resettlement, 370 L'Enfant Promenade, S.W., Sixth Floor,

Washington, D.C. 20447, Attention: Omnibus Competition.

Applications hand-carried 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,

Office of Refugee Resettlement, 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.

2. 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.

3. Extension of deadlines: ACF may extend the deadline for all

applicants because of acts of God such as floods, hurricanes, etc.,

widespread disruption of the mails, or when it is anticipated that many

of the applications will come from rural or remote areas. However, if

the granting agency does not extend the deadline for all applicants, it

may not waive or extend the deadline for any applicants.

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

final and no additional materials will be accepted by ACF.

D. Nonprofit Status

Applicants other than public agencies must provide evidence of

their nonprofit status with their applications. Any of the following is

acceptable evidence: (1) A copy of the applicant organization's listing

in the Internal Revenue Service's most recent list of tax-exempt

organizations described in section 501(c)(3) of the IRS Code; or (2) A

copy of the currently valid IRS tax exemption certificate.

E. Intergovernmental Review

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

Programs and Activities.''

As of January, 1997, 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:

Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas,

Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey,

Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,

Virginia, Washington, American Samoa, and Palau.

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

have established Single Points of Contact (SPOCs). A list of the Single

Points of Contact for each State and Territory is included as Appendix

A of this announcement.

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

[[Page 32636]]

soon as possible so that ORR 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,

Office of Refugee Resettlement, Division of Community Resettlement, 6th

Floor 370 L'Enfant Promenade, SW., Washington, DC 20447.

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 OMB Clearance No. 0970-

0139.

G. Applicable Regulations

Applicable HHS regulations can be found in 45 CFR Part 74 or 92.

H. Reporting Requirements

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

annually 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.

Although ORR does not expect the proposed components/projects to

include evaluation activities, it does expect grantees to maintain

adequate records to track and report on project outcomes and

expenditures by budget line item.

The official receipt point for all reports and correspondence is

the ORR Division of Community Resettlement. An original and one copy of

each report shall be submitted within 30 days of the end of each

reporting period directly to the Project Officer named in the award

letter. The mailing address is: 370 L'Enfant Promenade SW., Sixth

Floor, Washington, DC 20447.

A final Financial and Program Report 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.

Dated: June 9, 1997.

Lavinia Limon,

Director, Office of Refugee Resettlement.

Appendix A--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

California

Grants Coordinator, Office of Planning and 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. and 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

Virginia Bova, State Single Point of Contact, Department of Commerce

and Community Affairs, James R. Thompson Center, 100 West Randolph,

Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028,

FAX: (312) 814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House,

Indianapolis, Indiana 46204-2796, 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 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, FAX: (518) 486-

5617

North Carolina

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

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

[[Page 32637]]

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

733-9571

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

Kevin Nelson, Review Coordinator, 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

Rodney Grizzle, State Single Point of Contact, Grant Services,

Office of the Governor, 1205 Pendleton Street--Room 331, Columbia,

South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356

Texas

Tom Adams, Governor's Office, Director, Intergovernmental

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

463-1771, FAX: (512) 463-1888

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

West Virginia

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

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

25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Jeff Smith, Section Chief, State/Federal Relations, Wisconsin

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

P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267,

FAX: (608) 267-6931

Wyoming

Matthew Jones, State Single Point of Contact, Office of the

Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne,

Wyoming 82002, Telephone: (307) 777-7446 FAX: (307) 632-3909

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

Mr. Alvaro A. Santos, Executive Officer, State Single Point of

Contact, Ofice of Management and Budget, Office of the Governor,

Saipan, MP, Northern Mariana Islands 96950, Telephone (670) 664-

2256, FAX: (670) 664-2272

Contact Person:

Ms. Jacoba T. Seman, Federal Programs Coordinator, Telephone (670)

644-2289, FAX: (670) 644-2272

Virgin Islands

Nelson Bowry, 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

In accordance with Executive Order #12372, ``Intergovernmental

Review of Federal Programs,'' this listing represents the designated

State Single Points of Contact. The jurisdications not listed no

longer participate in the process BUT GRANT APPLICANTS ARE STILL

ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITOTY,

COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.''

STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama,

Alaska, American Samoa, Colorado, Connecticut, Kansas, Hawaii,

Idaho, Louisiana, Massachusetts, Palau, Minnesota, Montana,

Nebraska, New Jersey, Oklahoma, Oregon, Pennsylvania, South Dakota,

Tennessee, Vermont, Virginia, and Washington. This list is based on

the most current information provided by the States. Information on

any changes or apparent errors should be provided to the Office of

Management and Budget and the State in question. Changes to the list

will only be made upon formal question. Changes to the list will

only be made upon formal notification by the State. Also, this

listing is published biannually in the Catalogue of Federal Domestic

Assistance.

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BILLING CODE 4184-01-C

[[Page 32639]]

Instructions for the SF 424

Public reporting burden for this collection of information is

estimated to average 45 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget. Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State, if

applicable) & applicant's control number (if applicable.).

3. State use only (if applicable).

4. If this application is to continue or revise an existing

award, enter present Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of primary organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities.)

13. Self-explanatory.

14. List the applicant's Congressional district and any

district(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as

items 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 allowances, 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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[[Page 32640]]

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[[Page 32641]]

[GRAPHIC] [TIFF OMITTED] TN16JN97.041

BILLING CODE 4184-01-C

[[Page 32642]]

Instructions for the SF 424A

Public reporting burden for this collection of information is

estimated to average 180 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

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 function 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 of 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 total for all columns used.

Section B. Budget Categories

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

same programs, functions, and activities shown on Lines 1-4, Column

(a), Section A. When additional sheets are prepared for Section A,

provide similar column headings on each sheet. For each program,

function or activity, fill in the total requirements for funds (both

Federal and non-Federal) by object class categories.

Lines 6a-i--Show the totals of Lines 6a to 6h in each column.

Line 6j--Show the amount of indirect cost.

Line 6k--Enter the total of amounts on Lines 6i and 6j. For all

applications for new grants and continuation grants the total amount

in column (5), Line 6k, should be the same as the total amount shown

in Section A, Column (g), Line 5. For supplemental grants and

changes to grants, the total amount of the increase or decrease as

shown in Columns (1)-(4), Line 6k, should be the same as the sum of

the amounts in Section A, Columns (e) and (f) on Line 5.

Line 7--Enter the estimated amount of income, if any, expected

to be generated from this project. Do not add or subtract this

amount from the total project amount. Show under the program

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 of a separation 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 in 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 of 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

Public reporting burden for this collection of information is

estimated to average 15 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for

[[Page 32643]]

reducing this burden, to the Office of Management and Budget,

Paperwork Reduction Project (0348-0043), Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

Note: Certain of these assurances may not 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

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

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

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

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

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. Sec. 6101-6107), which prohibits discrimination

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

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

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

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

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

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

Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),

as amended, relating to confidentiality of alcohol and drug abuse

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

U.S.C. Sec. 3601 et seq.), as amended, relating to non-

discrimination in the sale, rental or financing of housing; (i) any

other nondiscrimination provisions in the specific statute(s) under

which application for Federal assistance is being made; and (j) the

requirements of any other nondiscrimination statute(s) which may

apply to the application.

7. Will comply, or has already complied, with the requirements

of Titles II and III of the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (P.L. 91-646) which

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply, as applicable, 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. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding

labor standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase

requirements of Section 102(a) of the Flood Disaster Protection Act

of 1973 (P.L. 93-234) which requires recipients in a special flood

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order

(E.O.) 11514; (b) notification of violating facilities pursuant to

E.O. 11738; (c) protection of wetlands pursuant to E.O. 11990; (d)

evaluation of flood hazards in floodplains in accordance with E.O.

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.

Secs. 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) E.O. 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 or

OMB Circular No. A-133, Audits of Institutions of Higher Learning

and other Non-profit Institutions.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

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

Signature of authorized certifying official

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

Title

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

Applicant organization

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

Date submitted

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

primary participant is providing the certification set out below.

2. The inability of a person to provide the certification

required below will not necessarily result in denial of

participation in this covered transaction. The prospective

participant shall submit an explanation of why it cannot provide the

certification set out below. The certification or explanation will

be considered in connection with the department or agency's

determination whether to enter into this transaction. However,

failure of the prospective primary participant to furnish to

certification or an explanation shall disqualify such person from

participation in this transaction.

3. The certification in this clause is a material representation

of fact upon which reliance placed when the department or agency

determined to enter into this transaction. If it is later determined

that the prospective primary participant knowingly rendered an

erroneous certification, in addition to other remedies available to

the Federal Government, the department or agency may terminate this

transaction for cause or default.

[[Page 32644]]

4. The prospective primary participant shall provide immediate

written notice to the department or agency to which this proposal is

submitted if at any time the prospective primary participant learns

that its certification was erroneous when submitted or has become

erroneous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause, have the meanings set out in the

Definitions and Coverage sections of the rules implementing

Executive Order 12549. You may contact the department or agency to

which this proposal is being submitted for assistance in obtaining a

copy of those regulations.

6. The prospective primary participant agrees by submitting this

proposal that, should the proposed covered transaction be entered

into, it shall not knowingly enter into any lower tier covered

transaction with a person who is proposed for debarment under 48 CFR

part 9, subpart 9.4, debarred, suspended, declared ineligible, or

voluntarily excluded from participation in this covered transaction,

unless authorized by the department or agency entering into this

transaction.

7. The prospective primary participant further agrees by

submitting this proposal that it will include the clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by

the department or agency entering into this covered transaction,

without modification, in all lower tier covered transaction and in

all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from the covered transaction, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the List of

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participation is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

10. Except for transactions authorized under paragraph 6 of

these instructions, if a participant in a covered transaction

knowingly enters into a lower tier covered transaction with a person

who is a proposed for debarment under 48 CFR part 9, subpart 9.4,

suspended, debarred, ineligible, or voluntarily excluded from

participation in this transaction, in addition to other remedies

available to the Federal Government, the department or agency may

terminate this transaction for cause or default.

* * * * *

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

(1) The prospective primary participants 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 by any

Federal department or agency;

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

been convicted of or had a civil judgment rendered against them for

commission of fraud or a criminal offense in connection with

obtaining, attempting to obtain, or performing a public (Federal,

State or local) transaction or contract under a public transaction;

violation of Federal or State antitrust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction

of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for 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 three-year period preceding this

application/proposal had one or more public transactions (Federal,

State or local) terminated for cause or default.

(2) Where the prospective primary participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

Instruction for Certification

1. By signing and submitting this proposal, the prospective

lower tier participant is providing the certification set out below.

2. The certification in this clause is a material representation

of fact upon which reliance was placed when this transaction was

entered into. If it is later determined that the prospective lower

tier participant knowingly rendered an erroneous certification, in

addition to other remedies available to the Federal Government the

department or agency with which this transaction originated may

pursue available remedies, including suspension and/or debarment.

2. The prospective lower tier participant shall provide

immediate written notice to the person to which this proposal is

submitted if at any time the prospective lower tier participant

learns that its certification was erroneous when submitted or had

become erroneous by reason of changed circumstances.

4. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause, have the meaning set out in the

Definitions and Coverage sections of rules implementing Executive

Order 12549. You may contact the person to which this proposal is

submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting

this proposal that, [Page 33043] should the proposed covered

transaction be entered into, it shall not knowingly enter into any

lower tier covered transaction with a person who is proposed for

debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,

declared ineligible, or voluntarily excluded from participation in

this covered transaction, unless authorized by the department or

agency with which this transaction originated.

6. The prospective lower tier participant further agrees by

submitting this proposal that it will include this clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,'' without

modification, in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

7. A participation in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from covered transaction, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the List of

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

9. Except for transactions authorized under paragraph 5 of these

instructions, if a participant in a covered transaction knowingly

enters into a lower tier covered transaction with a person who is

proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,

debarred, ineligible, or voluntarily excluded from participant in

this transaction, in addition to other remedies available to the

Federal Government, the department or agency with which this

transaction originated may pursue available remedies, including

suspension and/or debarment.

* * * * *

Certification Regarding Debarment, Suspension, Ineligibility an

Voluntary Exclusion--Lower Tier Covered Transaction

(1) The prospective lower tier participant certifies, by

submission of this proposal, that neither it nor its principals is

presently debarred, suspended, proposed for debarment, declared

ineligible, or voluntarily

[[Page 32645]]

excluded from participation in this transaction by any Federal

department or agency.

(2) Where the prospective lower tier participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

This certification is required by the regulations implementing

the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.

Sections 76.630 (c) and (d)(2) and 76.645 (a)(1) and (b) provide

that a Federal agency may designate a central receipt point for

STATE-WIDE AND STATE AGENCY-WIDE certifications, and for

notification of criminal drug convictions. For the Department of

Health and Human Services, the central pint is: Division of Grants

Management and Oversight, Office of Management and Acquisition,

Department of Health and Human Services, Room 517-D, 200

Independence Avenue, SW., Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements (Instructions

for Certification)

1. By signing and/or submitting this application or grant

agreement, the grantee is providing the certification set out below.

2. The certification set out below is a material representation

of fact upon which reliance is placed when the agency awards the

grant. If it is later determined that the grantee knowingly rendered

a false certification, or otherwise violates the requirements of the

Drug-Free Workplace Act, the agency, in addition to any other

remedies available to the Federal Government, may take action

authorized under the Drug-Free Workplace Act.

3. For grantees other than individuals, Alternate I applies.

4. For grantees who are individuals, Alternate II applies.

5. Workplaces under grants, for grantees other than individuals,

need not be identified on the certification. If known, they may be

identified in the grant application. If the grantee does not

identify the workplaces at the time of application, or upon award,

if there is no application, the grantee must keep the identity of

the workplace(s) on file in its office and make the information

available for Federal inspection. Failure to identify all known

workplaces constitutes a violation of the grantee's drug-free

workplace requirements.

6. Workplace identifications must include the actual address of

buildings (or parts of buildings) or other sites where work under

the grant takes place. Categorical descriptions may be used (e.g.,

all vehicles of a mass transit authority or State highway department

while in operation, State employees in each local unemployment

office, performers in concert halls or radio studios).

7. If the workplace identified to the agency changes during the

performance of the grant, the grantee shall inform the agency of the

change(s), if it previously identified the workplaces in question

(see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and

Debarment common rule and Drug-Free Workplace common rule apply to

this certification. Grantees' attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I

through V of the Controlled Substances Act (21 U.S.C. 812) and as

further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo

contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal

statute involving the manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the

performance of work under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees unless their impact or

involvement is insignificant to the performance of the grant; and

(iii) Temporary personnel and consultants who are directly engaged

in the performance of work under the grant and who are on the

grantee's payroll. This definition does not include workers not on

the payroll of the grantee (e.g., volunteers, even if used to meet a

matching requirement); consultants or independent contractors not on

the grantee's payroll; or employees of subrecipients or

subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

The grantee certifies that it will or will continue to provide a

drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to

inform employees about--

(1) The dangers of drug abuse in the workplace;

(2) The grantee's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement required by

paragraph (a) that, as a condition of employment under the grant,

the employee will--

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for

a violation of a criminal drug statute occurring in the workplace no

later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days

after receiving notice under paragraph (d)(2) from an employee or

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

to every grant officer or other designee on whose grant activity the

convicted employee was working, unless the Federal agency has

designated a central point for the receipt of such notices. Notice

shall include the identification numbers (s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days

of receiving notice under paragraph (d)(2), with respect to any

employee who is so convicted--

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-

free workplace through implementation of paragraphs (a), (b), (c),

(d), (e) and (f).

(B) The grantee may insert in the space provided below the

site(s) for the performance of work done in connection with the

specific grant.

Place of Performance (Street address, city, county, state, zip code)

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Check {time} if there are workplaces on file that are not

identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition of the grant, he

or she will not engage in the unlawful manufacture, distribution,

dispensing, possession, or use of a controlled substance in

conducting any activity with the grant;

(b) If convicted of a criminal drug offense resulting from a

violation occurring during the conduct of any grant activity, he or

she will report the conviction, in writing, within 10 calendar days

of the conviction, to every grant officer or other designee, unless

the Federal agency designates a central point for the receipt of

such notices. When notice is made to such a central point, it shall

include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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 an

agency, a Member

[[Page 32646]]

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.

Statement for Loan Guarantees and Loan Insurance

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

belief, that:

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

influencing or attempting to influence an officer or employee of any

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

an employee of a Member of Congress in connection with this

commitment providing for the United States to insure or guarantee a

loan, the undersigned shall complete and submit Standard Form--LLL,

``Disclosure Form to Report Lobbying,'' in accordance with its

instructions. Submission of this statement is a prerequisite for

making or entering into this transaction imposed by section 1352,

title 31, U.S. Code. Any person who fails to file the required

statement shall be subject to a civil penalty of not less than

$10,000 and not more than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

BILLING CODE 4184-01-P

[[Page 32647]]

[GRAPHIC] [TIFF OMITTED] TN16JN97.042

BILLING CODE 4184-01-C

[[Page 32648]]

Certification Regarding Environmental Tobacco Smoke

Public Law 103-277, 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 routinely owned or

leased or contracted for by an entity and used routinely or

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

services to children under the age of 18, if the services are funded

by Federal programs either directly or through State or local

governments, by Federal grant, contract, loan, or loan guarantee.

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

residences, facilities funded solely by Medicare or Medicaid funds,

and portions of facilities used for inpatient drug or alcohol

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

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

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

on the responsible entity.

By signing and submitting this application the applicant/grantee

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

applicant/grantee further agrees that it will require the language

of this certification to be included in any subawards which contain

provisions for the children's services and that all subgrantees

shall certify accordingly.

[FR Doc. 97-15705 Filed 6-13-97; 8:45 am]

BILLING CODE 4184-01-M