Administration for Native Americans: Availability of Financial Assistance
Federal RegisterSep 25, 1997
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93612-981]
Administration for Native Americans: Availability of Financial
Assistance
AGENCY: Administration for Native Americans, ACF, DHHS.
ACTION: Announcement of availability of competitive financial
assistance for projects in competitive areas administered by the
Administration for Native Americans for American Indians, Native
Hawaiians, Alaska Natives and Native American Pacific Islanders.
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SUMMARY: The Administration for Native Americans (ANA) announces the
anticipated availability of fiscal year 1998 funds in three competitive
areas:
(1) Governance and social and economic development;
(2) Governance and social and economic development for Alaska
Native entities; and
(3) environmental regulatory enhancement.
Financial assistance provided by ANA in support of projects in
these three areas is intended to promote the goal of self-sufficiency
for Native Americans.
APPLICATION KIT: Application kits, (Approved by the OMB under
control number 0980-0204, which expires August 31, 1999) containing the
necessary forms and instructions to apply for a grant under this
program announcement, may be obtained from: Department of Health and
Human Services, Administration for Children and Families,
Administration for Native Americans, 370 L'Enfant Promenade, Mail Stop
HHH 348F, Washington, D.C. 20447, Attention: 93612-981, Telephone:
(202) 690-7776, Fax: (202) 690-7441.
Copies of this program announcement and many of the required forms
may be obtained electronically at the ANA World Wide Web Page: http://
www.acf.dhhs.gov/programs/ana/index.html
The printed Federal Register notice is the only official program
announcement. Although all reasonable efforts are taken to assure that
the files on the ANA World Wide Web Page containing electronic copies
of this Program Announcement are accurate and complete, they are
provided for information only. The applicant bears sole responsibility
to assure that the copy downloaded and/or printed from any other source
is accurate and complete.
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SUPPLEMENTARY INFORMATION:
Introduction and Purpose
The purpose of this program announcement is to announce the
anticipated availability of fiscal year 1998 funds, authorized under
the Native American Programs Act of 1974 (Act), as amended, to promote
the goal of social and economic self-sufficiency for American Indians,
Alaska Natives, Native Hawaiians, and Native American Pacific Islanders
in three competitive areas. Funding authorization is provided under
sections [803(a), and 803(d) of the Native American Programs Act of
1974, as amended (Pub. L. 93-644, 88 Stat. 2324, 42 U.S.C. 2991b).]
The Indian Environmental Regulatory Enhancement Act of 1990 (Pub.
L. 101-408) authorizes financial assistance for projects to address
environmental regulatory concerns (Section 803(d) of the Native
American Programs Act of 1974, as amended).
The Administration for Native Americans assists eligible applicants
for the three competitive areas to undertake 12 to 36 month development
projects that are part of long-range comprehensive plans to move toward
governance, social, and/or economic self-sufficiency.
In order to streamline the application process for eligible
applicants under three competitive areas, ANA is issuing a single
program announcement for fiscal year 1998 funds. Information regarding
ANA's mission, policy, goals, application requirements, review criteria
and closing dates for all three competitive areas is included in this
announcement.
The Administration for Native Americans promotes the goal of self-
sufficiency in Native American communities primarily through Social and
Economic Development Strategies (SEDS) projects. The Native American
Programs Act also authorizes ANA to establish an additional program for
environmental regulatory enhancement.
This program announcement is being issued in anticipation of the
appropriation of funds for fiscal year 1998 and the availability of
funds for the three competitive areas is contingent upon sufficient
final appropriations. Proposed projects will be reviewed on a
competitive basis against the specific evaluation criteria presented
under each competitive area in this announcement.
Eligible applicants may compete for a grant award in each of the
three competitive areas. However, no applicant may receive more than
one SEDS grant. Also, an Alaska Native entity may not submit an
application under both Competitive Areas 1 and 2 for the May closing
dates. Alaska Native entities may receive a grant under either
competitive area 1 or 2, but not under both. However, ANA continues its
policy that an applicant may only submit one application per
competitive area.
This program announcement consists of three parts.
Part I ANA Policy and Goals
Provides general information about ANA's policies and goals for
the three competitive areas.
Part II ANA Competitive Areas
Describes the three competitive areas under which ANA is
requesting applications:
Governance, Social and Economic Development (SEDS);
Governance, Social and Economic Development (SEDS) for
Alaska Native entities;
Environmental Regulatory Enhancement.
Each competitive area includes the following sections which
provide information to be used to develop an application:
A PURPOSE AND AVAILABILITY OF FUNDS;
B BACKGROUND;
C PROPOSED PROJECTS TO BE FUNDED;
D ELIGIBLE APPLICANTS;
E GRANTEE SHARE OF THE PROJECT;
F REVIEW CRITERIA;
G APPLICATION DUE DATE; and
H FOR FURTHER INFORMATION CONTACT
Part III General Application Information and Guidance
Provides important information and guidance that applies to all
three competitive areas and that must be taken into account in
developing an application for any of the three areas.
A DEFINITIONS;
B GENERAL CONSIDERATIONS;
C ACTIVITIES THAT CANNOT BE FUNDED BY ANA;
D MULTI-YEAR PROJECTS;
E INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS;
F THE APPLICATION PROCESS;
G THE REVIEW PROCESS;
H GENERAL GUIDANCE TO APPLICANTS;
I PAPERWORK REDUCTION ACT OF 1995; and
J RECEIPT OF APPLICATIONS
Part I--ANA Policy and Goals
The mission of the Administration for Native Americans (ANA) is to
promote the goal of social and economic self-sufficiency for American
Indians, Alaska Natives, Native Hawaiians, and other Native American
Pacific Islanders.
The Administration for Native Americans believes that a Native
American community is self-sufficient when it can generate and control
the resources necessary to meet its social and economic goals, and the
needs of its members.
The Administration for Native Americans also believes that the
responsibility for achieving self-sufficiency resides with the
governing bodies of Indian tribes, Alaska Native villages, and in the
leadership of Native American groups. A community's progress toward
self-sufficiency is based on its efforts to plan, organize, and direct
resources in a comprehensive manner which is consistent with its
established long-range goals.
The Administration for Native Americans' policy is based on three
interrelated goals:
1. Governance: To assist tribal and Alaska Native village
governments, Native American institutions, and local leadership to
exercise local control and decision-making over their resources.
2. Economic Development: To foster the development of stable,
diversified local economies and economic activities which will provide
jobs and promote economic well-being.
3. Social Development: To support local access to, control of, and
coordination of services and programs which safeguard the health, well-
being and culture of people, provide support services and training so
people can work, and which are essential to a thriving and self-
sufficient community.
Applicants for the three competitive areas may propose to undertake
12 to 36 month projects. For each type of project, applicants must
describe a locally-determined strategy to carry out a proposed project
with fundable objectives and activities. Local long-range planning must
consider the maximum use of all available resources, how the resources
will be directed to development opportunities, and present a strategy
for overcoming the local issues that hinder movement toward self-
sufficiency in the community.
An application from a federally recognized Tribe, Alaska Native
Village or Native American organization must be from the governing body
of the Tribe or organization. ANA will not accept applications from
tribal components which are tribally-authorized divisions of a larger
tribe, unless the application includes a Tribal resolution which
clearly demonstrates the Tribe's support of the project and the Tribe's
understanding that the other applicant's project supplants the Tribe's
authority to submit an application under that specific competitive area
both for the current competition and for the duration of the approved
grant period, should the application be funded.
If a federally recognized Tribe or Alaska Native village chooses
not to submit an application under a specific competitive area, it may
support another
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applicant's project (e.g., a tribal organization) which serves or
impacts the reservation. In this case, the applicant must include a
Tribal resolution which clearly demonstrates the Tribe's support of the
project and the Tribe's understanding that the other applicant's
project supplants the Tribe's authority to submit an application under
that specific competitive area both for the current competition and for
the duration of the approved grant period, should the application be
funded.
Part II--ANA Competitive Areas
The three competitive areas under this Part describe ANA's funding
authorities, priorities, special initiatives, special application
requirements, and review criteria. The standard requirements necessary
for each application, as well as standard ANA program guidance and
technical guidance are described in Part III of this announcement.
An applicant may submit a separate application under any of the
competitive areas described in this Part, as long as the applicant
meets the listed eligibility requirements. However, for the May
closing, applications for SEDS grants from Alaska Native entities may
be submitted under either Competitive Area 1 or Competitive Area 2, but
not both.
Under each competitive area, ANA will only accept one application
which serves or impacts a reservation, Tribe, or Native American
community.
ANA Competitive Area 1. Social and Economic Development Strategies
(SEDS) Projects
A. Purpose and Availability of Funds
The purpose of this competitive area is to announce the anticipated
availability of fiscal year 1998 financial assistance to promote the
goal of social and economic self-sufficiency for American Indians,
Alaska Natives, Native Hawaiians, and Native American Pacific Islanders
through locally developed social and economic development strategies
(SEDS).
Approximately $14 million of financial assistance is anticipated to
be available under this priority area for governance, social and
economic development projects. In fiscal year 1998, ANA anticipates
awarding approximately 120 competitive grants ranging from $30,000 to
$1,000,000 under this area.
B. Background
ANA assists tribal and village governments, and Native American
organizations, in their efforts to develop and implement community-
based, long-term governance, social and economic development strategies
(SEDS). These strategies must promote the goal of self-sufficiency in
local communities.
The SEDS approach is based on ANA's program goals and incorporates
two fundamental principles:
1. The local community and its leadership are responsible for
determining goals, setting priorities, and planning and implementing
programs aimed at achieving those goals. The local community is in the
best position to apply its own cultural, political, and socio-economic
values to its long-term strategies and programs.
2. Governance and social and economic development are interrelated.
In order to move toward self-sufficiency, development in one area
should be balanced with development in the others. Consequently,
comprehensive development strategies should address all aspects of the
governmental, economic, and social infrastructures needed to promote
self-sufficient communities.
ANA's SEDS policy uses the following definitions:
``Governmental infrastructure'' includes the
constitutional, legal, and administrative development requisite for
independent governance.
``Economic infrastructure'' includes the physical,
commercial, industrial and/or agricultural components necessary for a
functioning local economy which supports the life-style embraced by the
Native American community.
``Social infrastructure'' includes those components
through which health, economic well-being and culture are maintained
within the community and that support governance and economic goals.
These definitions should be kept in mind as a local social and
economic development strategy is developed as part of a grant
application.
A community's movement toward self-sufficiency could be jeopardized
if a careful balance between governmental, economic and social
development is not maintained. For example, expansion of social
services, without providing opportunities for employment and economic
development, could lead to dependency on social services.
Conversely, inadequate support services and training could
seriously impede productivity and local economic development.
Additionally, the necessary infrastructures must be developed or
expanded at the community level to support social and economic
development and growth. In designing their social and economic
development strategies, ANA encourages an applicant to use or leverage
all available human, natural, financial, and physical resources.
In discussing their community-based, long-range goals, and the
objectives for the proposed projects, ANA recommends that non-Federally
recognized and off-reservation groups include a description of what
constitutes their specific community.
ANA encourages the development and maintenance of comprehensive
strategic plans which are an integral part of attaining and supporting
the balance necessary for successful activities that lead to self-
sufficiency.
C. Proposed Projects To Be Funded
This section provides descriptions of activities which are
consistent with the SEDS philosophy. Proposed activities should be
tailored to reflect the governance, social and economic development
needs of the local community and should be consistent and supportive of
the proposed project objectives. The types of projects which ANA may
fund include, but are not limited to, the following:
Governance
Improvements in the governmental, judicial and/or
administrative infrastructures of tribal and village governments (such
as strengthening or streamlining management procedures or the
development of tribal court systems);
Increasing the ability of tribes, villages, and Native
American groups and organizations to plan, develop, and administer a
comprehensive program to support community social and economic self-
sufficiency (including strategic planning);
Increasing awareness of and exercising the legal rights
and benefits to which Native Americans are entitled, either by virtue
of treaties, the Federal trust relationship, legislative authority,
executive orders, administrative and court decisions, or as citizens of
a particular state, territory, or of the United States.
Status clarification activities for Native groups seeking
Federal or State tribal recognition, such as performing research or any
other function necessary to submit a petition for Federal
acknowledgement or in response to any obvious deficiencies cited by the
Bureau of Acknowledgement and Research (BAR), Department of Interior,
in a petition from a Native group seeking Federal recognition; and
Development of and/or amendments to tribal constitutions,
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court procedures and functions, by-laws or codes, and council or
executive branch duties and functions.
Economic Development
Development of a community economic infrastructure that
will result in businesses, jobs, and an economic support structure;
Establishment or expansion of businesses and jobs in areas
such as tourism, specialty agriculture, light and/or heavy
manufacturing, construction, housing and fisheries or aquaculture;
Stabilizing and diversifying a Native community's economic
base through business development ventures; and,
Creation of microenterprises or private sector
development.
Social Development
Enhancing tribal capabilities to design or administer
programs aimed at strengthening the social environment desired by the
local community;
Developing local and intertribal models related to
comprehensive planning and delivery of services;
Developing programs or activities to preserve and enhance
tribal heritage and culture; and
Establishing programs which involve extended families or
tribal societies in activities that strengthen cultural identity and
promote community development or self-esteem.
Other SEDS Relationships. ANA encourages projects designed to use
the SEDS approach to help achieve current priorities of the
Administration for Children and Families which are to:
Address welfare reform initiatives such as moving families
to work.
Help ensure child support from both parents.
Create access to affordable child care for low income
working families.
Reach children earlier to promote full development,
including links to Head Start, Early Head Start and Child Care.
Help enroll children in quality Head Start and prepare
them to be ready to learn.
Provide safety, permanency and well-being for children and
double the number of adoptions from the public child welfare system.
D. Eligible Applicants
Current ANA SEDS grantees whose grant project period ends on or
before September 30, 1998 are eligible to apply for a grant award under
this program announcement. (The Project Period is noted in Block 9 of
the ``Financial Assistance Award'' document). Applicants for new grants
may not have a pending request to extend their existing grant beyond
September 30, 1998.
The following organizations are eligible to apply under this
competitive area:
Federally recognized Indian Tribes;
Consortia of Indian Tribes;
Incorporated non-federally recognized Tribes;
Incorporated nonprofit multi-purpose community-based
Indian organizations;
Urban Indian Centers;
National or regional incorporated nonprofit Native
American organizations with Native American community-specific
objectives;
Alaska Native villages as defined in the Alaska Native
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
Incorporated nonprofit Alaska Native multi-purpose
community-based organizations;
Nonprofit Alaska Native Regional; Corporations/
Associations in Alaska with village specific projects;
Nonprofit Native organizations in Alaska with village
specific projects;
Public and nonprofit private agencies serving Native
Hawaiians (The populations served may be located on these islands
or on the continental United States);
Public and nonprofit private agencies serving native
peoples from Guam, American Samoa, Palau, or the Commonwealth of the
Northern Mariana Islands. (The populations served may be located on
these islands or in the United States); and
Tribally controlled community colleges, Tribally
controlled cost-secondary vocational institutions, and colleges and
universities located in Hawaii, Guam, American Samoa, Palau, or the
Commonwealth of the Northern Mariana Islands which serve Native
American Pacific Islanders.
Non-profit Alaska Native community entities or tribal
governing bodies (Indian Reorganization Act or traditional Councils) as
recognized by the Bureau of Indian Affairs.
Any non-profit organization submitting an application must submit
proof of its non-profit status in the application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
If the applicant, other than a tribe or an Alaska Native Village
government, is proposing a project benefiting Native Americans or
Native Alaskans, or both, it must provide assurance that its duly
elected or appointed board of directors is representative of the
community, to be served. To establish compliance with the requirement
in the regulations for a Board representative of the community
applicants should provide information establishing that at least ninety
(90) percent of the individuals serving on a non-profit applicant's
board fall into one or more of the following categories: (1) A current
or past member of the community to be served; (2) a prospective
participant or beneficiary of the project to be funded; or (3) have a
cultural relationship with the community to be served.
Under each competitive area, ANA will only accept one application
which serves or impacts a reservation, Tribe, or Native American
community. If a federally recognized Tribe or Alaska Native village
chooses not to submit an application under a specific competitive area,
it may support another applicant's project (e.g., a tribal
organization) which serves or impacts a reservation. In this case, the
applicant must include a Tribal resolution which clearly demonstrates
the Tribe's approval of the application and the Tribe's understanding
that the other applicant's project supplants the Tribe's authority to
submit an application under the specific competitive area for the
duration of the approved grant period.
E. Grantee Share of the Project
Grantees must provide at least 20 percent of the total approved
cost of the project; i.e. the sum of the ACF share and the non-Federal
share. The non-Federal share may be met by cash or in-kind
contributions; although applicants are encouraged to meet their match
requirements through cash contributions. Therefore, a project
requesting $300,000 in Federal funds must include a match of at least
$75,000 (20% of the total $375,000 project cost).
As per 45 CFR 74.2, In-Kind contributions are defined as ``the
value of non-cash contributions provided by non-Federal third parties.
Third party-in kind contributions may be in the form of real property,
equipment, supplies and other expendable property, and the value of
goods and services directly benefiting and specifically identifiable to
the project or program.''
In addition it may include other Federal funding sources where
legislation or regulations authorize
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using specific types of funds for match and provided the source relates
to the ANA project, examples follow:
Indian Child Welfare funds, through the Department of
Interior;
Indian Self-Determination and Education Assistance funds,
through the Department of Interior and the Department of Health and
Human Services; and
Community Development Block Grant funds, through the
Department of Housing and Urban Development.
An itemized budget detailing the applicant's non-Federal share, and
its source(s), must be included in an application.
If an applicant plans to charge or otherwise seek credit for
indirect costs in its ANA application, a current copy of its Indirect
Cost Agreement must be included in the application.
A request for a waiver of the non-Federal share requirement may be
submitted in accordance with 45 CFR 1336.50(b)(3) of the Native
American Program Regulations.
Note: Applications originating from American Samoa, Guam, Palau,
or the Commonwealth of the Northern Mariana Islands are covered
under Section 501(d) of Public Law 95-134, as amended (48 U.S.C.
1469a) under which HHS waives any requirement for local matching
funds under $200,000 (including in-kind contributions).
F. Review Criteria
A proposed project should reflect the purposes of ANA's SEDS policy
and program goals described in the Background section of this
competitive area; include a social and economic development strategy
which reflects the needs and specific circumstances of the local
community; and address the specific developmental steps that the tribe
or Native American community is undertaking toward self-sufficiency.
The evaluation criteria are closely related to each other and are
considered as a whole in judging the overall quality of an application.
Points are awarded only to applications which are responsive to this
competitive area and these criteria. Proposed projects will be reviewed
on a competitive basis using the following evaluation criteria:
(1) Long-Range Goals and Available Resources. (15 points)
(a) The application describes the long-range goals and strategy,
including:
How specific social, governance and economic long-range
community goals relate to the proposed project and strategy;
How the community intends to achieve these goals;
The relationship between the long-range goals and the
applicant's comprehensive community social and economic development
plan. (Inclusion of the community's entire development plan is not
necessary); and
A clearly delineated social and economic development
strategy (SEDS).
The application identifies and documents pre-existing and planned
involvement and support of the community in the planning process and
implementation of the proposed project. The type of community you serve
and nature of the proposal being made, will influence the type of
documentation necessary. For example, a Tribe may choose to address
this requirement by submitting a resolution stating that community
involvement has occurred in the project planning or may determine that
additional community support work is necessary.
Similarly, a tribal organization may submit resolutions supporting
the project proposal from each of its members tribes, as well as a
resolution from the applicant organization. Other examples of
documentation include: community surveys; minutes of community
meetings; questionnaires; tribal presentations; and/or discussion/
position papers.
Applications from National Indian and Native organizations must
clearly demonstrate a need for the project, explain how the project was
originated, state who the intended beneficiaries will be, and describe
how the recipients will actually benefit from the project. National
Indian and Native organizations should define their membership and
describe how the organization operates.
(b) Available resources (other than ANA and the non-Federal share)
which will assist, and be coordinated with the project are described.
These resources should be documented by letters or documents of
commitment of resources, not merely letters of support.
``Letters of support'' merely express another
organization's endorsement of a proposed project. Support letters are
not binding commitment letters or do not factually establish the
authenticity of other resources.
``Letters and other documents of commitment'' are binding
when they specifically state the nature, the amount, and conditions
under which another agency or organization will support a project
funded with ANA funds.
For example, a letter from another Federal agency or foundation
pledging a commitment of $200,000 in construction funding to complement
proposed ANA funded pre-construction activity is evidence of a firm
funding commitment. These resources may be human, natural or financial,
and may include other Federal and non-Federal resources. (Applicant
statements that additional funding will be sought from other specific
sources are not considered a binding commitment of outside resources.)
(2) Organizational Capabilities and Qualifications. (10 points)
(a) The management and administrative structure of the applicant is
explained. Evidence of the applicant's ability to manage a project of
the proposed scope is demonstrated. The application clearly shows the
successful management of projects of similar scope by the organization,
and/or by the individuals designated to manage the project.
(b) Position descriptions and/or resumes of key personnel,
including those of consultants, are presented. The position
descriptions and/or resumes relate specifically to the staff proposed
in the Objective Work Plan and in the proposed budget. Position
descriptions very clearly describe each position and its duties and
clearly relate to the personnel staffing required to achieve the
project objectives. Resumes and/or proposed position descriptions
demonstrate that the proposed staff are or will be qualified to carry
out the project activities. Either the position descriptions or the
resumes contain the qualifications and/or specialized skills necessary
for overall quality management of the project. Resumes must be included
if individuals have been identified for positions in the application.
Note: Applicants are strongly encouraged to give preference to
Native Americans in hiring staff and subcontracting services under
an approved ANA grant.
(3) Project Objectives, Approach and Activities. (45 points)
The application proposes specific project Objective Work Plan(s)
with activities related to each specific objective.
The Objective Work Plan(s) in the application includes project
objectives and activities for each budget period proposed and
demonstrates that each of the objectives and its activities:
Is measurable and/or quantifiable in terms of results or
outcomes;
Supports the community's social and economic development
strategy;
Clearly relates to the community's long-range goals;
Can be accomplished with the available or expected
resources during the proposed project period;
Indicates when the objective, and major activities under
each objective, will be accomplished;
Specifies who will conduct the activities under each
objective; and
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Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the
project period.
(4) Results or Benefits Expected. (20 points)
Completion of the proposed objectives will result in specific,
measurable results. The application shows how the expected results will
help the community meet its long-range goals. The specific information
provided in the narrative and objective work plans on expected results
or benefits for each objective is the standard upon which its
achievement can be evaluated at the end of each budget year.
(5) Budget. (10 points)
A detailed and fully explained budget is provided for each budget
period requested which:
Justifies each line item, with a well-written
justification, in the budget categories in Section B of the Budget
Information of the application, including the applicant's non-Federal
share and its source;
Includes and justifies sufficient cost and other necessary
details to facilitate the determination of cost allowability and the
relevance of these costs to the proposed project; and
Requests funds which are appropriate and necessary for the
scope of the proposed project.
For business development projects, the proposal demonstrates that
the expected return on the funds used to develop the project provides a
reasonable operating income and return within a future specified time
frame.
Note: Applicants from the Native American Pacific Islands are
not required to provide a 20% match for the non-Federal share if it
is under $200,000 and may not have points reduced for this policy.
They are, however, expected to coordinate non-ANA resources for the
proposed project, as are all ANA applicants.
G. Application Due Date
The closing dates for submission of applications under this
competitive area are: November 24, 1997 and May 1, 1998.
H. For Further Information Contact:
Leon McKoy, Program Specialist, Department of Health and Human
Services, Administration for Children and Families, Administration for
Native Americans, 370 L'Enfant Promenade, Mail Stop HHH 348F,
Washington, D.C. 20447, tel: (202) 690-6320, e-mail:
LMcK[email protected]
Competitive Area 2. Alaska-Specific Social and Economic Development
Strategies (SEDS) Projects
A. Purpose and Availability of Funds
The purpose of this competitive area is to announce the anticipated
availability of fiscal year 1998 funds for Alaska Native social and
economic development projects. Approximately $1.5 million of financial
assistance is anticipated to be available under this competitive area
for Alaska Native governance, social and economic development projects.
ANA plans to award approximately 15-18 grants under this
competitive area. For individual village projects, the funding level
for a budget period of 12 months will be up to $100,000; for regional
nonprofit and village consortia, the funding level for a budget period
of 12 months will be up to $150,000, commensurate with approved multi-
village objectives.
B. Background
Based on the three ANA goals described in Part I, ANA implemented a
special Alaska social and economic development initiative in fiscal
year 1984. This special effort was designed to provide financial
assistance at the village level or for village-specific projects aimed
at improving a village's governance capabilities and for social and
economic development.
This competitive area continues to implement this special
initiative. ANA believes both the nonprofit and for-profit corporations
in Alaska can play an important supportive role in assisting individual
villages to develop and implement their own locally determined
strategies which capitalize on opportunities afforded to Alaska Natives
under the Alaska Native Claims Settlement Act (ANCSA), Public Law 92-
203.
While the Administration for Native Americans does not fund
objectives or activities for the core administration of an
organization. ANA will consider funding core administrative capacity
building projects at the village government level if the village does
not have governing systems in place.
C. Proposed Projects To Be Funded
Examples of the types of projects that ANA may fund include, but
are not limited to, projects that will:
Governance
Initiate demonstration programs at the regional level to
allow Native people to become involved in developing strategies to
maintain and develop their economic subsistence base;
Assist villages in developing land use capabilities and
skills in the areas of land and natural resource management and
protection, resource assessment and conducting environmental impact
studies;
Assist village consortia in the development of tribal
constitutions, ordinances, codes and tribal court systems;
Develop agreements between the State and villages that
transfer programs jurisdictions, and/or control to; Native entities;
Strengthen village government control of land management,
including land protection, through coordination of land use planning
with village corporations and cities, if appropriate;
Assist in status clarification activities;
Initiate village level mergers between village councils,
village corporations and others to coordinate programs and services
which safeguard the health, well being and culture of a community and
its people;
Strengthen local governance capabilities through the
development of village consortia and regional IRAs (Indian
Reorganization Act councils organized under the Indian Reorganization
Act, 25 U.S.C. 473a);
Assist villages in preparing and coordinating plans for
the development and/or improvement of water and sewer systems within
the village boundaries;
Assist villages in establishing initiatives through which
youth may participate in the governance of the community and be trained
to assume leadership roles in village governments; and
Consider strategies and plans to protect against, monitor,
and assist when catastrophic events occur, such as oil spills or
earthquakes.
Economic Development
Assist villages in developing businesses and industries
which: 1) use local materials; 2) create jobs for Alaska Natives; 3)
are capable of high productivity at a small scale of operation; and 4)
complement traditional and necessary seasonal activities;
Substantially increase and strengthen efforts to establish
and improve the village and regional infrastructure and the
capabilities to develop and manage resources in a highly competitive
cash-economy system;
Assist villages, or consortia of villages, in developing
subsistence compatible industries that will retain local dollars in
villages;
[[Page 50378]]
Assist in the establishment or expansion of new native-
owned businesses; and
Assist villages in labor export; i.e., people leaving the
local communities for seasonal work and returning to their communities.
Social Development
Assist in developing training and education programs for
local jobs in education, government, and health-related fields; and
work with these agencies to encourage job replacement of non-Natives by
trained Natives;
Develop local models related to comprehensive planning and
delivery of social services;
Develop new service programs, initially established with
ANA funds, which will be funded by local communities or the private
sector for continued operation after the ANA grant expires;
Develop or coordinate with State-funded projects,
activities designed to decrease the incidence of child abuse and
neglect, fetal alcohol syndrome, and/or suicides;
Assist in obtaining licenses to provide housing or related
services from State or local governments; and
Develop businesses to provide relief for caretakers
needing respite from human service-related care work.
D. Eligible Applicants
Current ANA SEDS grantees in Alaska whose project period ends on or
before September 30, 1998 are eligible to apply for a grant award under
this program announcement. The Project Period is noted in Block 9 of
the ``Financial Assistance Award'' document.
The following organizations are eligible to apply under this
competitive area:
Federally recognized Indian Tribes in Alaska;
Alaska Native villages as defined in the Alaska Native
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
Incorporated nonprofit Alaska Native multi-purpose
community-based organizations;
Nonprofit Alaska Native Regional Corporations/Associations
in Alaska with village specific projects; and
Nonprofit Native organizations in Alaska with village
specific projects.
Any non-profit organization submitting an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
If the applicant, other than a tribe or an Alaska Native Village
government, is proposing a project benefiting Native Americans orNative
Alaskans, or both, it must provide assurance that its duly elected or
appointed board of directors is representative of the community to be
served. To establish compliance with the requirement in the regulations
for a Board representative of the community, applicants should provide
information establishing that at least ninety (90) percent of the
individuals serving on a non-profit applicant's board fall into one or
more of the following categories: (1) A current or past member of the
community to be served; (2) a prospective participant or beneficiary of
the project to be funded; or (3) have a cultural relationship with the
community to be served.
Although for-profit regional corporations established under ANCSA
are not eligible applicants, individual villages and Indian communities
are encouraged to use for-profit corporations as subcontractors and to
collaborate with them in joint-venture projects for promoting social
and economic self-sufficiency. ANA encourages the for-profit
corporations to assist the villages in developing applications and to
participate as subcontractors in a project.
Under each competitive area, ANA will only accept one application
which serves or impacts a reservation, Tribe, or Native American
community. If a federally recognized Tribe or Alaska Native village
chooses not to submit an application under a specific competitive area,
it may support another applicant's project (e.g., a tribal
organization) which serves or impacts a reservation. In this case, the
applicant must include a Tribal resolution which clearly demonstrates
the Tribe's approval of the application and the Tribe's understanding
that the other applicant's project supplants the Tribe's authority to
submit an application under the specific competitive area for the
duration of the approved grant period.
E. Grantee Share of the Project
Grantees must provide at least 20 percent of the total approved
cost of the project; i.e. the sum of the ACF share and the non-Federal
share. The non-Federal share may be met by cash or in-kind
contributions, although applicants are encouraged to meet their match
requirements through cash contributions. Therefore, a project
requesting $100,000 in Federal funds must include a match of at least
$25,000 (20% of the total $125,000 project cost).
As per 45 CFR 74.2, In-Kind contributions is defined as ``the value
of non-cash contributions provided by non-Federal third parties. Third
party-in-kind contributions may be in the form of real property,
equipment, supplies and other expendable property, and the value of
goods and services directly benefiting and specifically identifiable to
the project or program.''
In addition it may include other Federal funding sources where
legislation or regulations authorize using specific types of funds for
match and provided the source relates to the ANA project, examples
follow:
Indian Child Welfare funds, through the Department of
Interior;
Indian Self-Determination and Education Assistance funds,
through the Department of Interior and the Department of Health and
Human Services; and
Community Development Block Grant funds, through the
Department of Housing and Urban Development.
An itemized budget detailing the applicant's non-Federal share, and
its source, must be included in an application.
If an applicant plans to charge or otherwise seek credit for
indirect costs in its ANA application, a current copy of its Indirect
Cost Agreement must be included in the application.
A request for a waiver of the non-Federal share requirement may be
submitted in accordance with 45 CFR 1336.50(b)(3) of the Native
American Program Regulations.
F. Review Criteria
A proposed project should reflect the purposes of ANA's SEDS policy
and goals (described in the Background section of this competitive area
and in the Background section of Competitive Area 1), include a social
and economic development strategy which reflects the needs and specific
circumstances of the local community, and address the specific
developmental steps that the tribe or Native American community is
undertaking toward self-sufficiency.
The evaluation criteria are closely related to each other and are
considered as a whole in judging the overall quality of an application.
Points are awarded only to applications which are responsive to this
competitive area and these criteria. Proposed projects will be reviewed
on a competitive basis using the following evaluation criteria:
[[Page 50379]]
(1) Long-Range Goals and Available Resources. (15 points)
(a) The application describes the long-range goals and strategy,
including:
How specific social, governance and economic long-range
community goals relate to the proposed project and strategy;
How the community intends to achieve these goals;
The relationship between the long-range goals and the
applicant's comprehensive community social and economic development
plan. (Inclusion of the community's entire development plan is not
necessary); and
A clearly delineated social and economic development
strategy (SEDS).
The application identifies and documents pre-existing and planned
involvement and support of the community in the planning process and
implementation of the proposed project. The type of community you serve
and nature of the proposal being made, will influence the type of
documentation necessary. For example, a Tribe may choose to address
this requirement by submitting a resolution stating that community
involvement has occurred in the project planning or may determine that
additional community support work is necessary.
Similarly, a tribal organization may submit resolutions supporting
the project proposal from each of its members tribes, as well as a
resolution from the applicant organization. Other examples of
documentation include: community surveys; minutes of community
meetings; questionnaires; tribal presentations; and/or discussion/
position papers.
Applications from National Indian and Native organizations must
clearly demonstrate a need for the project, explain how the project was
originated, state who the intended beneficiaries will be, and describe
how the recipients will actually benefit from the project. National
Indian and Native organizations should describe their membership and
define how the organization operates.
(b) Available resources (other than ANA and the non-Federal share)
which will assist, and be coordinated with the project are described.
These resources should be documented by letters or documents of
commitment of resources, not merely letters of support.
``Letters of support'' merely express another
organization's endorsement of a proposed project.
Support letters are not binding commitment letters or do not
factually establish the authenticity of other resources.
``Letters and other documents of commitment'' are binding
when they specifically state the nature, the amount, and conditions
under which another agency or organization will support a project
funded with ANA funds.
For example, a letter from another Federal agency or foundation
pledging a commitment of $200,000 in construction funding to complement
proposed ANA funded pre-construction activity is evidence of a firm
funding commitment. These resources may be human, natural or financial,
and may include other Federal and non-Federal resources. (Applicant
statements that additional funding will be sought from other specific
sources are not considered a binding commitment of outside resources.)
(2) Organizational Capabilities and Qualifications. (10 points)
(a) The management and administrative structure of the applicant is
explained. Evidence of the applicant's ability to manage a project of
the proposed scope is demonstrated. The application clearly shows the
successful management of projects of similar scope by the organization,
and/or by the individuals designated to manage the project.
(b) Position descriptions and/or resumes of key personnel,
including those of consultants, are presented. The position
descriptions and/or resumes relate specifically to the staff proposed
in the Approach Page and in the proposed Budget of the application.
Position descriptions very clearly describe each position and its
duties and clearly relate to the personnel staffing required to achieve
the project objectives. Resumes demonstrate that the proposed staff are
qualified to carry out the project activities. Either the position
descriptions or the resumes contain the qualifications and/or
specialized skills necessary for overall quality management of the
project. Resumes must be included if individuals have been identified
for positions in the application.
Note: Applicants are strongly encouraged to give preference to
Native Americans in hiring staff and subcontracting services under
an approved ANA grant.
(3) Project Objectives, Approach and Activities. (45 points)
The application proposes specific project objective work plans with
activities related to each specific objective. The objective work
plan(s) in the application includes project objectives and activities
for each budget period proposed and demonstrates that each of the
objectives and its activities:
Is measurable and/or quantifiable in terms of results or
outcomes;
Supports the community's social and economic development
strategy;
Clearly relates to the community's long-range goals;
Can be accomplished with the available or expected
resources during the proposed project period;
Indicates when the objective, and major activities under
each objective, will be accomplished;
Specifies who will conduct the activities under each
objective; and
Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the
project period.
(4) Results or Benefits Expected. (20 points)
Completion of the proposed objectives will result in specific,
measurable results. The application shows how the expected results will
help the community meet its long-range goals. The specific information
provided in the narrative and objective work plans on expected results
or benefits for each objective is the standard upon which its
achievement can be evaluated at the end of each budget year.
(5) Budget. (10 points)
A detailed and fully explained budget is provided for each budget
period requested which:
Justifies each line item, with a well-written
justification, in the budget categories in Section B of the Budget
Information of the application, including the applicant's non-Federal
share and its source;
Includes and justifies sufficient cost and other necessary
details to facilitate the determination of cost allowability and the
relevance of these costs to the proposed project; and
Requests funds which are appropriate and necessary for the
scope of the proposed project.
For business development projects, the proposal demonstrates that
the expected return on the funds used to develop the project provides a
reasonable operating income and return within a future specified time
frame.
G. Application Due Date
The closing date for submission of applications under this
competitive area is: May 1, 1998.
H. For Further Information Contact
Diann Winford, Program Specialist, Department of Health and Human
Services, Administration for Children and Families, Administration for
Native Americans, 370 L'Enfant Promenade, Mail Stop HHH 348F,
Washington, D.C. 20447, tel: (202) 401-7365, e-mail:
DW[email protected]
[[Page 50380]]
Competitive Area 3. Indian Environmental Regulatory Enhancement
Projects
A. Purpose and Availability of Funds
The purpose of this competitive area is to announce the anticipated
availability of fiscal year 1998 funds for environmental regulatory
enhancement projects. Approximately $3 million of financial assistance
is anticipated to be available under this announcement for
environmental regulatory enhancement projects. ANA expects to award
approximately 35 grants under this competitive area. The funding level
for a budget period of 12 months will be up to $250,000. An applicant
may propose project periods of between 12 and 36 months.
B. Background
Despite an increasing environmental responsibility and growing
awareness of environmental issues on Indian lands, there has been a
lack of resources available to tribes to develop tribal environmental
programs that are responsive to tribal needs. In many cases, this lack
of resources has resulted in a delay in action on the part of the
tribes.
Some of the critical issues identified by tribes before
Congressional committees include:
The need for assistance to train professional staff to
monitor and enforce tribal environmental programs;
The lack of adequate data for tribes to develop
environmental statutes and establish environmental quality standards;
and
The lack of resources to conduct studies to identify
sources of pollution and the ability to determine the impact on
existing environmental quality.
As a result, Congress enacted the Indian Environmental Regulatory
Enhancement Act of 1990 (Pub. L. 101-408) to strengthen tribal
governments through building capacity within the tribes in order to
identify, plan, develop, and implement environmental programs in a
manner that is consistent with tribal culture. ANA is to support these
activities on a government-to-government basis in a way that recognizes
tribal sovereignty and is consistent with tribal culture.
The Administration for Native Americans believes that
responsibility for achieving environmental regulatory enhancement rests
with the governing bodies of Indian tribes, Alaska Native villages, and
with the leadership of Native American groups.
``Environmental regulatory enhancement'' includes (but is not
limited to) the planning, development, and application of laws,
training, monitoring, and enforcement procedures, tribal courts,
environmental laboratories and other facilities, and associated
regulatory activities to strengthen the tribal government's capacity to
enhance the quality of reservation life as measured by the reduction of
pollutants in the air, water, soil, food and materials encountered by
inhabitants of tribes and villages.
Progress toward the goal of environmental regulatory enhancement
would include the strengthening of tribal environmental laws, providing
for the training and education of those employees responsible for
ensuring compliance with and enforcement of these laws, and the
development of programs to conduct compliance and enforcement
functions.
Other functions leading toward enhancing local regulatory capacity
include, but are not limited to:
Environmental assessments;
Development and use of environmental laboratories; and
Development of court systems for enforcement of tribal and
Federal environmental laws.
Ultimate success in this program will be realized when the
applicant's desired level of environmental quality is acquired and
maintained.
C. Proposed Projects To Be Funded
Financial assistance provided by ANA is available for developmental
projects designed to assist tribes in advancing their capacity and
capability to plan for and:
Develop or enhance the tribal environmental regulatory
infrastructure required to support a tribal environmental program, and
to regulate and enforce environmental activities on Indian lands
pursuant to Federal and Indian law;
Develop regulations, ordinances and laws to protect the
environment;
Develop the technical and program capacity to carry out a
comprehensive tribal environmental program and perform essential
environmental program functions;
Promote environmental training and education of tribal
employees;
Develop technical and program capability to meet tribal
and Federal regulatory requirements;
Develop technical and program capability to monitor
compliance and enforcement of tribal environmental regulations,
ordinances, and laws; and
Ensure the tribal court system enforcement requirements
are developed in concert with and support the tribe's comprehensive
environmental program.
D. Eligible Applicants
The following organizations are eligible to apply under this
competitive area:
Federally recognized Indian tribes;
Incorporated non-federally and State recognized Indian
tribes;
Alaska Native villages as defined in the Alaska Native
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
Nonprofit Alaska Native Regional Corporations/Associations
with village specific projects; and
Other tribal or village organizations or consortia of
Indian tribes.
Tribal governing bodies (IRA or traditional councils) as
recognized by the Bureau of Indian Affairs.
The following organizations are not eligible to apply:
Urban Indian Centers;
Incorporated nonprofit multi-purpose community-based
Indian organizations;
Public and nonprofit private agencies serving: Native
Hawaiians, peoples from Guam, American Samoa, Palau, or the
Commonwealth of Northern Mariana Islands;
Incorporated nonprofit Alaska Native multi-purpose
community based organizations; and
National or regional incorporated nonprofit Native
American organizations with Native American community-specific
objectives.
Any non-profit organization submitting an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
If the applicant, other than a tribe or an Alaska Native Village
government, is proposing a project benefiting Native Americans or
Native Alaskans, or both, it must provide assurance that its duly
elected or appointed board of directors is representative of the
community to be served. To establish compliance with the requirement in
the regulations for a Board representative of the community applicants
should provide information establishing that at least ninety (90)
percent of the individuals serving on a non-profit applicant's board
fall into one or more of the following categories:
[[Page 50381]]
(1) A current or past member of the community to be served; (2) a
prospective participant or beneficiary of the project to be funded; or
(3) have a cultural relationship with the community to be served.
Note: Under each competitive area, ANA will only accept one
application which serves or impacts a reservation, Tribe or Native
American community. If a federally recognized Tribe or Alaska native
village chooses not to submit an application under a specific
competitive area, it may support another applicant's project (e.g.,
a tribal organization) which serves or impacts a reservation.
In this case, the applicant must include a Tribal resolution which
clearly demonstrates the Tribe's approval of the application and the
Tribe's understanding that the other applicant's project supplants the
Tribe's authority to submit an application under that specific
competitive area for the duration of the approved grant period.
E. Grantee Share of the Project
Grantees must provide at least 20 percent of the total approved
cost of the project; i.e. the sum of the ACF share and the non-Federal
share. The non-Federal share may be met by cash or in-kind
contributions; although applicants are encouraged to meet their match
requirement through cash contributions. Therefore, a project requesting
$250,000 in Federal funds must include a match of at least $62,500 (20%
of total $312,500 project cost).
As per 45 CFR 74.2, In-Kind contributions are defined as ``the
value of non-cash contributions provided by non-Federal third parties.
Third party-in kind contributions may be in the form of real property,
equipment, supplies and other expendable property, and the value of
goods and services directly benefiting and specifically identifiable to
the project or program.''
In addition it may include other Federal funding sources where
legislation or regulations authorize using specific types of funds for
match and provided the source relates to the ANA project, examples
follow:
Indian Child Welfare funds, through the Department of
Interior;
Indian Self-Determination and Education Assistance funds,
through the Department of Interior and the Department of Health and
Human Services; and
Community Development Block Grant funds, through the
Department of Housing and Urban Development.
An itemized budget detailing the applicant's non-Federal share, and
its source(s), must be included in an application.
If an applicant plans to charge or otherwise seek credit for
indirect costs in its ANA application, a current copy of its Indirect
Cost Agreement must be included in the application.
A request for a waiver of the non-Federal share requirement may be
submitted in accordance with 45 CFR 1336.50(b)(3) of the Native
American Program Regulations.
F. Review Criteria
A proposed project should reflect the environmental regulatory
purposes stated and described in the Background section of this
competitive area. The evaluation criteria are closely related to each
other and are considered as a whole in judging the overall quality of
an application. Points are awarded only to applications which are
responsive to this competitive area and these criteria. Proposed
projects will be reviewed on a competitive basis using the following
evaluation criteria:
(1) Long-Range Goals and Available Resources. (15 points)
(a) The application describes the long-range goals and strategy,
including:
How specific environmental regulatory enhancement long-
range goal(s) relate to the proposed project and strategy;
How the community intends to achieve these goals;
The applicant's specific environmental regulatory needs;
and
a clearly delineated strategy to improve the capability of
the governing body of a tribe to regulate environmental quality through
enhancing local capacity to perform necessary regulatory functions.
The application identifies and documents pre-existing and planned
involvement and support of the community in the planning process and
implementation of the proposed project. The type of community you serve
and nature of the proposal being made, will influence the type of
documentation necessary. For example, a Tribe may choose to address
this requirement by submitting a resolution stating that community
involvement has occurred in the project planning or may determine that
additional community support work is necessary.
Similarly, a tribal organization may submit resolutions supporting
the project proposal from each of its member tribes, as well as a
resolution from the applicant organization. Other examples of
documentation include: Community surveys; minutes of community
meetings; questionnaires; tribal presentations; and/or discussion/
position papers.
(b) Available resources (other than ANA and the non-Federal share)
which will assist, and be coordinated with the project are described.
These resources should be documented by letters or documents of
commitment of resources, not merely letters of support.
``Letters of support'' merely express another
organization's endorsement of a proposed project. Support letters are
not binding commitment letters or do not factually establish the
authenticity of other resources.
``Letters and other documents of commitment'' are binding
when they specifically state the nature, the amount, and conditions
under which another agency or organization will support a project
funded with ANA funds.
For example, a letter from another Federal agency or foundation
pledging a commitment of $200,000 in construction funding to complement
proposed ANA funded pre-construction activity is evidence of a firm
funding commitment. These resources may be human, natural or financial,
and may include other Federal and non-Federal resources. (Applicant
statements that additional funding will be sought from other specific
sources are not considered a binding commitment of outside resources.)
(2) Organizational Capabilities and Qualifications. (15 points)
(a) The management and administrative structure of the applicant is
described and explained. Evidence of the applicant's ability to manage
a project of the scope proposed is well documented. The application
clearly shows the successful management of projects of similar scope by
the organization, and/or by the individuals designated to manage or
consult on the project. The tribe itself may not have experience to
meet this requirement but the proposed staff and consultants should
have the required qualifications and experience. The application should
clearly describe any previous or current activities of the applicant
organization or proposed staff and/or consultants in support of
environmental regulatory enhancement.
(b) Position descriptions and/or resumes of key personnel,
including those of consultants, are presented. The position
descriptions and/or resumes relate specifically to the staff proposed
in the Approach Page and in the proposed Budget of the application.
Position descriptions very clearly describe each position and its
duties and clearly relate to the personnel staffing required to achieve
the project objectives. Resumes indicate that the
[[Page 50382]]
proposed staff are qualified to carry out the project activities.
Either the position descriptions or the resumes contain the
qualifications and/or specialized skills necessary for overall quality
management of the project. Resumes must be included if individuals have
been identified for positions in the application.
Note: Applicants are strongly encouraged to give preference to
Native Americans in hiring staff and subcontracting services under
an approved ANA grant.
(3) Project Objectives, Approach and Activities. (40 points) The
application proposes specific project objective work plans with
activities related to each specific objective. The objective work
plan(s) in the application includes project objectives and activities
for each budget period proposed and demonstrates that each of the
objectives and its activities:
Is measurable and/or quantifiable in terms of results or
outcomes;
Supports the community's strategy for environmental
regulatory enhancement;
Clearly relates to the community's long-range
environmental goals;
Can be accomplished with the available or expected
resources during the proposed project period;
Indicates when the objective, and major activities under
each objective, will be accomplished;
Specifies who will conduct the activities under each
objective; and
Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the
project period.
(4) Results or Benefits Expected. (20 points)
Completion of the proposed objectives will result in specific,
measurable results. The application shows how the expected results will
help the community meet its long-range environmental goals. The
specific information provided in the narrative and objective work plans
on expected results or benefits for each objective is the standard upon
which its achievement can be evaluated at the end of each budget year.
(5) Budget. (10 points)
A detailed and fully explained budget is provided for each budget
period requested which:
Justifies each line item, with a well-written
justification, in the budget categories in Section B of the Budget
Information of the application, including the applicant's non-Federal
share and its source;
Includes and justifies sufficient cost and other necessary
details to facilitate the determination of cost allowability and the
relevance of these costs to the proposed project; and
Requests funds which are appropriate and necessary for the
scope of the proposed project.
G. Application Due Date
The closing date for submission of applications under this
competitive area is March 6, 1998.
H. For Further Information Contact
Jeanette Clyburn, Program Specialist, Department of Health and
Human Services, Administration for Children and Families,
Administration for Native Americans, 370 L'Enfant Promenade, Mail Stop
HHH 348F, Washington, D.C. 20447, tel: (202) 690-6326 e-mail:
JC[email protected]
Part III--General Application Information and Guidance
A. Definitions
Funding areas in this program announcement are based on the
following definitions:
A ``multi-purpose community-based Native American
organization'' is an association and/or corporation whose charter
specifies that the community designates the Board of Directors and/or
officers of the organization through an elective procedure and that the
organization functions in several different areas of concern to the
members of the local Native American community. These areas are
specified in the by-laws and/or policies adopted by the organization.
They may include, but need not be limited to, economic, artistic,
cultural, and recreational activities, and the delivery of human
services such as health care, day care, counseling, education, and
training.
A ``multi-year project'' is a project on a single theme
that requires more than 12 months to complete and affords the applicant
an opportunity to develop and address more complex and in-depth
strategies than can be completed in one year. A multi-year project
cannot be a series of unrelated objectives with activities presented in
chronological order over a two or three year period.
``Budget Period'' is the interval of time (usually 12
months) into which the project period is divided for budgetary and
funding purposes.
``Core administration'' is funding for staff salaries for
those functions which support the organization as a whole, or for
purposes unrelated to the actual management or implementation of work
conducted under an ANA approved project.
``Environmental regulatory enhancement'' includes (but is
not limited to) the planning, development, and application of laws,
training, monitoring, and enforcement procedures, tribal courts,
environmental laboratories and other facilities, and associated
regulatory activities to strengthen the tribal government's capacity to
enhance the quality of reservation life as measured by the reduction of
pollutants in the air, water, soil, food and materials encountered by
inhabitants of tribes and villages.
``Real Property'' means land, including land improvements,
structures and appurtenances thereto, excluding movable machinery and
equipment.
``Construction'' is the term which specifies a project
supported through a discretionary grant or a cooperative agreement, to
support the initial building of a facility.
B. General Considerations
Non-ANA resources should be leveraged to strengthen and broaden the
impact of the proposed project in the community. Project designs should
explain how those parts of projects which ANA does not fund will be
financed through other sources. For example, ANA does not fund
construction. Applicants must show the relationship of non-ANA funded
activities to those objectives and activities that are funded with ANA
grant funds.
Costs of fund raising, including financial campaigns, endowment
drives, solicitation of gifts and bequests, and similar expenses
incurred solely to raise capital or obtain contributions are
unallowable under a grant award. However, even though these costs are
unallowable for purposes of computing charges to Federal awards, they
must be treated as direct costs for purposes of determining indirect
cost rates and be allocated their share of the organization's indirect
costs if they represent activities which (1) include the salaries of
personnel, (2) occupy space, and (3) benefit from the organization's
indirect costs.
All projects funded by ANA must be completed, or self-sustaining or
supported with other than ANA funds at the end of the project period.
``Completed'' means that the project ANA funded is finished, and the
desired result(s) have been attained. ``Self-sustaining'' means that a
project will continue without outside resources. ``Supported by other
than ANA funds'' means that the project will continue beyond the ANA
project period, but will be supported by funds other than ANA's.
[[Page 50383]]
C. Activities That Cannot Be Funded by ANA
The Administration for Native Americans does not fund projects
that:
Operate indefinitely or require ANA funding on a recurring
basis.
Projects in which a grantee would provide training and/or
technical assistance (T/TA) to other tribes or Native American
organizations which are otherwise eligible to apply to ANA (``third
party T/TA''). However, the purchase of T/TA by a grantee for its own
use or for its members' use (as in the case of a consortium), where T/
TA is necessary to carry out project objectives, is acceptable. In
addition, T/TA is an allowable activity for environmental regulatory
enhancement projects submitted under Competitive Area 3.
The support of on-going social service delivery programs
or the expansion, or continuation, of existing social service delivery
programs.
ANA will not fund the purchase of real property.
ANA will not fund construction.
Objectives or activities for the support of core
administration of an organization.
``Core administration'' is funding for staff salaries for those
functions which support the organization as a whole, or for purposes
unrelated to the actual management or implementation of work conducted
under an ANA approved project. Under Competitive Area 2, ANA will
consider funding core administrative capacity building projects at the
village government level if the village does not have governing systems
in place. However, functions and activities that are clearly project
related are eligible for grant funding. For example, the management and
administrative functions necessary to carry out an ANA approved project
are not considered ``core administration'' and are, therefore, eligible
costs. Additionally, ANA will fund the salaries of approved staff for
time actually and reasonably spent to implement a funded ANA project.
Projects or activities that generally will not meet the purposes of
this announcement are discussed further in Part III, Section H, General
Guidance to Applicants, below.
D. Multi-Year Projects
A multi-year project is a project on a single theme that requires
more than 12 months to complete and affords the applicant an
opportunity to develop and address more complex and in-depth strategies
than can be completed in one year. Applicants are encouraged to develop
multi-year projects as defined in Section D of this Part. A multi-year
project cannot be a series of unrelated objectives with activities
presented in chronological order over a two or three year period.
Awards, on a competitive basis, will be for a one-year budget
period, although project periods may be for three years. Applications
for continuation grants funded under these awards beyond the one-year
budget period, but within a two-to-three year project period, will be
entertained in subsequent years on a non-competitive basis, subject to
the availability of funds, satisfactory progress of the grantee and
determination that continued funding would be in the best interest of
the Government. Therefore, this program announcement does not apply to
current ANA grantees with multi-year projects that apply for
continuation funding for their second or third year budget periods.
E. Intergovernmental Review of Federal Programs
This program is not covered by Executive Order 12372 or 45 CFR Part
100.
F. The Application Process
1. Availability of Application Forms
In order to be considered for a grant under this program
announcement, an application must be submitted on the forms supplied
and in the manner prescribed by ANA. The application kits containing
the necessary forms and instructions may be obtained from: Department
of Health and Human Services, Administration for Children and Families,
Administration for Native Americans, 370 L'Enfant Promenade, SW., Mail
Stop HHH 348F, Washington, D.C. 20447, Attention: 93612-981, Telephone:
(202) 690-7776.
Copies of this program announcement and many of the required forms
may be obtained electronically at the ANA World Wide Web Page:
www.acf.dhhs.gov/programs/ana/index.html
The printed Federal Register notice is the only official program
announcement. Although all reasonable efforts are taken to assure that
the files on the ANA World Wide Web Page containing electronic copies
of the Program Announcement are accurate and complete, they are
provided for information only. The applicant bears sole responsibility
to assure that the copy downloaded and/or printed from any other source
is accurate and complete.
2. Application Submission
One signed original, and two copies, of the grant application,
including all attachments, must be mailed on or before the specific
closing date of each ANA competitive area to: Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462,
Washington, D.C. 20447, Attention: Lois B. Hodge, ANA No. 93612-981.
Hand delivered applications are accepted between the hours of 8:00
a.m. to 4:30 p.m., Monday through Friday, if they are either received
on or before the deadline date or postmarked on or before the
established closing date at: Administration for Children and Families,
Division of Discretionary Grants, ACF Mail Room, Second Floor Loading
Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024.
The application (Form 424) must be signed by an individual
authorized (1) to act for the applicant tribe or organization, and (2)
to assume the applicant's obligations under the terms and conditions of
the grant award, including Native American Program statutory and
regulatory requirements.
Each tribe, Native American organization, or other eligible
applicant may compete for a grant award in each of the three
competitive areas. However, no applicant may receive more than one SEDS
grant. The Administration for Native Americans will accept only one
application per competitive area from any one applicant. Alaska Native
entities may receive a grant under either competitive area 1 or 2, but
not under both. Therefore, applications for SEDS grants from Alaska
Native entities may be submitted under either Competitive Area 1 or
Competitive Area 2, but not both at the same time.
If an eligible applicant sends in two applications for the same
competitive area, the one with the earlier postmark will be accepted
for review unless the applicant withdraws the earlier application.
3. Application Consideration
The ANA Commissioner determines the final action to be taken on
each grant application received under this program announcement.
The following points should be taken into consideration by all
applicants:
Incomplete applications and applications that do not
conform to this announcement will not be accepted for review.
Applicants will be notified in writing of any such determination by
ANA. An incomplete application is one that is:
[[Page 50384]]
Missing Form SF 424.
Does not have a signature on Form SF 424.
Does not include proof of non-profit status, if
applicable.
Complete applications that conform to all the requirements
of this program announcement are subjected to a competitive review and
evaluation process (discussed in section G below). Independent review
panels consisting of reviewers familiar with American Indian Tribes and
Native American communities and organizations, and environmental
issues, as appropriate, evaluate each application using the published
criteria in each funding competitive area. As a result of the review, a
normalized numerical score will be assigned to each application. A
normalized score reflects the average score from the reviewers,
adjusted to reflect the average score from the panels.
The Commissioner's funding decision is based on the review
panel's analysis of the application, recommendation and comments of ANA
staff, State and Federal agencies having contract and grant performance
related information, and other interested parties.
The Commissioner makes grant awards consistent with the
purpose of the Act, all relevant statutory and regulatory requirements,
this program announcement, and the availability of funds.
ANA staff cannot respond to requests for information
regarding funding decisions prior to the official notification to the
applicants.
After the Commissioner has made decisions on all
applications, unsuccessful applicants are notified in writing within 30
days. The notification will be accompanied by a critique including
recommendations for improving the application.
Successful applicants are notified through an official
Financial Assistance Award (FAA) document. The FAA will state the
amount of Federal funds awarded, the purpose of the grant, the terms
and conditions of the grant award, the effective date of the award, the
project period, the budget period, and the amount of the non-ACF
matching share requirement.
G. The Review Process
1. Initial Application Review
Applications submitted by the closing date and verified by the
postmark under this program announcement will undergo a pre-review to
determine that:
The applicant is eligible in accordance with the Eligible
Applicants Section of this announcement; and
The application is signed and submitted by the deadline
explained in section G, Application Due Date, in each competitive area
of this announcement.
The application narrative, forms and materials submitted
are adequate to allow the review panel to undertake an in depth
evaluation and the project described is an allowable type. (All
required materials and forms are listed in the Grant Application
Checklist in the Application Kit).
Applications subjected to the pre-review described above which fail
to satisfy one or more of the listed requirements will be ineligible or
otherwise excluded from competitive evaluation.
2. Competitive Review of Accepted Applications
Applications which pass the pre-review will be evaluated and rated
by an independent review panel on the basis of the specific evaluation
criteria listed in Part II. These criteria are used to evaluate the
quality of a proposed project, and to determine the likelihood of its
success.
3. Appeal of Ineligibility
Applicants who are initially excluded from competitive evaluation
because of ineligibility, may appeal an ANA decision of applicant
ineligibility. Likewise, applicants may also appeal an ANA decision
that an applicant's proposed activities are ineligible for funding
consideration. The appeals process is stated in the final rule
published in the Federal Register on August 19, 1996 (61 FR 42817).
H. General Guidance To Applicants
The following information is provided to assist applicants in
developing a competitive application.
1. Program Guidance
The Administration for Native Americans funds projects
that demonstrate the strongest prospects for addressing the stated
purposes of this program announcement.
Projects will not be ranked on the basis of general
financial need.
In discussing the goals, strategy, and problems being
addressed in the application, include sufficient background and/or
history of the community concerning these issues and/or progress to
date, as well as the size of the population to be served. This material
will assist the reviewers in determining the appropriateness and
potential benefits of the proposed project.
In the discussion of community-based, long-range goals,
non-Federally recognized and off-reservation groups are encouraged to
include a description of what constitutes their specific ``community.''
Applicants must document the community's support for the
proposed project and explain the role of the community in the planning
process and implementation of the proposed project. For tribes, a
current signed resolution from the governing body of the tribe
supporting the project proposal stating that there has been community
involvement in the planning of this project will suffice as evidence of
community support/involvement. For all other eligible applicants, the
type of community you serve will determine the type of documentation
necessary. For example, a tribal organization may submit resolutions
supporting the project proposal from each of its members tribes, as
well as a resolution from the applicant organization. Other examples of
documentation include: community surveys; minutes of community
meetings; questionnaires; tribal presentations; and/or discussion/
position papers.
Applications from National Indian and Native American
organizations must demonstrate a need for the project, explain how the
project was originated, state who the intended beneficiaries will be,
and describe how the recipients will actually benefit from the project.
An application should describe a clear relationship
between the proposed project, the social and economic development
strategy, or environmental or language goals, as appropriate, and the
community's long-range goals or plan.
The project application, including the Objective Work
Plans, must clearly identify in measurable terms the expected results,
benefits or outcomes of the proposed project, and the positive or
continuing impact that the project will have on the community.
Supporting documentation, including letters of support, if
available, or other testimonies from concerned interests other than the
applicant should be included to demonstrate support for the feasibility
of the project and the commitment of other resources to the proposed
project.
In the ANA Project Narrative, Section A of the application
package, ``Resources Available to the Proposed Project,'' the applicant
should describe any specific financial circumstances which may impact
on the project, such as any monetary or land settlements made to the
applicant, and any restrictions on the use of those settlements. When
the applicant appears to have other resources to support the
[[Page 50385]]
proposed project and chooses not to use them, the applicant should
explain why it is seeking ANA funds and not utilizing these resources
for the project.
Reviewers of applications for ANA indicate they are better
able to evaluate whether the feasibility has been addressed and the
practicality of a proposed economic development project, or a new
business, if the applicant includes a business plan that clearly
describes its feasibility and the approach for the implementation and
marketing of the business. (ANA has included sample business plans in
the application kit).
It is strongly recommended that an applicant use these materials as
guides in developing a proposal for an economic development project or
business that is part of the application.
Applications which were not funded under a previous
closing date and revised for resubmission should make reference to the
changes, or reasons for not making changes, in their current
application which are based on ANA panel review comments.
2. Technical Guidance
It is strongly suggested that the applicant follow the
Supplemental Guide included in the ANA application kit to develop an
application. The Guide provides practical information and helpful
suggestions, and is an aid to help applicants prepare ANA applications.
Applicants are encouraged to have someone other than the
author apply the evaluation criteria in the program announcement and
score the application prior to its submission, in order to gain a
better sense of the application's quality and potential competitiveness
in the ANA review process.
For purposes of developing an application, applicants
should plan for a project start date approximately 120 days after the
closing date under which the application is submitted.
The Administration for Native Americans will not fund
essentially identical projects serving the same constituency.
If a project could be supported by other Federal funding
sources, the applicant should fully explain its reasons for not
pursuing other Federal funds for the project.
For purposes of this announcement, ANA is using the Bureau
of Indian Affairs' list of Federally recognized Indian tribes which
includes nonprofit Alaska Native community entities or tribal governing
bodies (IRA or traditional councils). Other Federally recognized Indian
tribes which are not included on this list (e.g., those Tribes which
have been recently recognized or restored by the United States
Congress) are also eligible to apply for ANA funds.
The Administration for Native Americans will accept only
one application, per competitive area, from any one applicant. If an
eligible applicant sends in two applications for the same competitive
area, the one with the earlier postmark will be accepted for review
unless the applicant withdraws the earlier application.
An application from a federally recognized Tribe, Alaska
Native Village or Native American organization must be from the
governing body of the Tribe or organization. ANA will not accept
applications from tribal components which are tribally-authorized
divisions of a larger tribe, unless the application includes a Tribal
resolution which clearly demonstrates the Tribe's support of the
project and the Tribe's understanding that the other applicant's
project supplants the Tribe's authority to submit an application under
that specific competitive area for the duration of the approved grant
period.
Under each competitive area, ANA will only accept one
application which serves or impacts a reservation, Tribe, or Native
American community. If a federally recognized Tribe, or Alaska Native
village chooses not to submit an application under a specific
competitive area, it may support another applicant's project (e.g., a
tribal organization) which serves or impacts a reservation. In this
case, the applicant must include a Tribal resolution which clearly
demonstrates the Tribe's support and approval of the application and
the Tribe's understanding that the other applicant's project supplants
the Tribe's authority to submit an application under that specific
competitive area for the duration of the approved grant period.
The Objective Work Plan proposed should be of sufficient
detail to become a monthly staff guide for project responsibilities if
the applicant is funded.
If a profit-making venture is being proposed, profits must
be reinvested in the business in order to decrease or eliminate ANA's
future participation. Such revenue must be reported as general program
income. A decision will be made at the time of grant award regarding
appropriate use of program income. (See 45 CFR Part 74 and Part 92.)
Applicants proposing multi-year projects must fully
describe each year's project objectives and activities.
Separate Objective Work Plans (OWPs) must be presented for each
project year and a separate itemized budget of the Federal and non-
Federal costs of the project for each budget period must be included.
Applicants for multi-year projects must justify the entire
time-frame of the project (i.e., why the project needs funding for more
than one year) and clearly describe the results to be achieved for each
objective by the end of each budget period of the total project period.
The Administration for Native Americans will critically
evaluate applications in which the acquisition of equipment is a major
component of the Federal share of the budget. ``Equipment is tangible,
non-expendable personal property having a useful life of more than one
year and an acquisition cost of $5,000 or more per ``unit.'' During
negotiation, such expenditures may be deleted from the budget of an
otherwise approved application, if not fully justified by the applicant
and deemed not appropriate to the needs of the project by ANA.
Applicants are encouraged to request a legibly dated
receipt from a commercial carrier or U.S. Postal Service as proof of
timely mailing.
3. Grant Administrative Guidance
The application's Form 424 must be signed by the
applicant's representative authorized to act with full authority on
behalf of the applicant.
The Administration for Native Americans recommends that
the pages of the application be numbered sequentially and that a table
of contents be provided. Simple tabbing of the sections of the
application is also helpful to the reviewers.
An application with an original signature and two
additional copies are required.
The Cover Page (included in the Kit) should be the first
page of an application, followed by the one-page abstract.
The applicant should specify the entire project period
length on the first page of the Form 424, Block 13, not the length of
the first budget period. Should the application propose one length of
project period and the Form 424 specify a conflicting length of project
period, ANA will consider the project period specified on the Form 424
as the request. ANA may negotiate a reduction of the project period.
The approved project period is shown on block 9 of a Financial
Assistance Award.
Line 15a of the Form 424 must specify the Federal funds
requested for the first Budget Period, not the entire project period.
[[Page 50386]]
Applicants may propose a 17 month project period. However,
the project period for the first year of a multi-year project may only
be 12 months.
4. Projects or Activities That Generally Will Not Meet The Purposes of
This Announcement
Projects that request funds for feasibility studies,
business plans, marketing plans or written materials, such as manuals,
that are not an essential part of the applicant's long-range
development plan. As an objective of a larger project, business plans
are allowable. However, ANA is not interested in funding ``wish lists''
of business possibilities. ANA expects written evidence of the solid
investment of time and consideration on the part of the applicant with
regard to the development of business plans. Business plans should be
developed based on market analysis and feasibility studies regarding
the potential success to the business prior to the submission of the
application.
Core administration functions, or other activities, which
essentially support only the applicant's on-going administrative
functions. However, under Competitive Area 2, ANA will consider funding
core administrative capacity building projects at the village
government level if the village does not have governing systems in
place.
Project goals which are not responsive to one or more of
the funding competitive areas.
Proposals from consortia of tribes that are not specific
with regard to support from, and roles of, member tribes. ANA expects
an application from a consortium to have goals and objectives that will
create positive impacts and outcomes in the communities of its members.
Proposals from consortia of tribes should have individual objectives
which are related to the larger goal of the proposed project. Project
objectives may be tailored to each consortia member, but within the
context of a common goal for the consortia. In situations where both a
consortia of tribes and the tribes who belong to the consortia receive
ANA funding, ANA expects that consortia groups will not seek funding
that duplicates activities being conducted by their member tribes.
Projects that will not be completed, self-sustaining, or
supported by other than ANA funds, at the end of the project period.
ANA will not fund investment capital for purchase or
takeover of an existing business, for purchase or acquisition of a
franchise, or for purchase of stock or other similar investment
instruments.
Renovation or alteration unless it is essential for the
project. Renovation or alteration costs may not exceed the lesser of
$150,000 or 25 percent of the total direct costs approved for the
entire budget period.
Projects originated and designed by consultants who
provide a major role for themselves in the proposed project and are not
members of the applicant organization, tribe or village.
I. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public 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. This
program announcement does not contain information collection
requirements beyond those approved for ANA grant applications under the
Program Narrative Statement by OMB.
J. Receipt of Applications
Applications must either be hand delivered or mailed to the address
in Section F, The Application Process: Application Submission. The
Administration for Native Americans cannot accommodate transmission of
applications by fax or through other electronic media. Therefore,
applications transmitted to ANA electronically will not be accepted
regardless of date or time of submission and time of receipt.
Videotapes and cassette tapes may not be included as part of a grant
application for panel review.
Applications and related materials postmarked after the closing
date will be classified as late.
1. Deadlines
Mailed applications shall be considered as meeting an
announced deadline if they are either received on or before the
deadline date or sent on or before the deadline date and received by
ACF in time for the independent review to: U. S. Department of Health
and Human Services, Administration for Children and Families, Division
of Discretionary Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462,
Washington, D.C. 20447.
Applicants are cautioned to request a legibly dated U.S.
Postal Service postmark or to obtain a legibly dated receipt from a
commercial carrier or the U.S. Postal Service. Private metered
postmarks shall not be acceptable as proof of timely mailing.
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 or postmarked on or before the deadline date, Monday
through Friday (excluding Federal holidays), between the hours of 8:00
am and 4:30 pm at: U.S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D
Street, S.W., Washington, D.C. 20024. (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.
No additional material will be accepted, or added to an
application, unless it is postmarked by the deadline date.
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
The Administration for Children and Families may extend an
application deadline for applicants affected by acts of God such as
floods and hurricanes, or when there is a widespread disruption of the
mails. A determination to extend or waive deadline requirements rests
with the Chief Grants Management Officer.
(Catalog of Federal Domestic Assistance Program Numbers: 93.612
Native American Programs; and 93.581 Improving the Capability of
Indian Tribal Governments to Regulate Environmental Quality)
Dated: September 16, 1997.
Gary N. Kimble,
Commissioner, Administration for Native Americans.
[FR Doc. 97-25498 Filed 9-24-97; 8:45 am]
BILLING CODE 4184-01-P
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.