Availability of Discretionary Grants for Services to Newly Arriving Refugees, Including: Promoting Increased Placement of Newly Arrived Refugees SUP1/SUP In Preferred Communities; Responding to Unanticipated Arrivals or Significant Increases in Arrivals of Refugees to Communities Where Adequate or Appropriate Services do not Exist; Providing Orientation Services in Local Communities; Providing Mental Health Services on Behalf of Refugees in Local Communities; Supporting Ethnic Community Self-Help
Federal RegisterDec 9, 1997
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Availability of Discretionary Grants for Services to Newly
Arriving Refugees, Including: Promoting Increased Placement of Newly
Arrived Refugees 1 In Preferred Communities; Responding to
Unanticipated Arrivals or Significant Increases in Arrivals of Refugees
to Communities Where Adequate or Appropriate Services do not Exist;
Providing Orientation Services in Local Communities; Providing Mental
Health Services on Behalf of Refugees in Local Communities; Supporting
Ethnic Community Self-Help
AGENCY: Office of Refugee Resettlement, ACF, DHHS.
\1\ In addition to persons who meet all requirements of 45 CFR
400.43, ``Requirements for documentation of refugee status,''
eligibility for refugee social services also includes: (1) Cuban and
Haitian entrants, under section 501 of the Refugee Education
Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain Amerasians
from Vietnam who are admitted to the U.S. as immigrants under
section 584 of the Foreign Operations, Export Financing, and Related
Programs Appropriations Act, 1988, as included in the FY 1988
Continuing Resolution (Pub. L. No. 100-202); and (3) certain
Amerasians from Vietnam, including U.S. citizens, under title II of
the Foreign Operations, Export Financing, and Related Programs
Appropriations Acts, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No.
101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term
``refugee'' is used in this notice to encompass all such eligible
persons unless the specific context indicates otherwise.
Refugees admitted to the U.S. under admissions numbers set aside
for private-sector-initiative admissions are not eligible to be
served under the social service program (or under other programs
supported by Federal refugee funds) during their period of coverage
under their sponsoring agency's agreement with the Department of
State--usually two years from their date of arrival or until they
obtain permanent resident alien status, whichever comes first.
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SUMMARY: This ORR standing announcement invites submission of grant
applications for funding, on a competitive basis, in six categories:
(1) to promote the increase of refugee placements in communities where
they have ample opportunities for early employment and sustained
economic independence; (2) to provide services to unanticipated
arrivals, i.e., refugees who have arrived without prior notice in
communities where adequate or appropriate services for these refugees
do not exist; (3) to provide ethnically-and linguistically-matched
orientation services to newly arriving refugees in the local
communities; (4) to provide technical assistance to the grantees
including those funded under Category 3, orientation; (5) to provide
mental health orientation, staff development, and technical expertise
to improve services for newly arriving refugee populations, and (6) to
assist ethnic organizations to build bridges among newcomer communities
and community resources.
This notice revises previous publications. The programs numbered
(1) and (2) above were first published as Categories 1 and 2 of the
notice published in the Federal Register on May 18, 1994 (59 FR 25929).
The notice was revised January 17, 1995 (60 FR 3416). A Category 3,
Ethnic Community Organizations, added in the revision of January 17,
1995, was canceled as published in the Federal Register on February 15,
1996 (61 FR 6018). The next revision was published in the Federal
Register on June 25, 1996 (61 FR 32833) with new categories, numbered
3, Orientation, 4, Orientation Technical Assistance, and 5, Mental
Health Services. This notice retains the five categories in the June
25, 1996 announcement, and restores and revises the Ethnic Community
Organization program as Category 6.
This announcement supersedes all prior announcements of the same
name.
The categories are summarized as follows:
Category 1--Preferred Communities: To increase placement of
arriving refugees in preferred communities where refugees have
opportunities to attain early employment and sustained economic
independence without public assistance. Eligible applicants are
agencies which resettle refugees under a Reception and Placement
Cooperative Agreement with the Department of State or the Department of
Justice. Preferred communities awards will be Cooperative Agreements.
ORR's involvement will include: review and approval of preferred
community sites and review and approval of the design of program
reports on progress toward project goals and outcomes.
Category 2--Unanticipated Arrivals: To provide services for
significant numbers of, or increases in, the number of unanticipated
refugees who have arrived in communities that are unable to provide
adequate or appropriate services. The arrivals may be new populations
to the U.S., or new to the location requesting additional resources.
The arrivals may also be a significant and unanticipated additional
number of a particular ethnic group in a community. Awards in this
category will be grants.
Category 3--Orientation: To provide funds for grantees to serve
newly arriving refugees through orientation services that are
ethnically-and linguistically-matched to the targeted refugee
population.
Under Category 3, applications will be accepted for orientation
programs designed to provide newly arriving refugees with information
on local resources, community services and institutions, American
mores, customs, laws, responsibilities associated with being new
residents of their communities, and other appropriate topics.
Applications will be accepted from prospective grantees to provide
services in communities where new refugees are arriving and where
available orientation materials are not appropriate or adequate. Awards
in this category will be made as grants.
Category 4--Technical Assistance to Orientation Grantees: To
provide technical assistance to orientation projects awarded under
Category 3 and other orientation programs serving refugees.
Category 5--Mental Health Services: To improve services to newly
arrived populations who have been made vulnerable in their resettlement
by having suffered mental and/or physical torture prior to or during
their escape. Applications are encouraged from agencies that support
resettlement services by providing staff development consultation to
staff who work directly with traumatized populations and orientation
activities for the new populations and for the mainstream mental health
providers. In addition, and if appropriate to the newly arriving
refugee populations, projects may be funded to develop technical
knowledge concerning particular groups and the clinical interventions
that effectively treat them. The knowledge and experience gained by
these projects will be made available throughout the refugee
resettlement program.
Category 6--Ethnic Community Organizations Program. This program is
to provide assistance to ethnic organizations comprised of and
representative of newly arrived refugee populations to build bridges
among newcomer refugee communities and community resources. The
applications will be accepted from a national, regional (multi-state),
or local level and may include efforts to address community building,
community and family strengthening, cultural adjustment orientation,
and mutually supportive functions such as information exchange,
leadership training, and resource development.
Categories 1, 3, 4, and 5 solicit applications for project periods
up to three years. Category 6 solicits applications for project periods
up to
[[Page 64857]]
five years. Awards, on a competitive basis, will be for one-year budget
periods. Applications for continuation grants, to extend activities
beyond the one-year budget period, will be entertained on a
noncompetitive basis in subsequent years within the project period,
subject to the availability of funds, timely and successful completion
of activities during the budget period, and determination that such
continuations would be in the best interest of the Government.
Awards for Category 2 will be for a single 17-month budget period.
Applicants should view these resources as a temporary solution to an
emergency created by unanticipated arrivals. ORR expects that by the
end of the project period, States will have incorporated services for
these particular refugees into their refugee services network funded by
ORR social service formula allocations.
Projects and services allowed under this announcement for each
category are described below. Each application will be considered for
one category only and must state specifically for which category the
application is being submitted. An applicant may apply for more than
one category; however, each category must be applied for in a separate
application.
Available Funds: In FY 1998, ORR expects to make individual new
grant awards in amounts ranging from approximately $100,000 to
$300,000. Amounts in subsequent years will depend upon the availability
of funding, need, and the best interests of the Government.
Approximately $800,000 will be available for awards under Preferred
Communities; $500,000 under Unanticipated Arrivals; $400,000 for
Orientation; $400,000 under Orientation Technical Assistance; $400,000
for Mental Health; and $1,000,000 for Ethnic Community Organizations.
The Director reserves the right to award more or less than the
funds described above depending upon the quality of the applications,
or such other circumstances as may be deemed to be in the best interest
of the Government. Applicants may be required to reduce the scope of
selected projects to accommodate the amount of the approved grant
award.
Authorization: Authority for this activity is contained in Section
412(c)(1)(A) of the Immigration and Nationality Act, which authorizes
the Director ``to make grants to, and enter into contracts with, public
or private nonprofit agencies for projects specifically designed-- * *
* (iii) to provide where specific needs have been shown and recognized
by the Director, health (including mental health) services, social
services, educational and other services.'' In addition, section
412(a)(2)(B)-(C) gives the Director the responsibility to promote and
encourage refugee resettlement in communities where the prospects for
early self-sufficiency are good and the history of welfare utilization
is low.
Application Submission: This announcement contains forms and
instructions for submitting an application. Applications must stipulate
the category for which funding is being sought. Applicants may submit
applications for more than one category; however, each category must be
applied for in a separate application.
Standing Announcement: This is a standing announcement, effective
until canceled or modified by the Director of the Office of Refugee
Resettlement. The Director will observe the following closing dates for
all categories: January 31 and June 30, of FY 1998, and each subsequent
year.
Organization of this Announcement: This standing announcement
consists of two parts: Part I. the program categories under which
grants will be awarded and Part II. general application information and
guidance.
Eligible Applicants: For Categories 2, 3, 4, 5 and 6, eligible
applicants are public and private nonprofit organizations.
Refugee serving organizations, especially local ethnic communities
when applying under category 6, are encouraged to build coalitions in
applying under this announcement. The activities funded by these grants
are intended to serve as a catalyst to bring the community together to
address the economic and social problems of refugee families and the
refugee community. The goal in all cases should be to build and
strengthen the community's capacity to serve its members in improving
the quality of life and standard of living for refugee families. If an
application represents a consortium (that is, the applicant includes
other types of agencies among its membership), the single organization
identified as applicant by the Authorized Representative's signature on
the SF-424, Box 18.d, will be the grant recipient and will have primary
administrative and fiscal responsibilities. An applicant entity must be
a nonprofit organization.
For Category 1, eligible applicants are public and private non-
profit agencies which currently resettle newly arriving refugees under
a Reception and Placement cooperative agreement with the Department of
State or with the Department of Justice. This announcement is
restricted to these agencies because placements of new arrivals occur
under the terms of the cooperative agreements, and no other agencies
place new arrivals or participate in determining their resettlement
sites. Applications shall include documentation that the applicant is a
recipient of a Reception and Placement Grant. Applications lacking this
documentation will not be considered.
For Further Information:
Concerning Categories 1, Preferred Communities, and 5, Mental
Health Services, contact: Ms. Marta Brenden, Program Officer,
Administration for Children and Families, Office of Refugee
Resettlement, 370 L'Enfant Promenade, SW 6th Floor, Washington, DC
20447, Tel: (202) 205-3589, E-mail: [email protected].
Concerning Category 2, Unanticipated Arrivals, contact: Ms. Sue
Benjamin, Administration for Children and Families, Office of Refugee
Resettlement, 370 L'Enfant Promenade, SW 6th Floor, Washington, DC
20447, Tel: (202) 401-4851, E-mail: [email protected].
Concerning Category 3, Orientation, and 4, Orientation Technical
Assistance, contact:
Ms. Kathy Do, Administration for Children and Families, Office of
Refugee Resettlement, 370 L'Enfant Promenade, SW 6th Floor, Washington,
DC 20447, (202) 401-4579, E-mail: [email protected].
Concerning Category 6, Ethnic Community Organizations, contact: Ms.
Anna Mary Portz, Administration for Children and Families, Office of
Refugee Resettlement, 370 L'Enfant Promenade, SW 6th Floor, Washington,
DC 20447, (202) 401-1196, E-mail: [email protected].
Part I. Program Categories Under Which Grants Will be Awarded
Category 1: Preferred Communities: Grants to Support Preferred
Communities
A. Purpose and Scope
The purpose is to provide funds to be applied toward the costs
associated with increasing the numbers of refugees placed in preferred
communities and with reducing the numbers of refugees placed in high
impact sites.
A proposed preferred community should have the following: (1)
favorable circumstances described below, (2) services that meet the
needs of arriving refugees for achieving self-sufficiency, and (3)
reception of a minimum of 100 new refugees annually. ORR will consider
exceptions to the annual
[[Page 64858]]
standard where the applicant provides substantial justification for the
request and documents the community's history of arrivals, the period
of time needed to reach a level of 100 new refugees, and the record of
outcomes for achieving self-sufficiency soon after arrival.
Applicants must plan within their own network for improved
placements. They may also consider planning cooperatively with other
prospective applicants to create cost-effective, co-located
resettlement services where, for example, the pool of newly arriving
refugees for each network is too small to warrant individual offices.
Preferred Community sites refer to those localities where refugees
have the best opportunities to achieve early employment and sustained
economic independence without public assistance. Preferred communities
should have a history of low welfare utilization by refugees. In
addition, refugees should have the potential for earned income at a
favorable level relative to the cost of living and to public assistance
benefits in such communities. These communities should also have a
moderate cost of living; good employment opportunities in a strong,
entry-level labor market; affordable housing; low out-migration rates
for refugees; religious facilities, if important to the refugees; local
community support; receptive school environments; and other related
community features that contribute to a favorable quality of life for
arriving refugees.
Applicants may wish to consider the following ``arrival''
categories of refugees for preferred community sites:
Free cases: Those refugees who are determined in the allocation
process to be ``free cases,'' that is, unrelated or without family ties
to persons already living in the communities.
New refugee populations: Refugees who have no or few existing
communities in the United States.
Other refugees: The applicant may identify refugees in the
reception process who would accept the opportunity for resettlement in
a preferred community: e.g., refugees who would otherwise be resettled
under the rubric of ``family reunification,'' but who in fact are
distant relatives and friends. These refugees may elect placement in a
preferred community where there are opportunities described above.
B. Preferred Community Site Selection
ORR recognizes that changes in the selection of resettlement sites
of refugees may result in changes to an applicant agency's network and
should be preceded by careful attention and planning. Thus, as part of
the application preparation, it will be incumbent upon the applicant
to: (1) consult with ORR about prospective preferred sites; (2) propose
sites that are either already listed within the applicant's Cooperative
Agreement with the Department of State (DOS) or that will be proposed
for DOS approval; (3) coordinate with other voluntary agencies whose
local affiliates place refugees in the same sites; (4) inform and
coordinate with State governments for site selection, adequate
services, and program strategies to be developed; and (5) plan and
coordinate locally with community resources, such as schools and public
health agencies.
The application must, for the first budget year, specify the sites
selected with a description of each site and the rationale for its
selection. Applicants are encouraged to include planning activities in
their application. The application should specify one or more preferred
communities and should also propose to include one or more unspecified
sites to be determined following planning activities during the course
of each budget year. There should also be a description of coordination
activities that occurred prior to the selection, and the ongoing
evaluation and planning for placement in preferred communities.
Additional sites proposed under approved applications during the period
of the project will require ORR's concurrence under the terms of the
Cooperative Agreement.
Preferably, the selected sites should be those that have had
successful refugee placements and have the capacity for additional
successful placements. However, the sites may be ones where refugees
have not previously been placed, but which have all the elements of a
successful refugee resettlement community, listed in Section D. 2,
below.
Allowable activities for the preferred communities include services
that would otherwise be provided through the State formula social
services. ORR formula social services funding is awarded to States
proportionate to the number of refugee arrivals during the previous
three years and does not take into account newly arrived refugees.
Grantees should view Preferred Communities award as a temporary
solution to the increase in refugee placements in preferred
communities.
Therefore, planning for the application and implementing the
program must be done in concert with State Refugee Coordinators to
assure an orderly transition and complement of services. The applicant
shall describe and document this coordination and planning in the
application. ORR anticipates that ORR formula social service funds
provided to the States will reflect, over time, the increase in
arrivals.
C. Allowable Activities
ORR will accept applications for the following activities:
(1) services needed for the increased placements in the preferred
communities, (2) project planning and coordination activities, and (3)
national and local project management costs associated with these
activities.
D. Application Content
The application must include the following:
1. Description of the proposed program. Include the rationale for
meeting the goals of this Announcement: i.e., the increased placement
of refugees in preferred communities and the diversion of refugees from
communities with histories of extended use of welfare. Descriptions
should include anticipated improved resettlement opportunities; the
employment services available in the new location, including those to
be funded under this grant, if awarded; and the cost implications in
both the impacted and preferred sites for the population shifts in
local resettlement services.
2. A description and rationale for sites from which placements will
be diverted. A list of the designated and potential sites and the
rationale for each site with respect to the following criteria: o Local
community support (e.g., letters, financial and in-kind donations, news
clippings that the community supports the placement of these refugees
in their area); o State consultation (e.g., copies of letters; notes of
planning/coordination meetings);
Local community support (e.g., letters, financial and
inkind donations, news clippings that the community supports the
placement of these refugees in their area);
State consultation (e.g., copies of letters; notes of
planning/coordination meetings);
Evidence of availability of entry level and other
appropriate employment opportunities (e.g., letters from current and
repeating employers of refugees);
History of low out-migration rates for proposed sites,
with documentation for the last two years;
Moderate cost of living (e.g., needs and payment standards
from TANF programs from the State, statements of
[[Page 64859]]
voluntary agency affiliates, statements from refugees);
Low welfare benefit levels relative to earnings potential;
Qualified staff--give job descriptions and resumes, as
available, and show how staff will be linguistically and culturally
suited to assist the prospective refugees;
Affordable housing--provide average rental costs for
apartments of a specified number of bedrooms and describe access to and
distance from services and potential employment.
3. A description of the caseload: e.g., free cases, ethnicity, new
or existing ethnic group, interventions to be used to promote stability
of placements, proposed numbers, proposed placement schedule, and back-
up strategy should the proposed placement schedule fail.
4. A description of national and local project management. A
statement of expected outcomes, e.g., refugee arrivals and participants
in social services, such as, employment. Number expected to enter
employment; 90 day retention rates and/or welfare avoidance,
reductions, and terminations; expected hourly wage and the number of
jobs with health benefits. Projected outcomes must include the increase
in placements in Preferred Communities and the diversion of placements
from communities where there is a history of extended welfare use.
5. A description of the national and local planning process, of
coalitions formed to support the new placements, and the consultative
process used to support the implementation. If several local agencies
are planning a coordinated project, e.g., placing refugees from the
same ethnic groups in the same designated sites, describe the
coordination of these plans. Include discussion of anticipated outcomes
of the placement strategy for new arrivals.
6. Budget, including line items and a narrative justification for
each line. Clearly state the costs for national and local planning and
project coordination. Discuss relationship between costs proposed for
this grant and costs (e.g., for services) which will be covered by
existing refugee or mainstream funding.
E. Application Review Criteria
Preferred Communities applications will be reviewed, scored and
ranked utilizing the following criteria:
1. Clarity of description of proposed program and soundness of
rationale for achieving the goals of the Announcement. Reasonableness
of cost implications in both the impacted and preferred communities.
Adequacy of the anticipated improved resettlement opportunities as well
as the diversion of placements from sites with histories of extended
welfare usage. Soundness of refugee social services in the new
community and choice of services to be funded by this grant. (20
Points)
2. Clear and comprehensive description of the preferred sites
proposed in terms of community support, Federal, State, and local
government consultation, and linkages, cost-of-living, out-migration
history, housing, and employment availability, welfare benefit levels
relative to potential earnings, and quality of life features, such as
school environment and available religious facilities. Adequacy of
description of sites from which refugees will be diverted and the
rationale for diverting cases from them. (25 Points)
3. Appropriateness to the targeted population of the proposed
diversion, and strategies to be used to promote stability of
placements. (15 Points)
4. Adequacy of national and local management, including objectives
and outcomes, reporting procedures, outcome measures, data collection
and monitoring. (10 Points)
5. Adequacy of planning process and reasonableness of anticipated
outcomes. (15 Points)
6. Reasonableness of the budget and adequacy of line item
narrative; coordination of these grant funds with other funds. (15
Points)
Category 2--Unanticipated Arrivals or Increases in Arrivals of Refugees
to Communities Where Adequate or Appropriate Services Do Not Exist
A. Purpose and Scope
This program is intended to provide communities with the capability
to respond to the social services needs of refugees whose resettlement
in the applicant's community is unanticipated and who are not included
in ORR's social service formula allocation to the State in which they
are placed. The funds may be used to enable communities to establish or
expand existing services in situations, where: (1) the existing service
system does not have culturally and linguistically compatible staff; or
(2) where refugee services do not presently exist; or (3) where the
service capacity is not sufficient to accommodate significant increases
in arrivals.
Examples of situations for which applicants may compete for a grant
under this program include: (1) the unexpected arrival of more than 100
refugees in the community where the formula services funds are
committed to social services for the current refugee population, but
there are no available resources to fund culturally and linguistically
appropriate services for the unanticipated number of arrivals, or (2)
the State formula social service dollars are sufficient for most
services, but the unanticipated population has unusual social service
needs; and the services currently funded will not be sufficient for the
new arrivals.
Applications will be accepted only for proposals for services in
communities which have received, or expect to receive, minimally 100 or
more persons within a one year period as an unanticipated population to
a single local community. This is a minimum, not a standard. The
reasonableness of the proposal will depend, in part, on the ratio of
unanticipated arrivals to the anticipated resettlement caseload in the
applicant's community. The applicant must establish that the
unanticipated number is significant relative to the resident population
by documenting arrivals, both anticipated and unanticipated. The
application must describe the time period of unanticipated arrivals,
i.e., the start date when the unanticipated arrivals began and the
length of time over which the arrivals are expected to continue.
Applications which do not satisfy the requirement for documentation
will not be considered.
ORR encourages the formation of coalitions of organizations which
propose to serve the new population(s) jointly, with one agency
designated as grantee, responsible for administration of the project.
ORR will only support the establishment of services that are culturally
and linguistically appropriate to the new arrivals.
This grant program is intended to supplement a State's existing
refugee services network by responding to unmet needs of new refugee
populations shortly after arrival in the community. Grantees should
view these resources, therefore, as a temporary solution to
insufficient services necessitating program adjustment due to the
unanticipated arrival of a refugee population in a specific community.
ORR's expectation is that the State will have incorporated services for
these new populations into its refugee services network, funded by
formula social service dollars, by the end of the grant project period.
In the grantee's final report, the transition of the services should be
discussed indicating whether the services are now supported by the
State, other public or private resources, or are no longer needed, with
supporting information on the target population.
[[Page 64860]]
B. Allowable Services
ORR will accept applications under this announcement for projects
specifically providing unanticipated arrivals the type of activities
generally funded by States under their social services formula
allocation, in accordance with section 412(c)(1) of the Immigration and
Nationality Act for refugee social services. In general, such service
categories are defined as employment services, language training, and
other support services, such as orientation activities. Applications
under this section should indicate appropriate bilingual and bicultural
services will be provided. Services provided by all grantees, whether
private or public, must comport with the regulations at 45 CFR sections
400.147, 400.150, and 400.154-.156 regarding eligibility for services,
scope of services and priorities for services.
C. Application Content
1. Statement of purpose and need. A description of the target
population(s); presence, or absence of prior presence, of an ethnic
population in the community(ies); documentation of the arrivals of the
population(s), including first date of admission; expected duration of
the arriving population; number (at least 100 refugees per year) of
unanticipated arrivals relative to the expected admissions;
identification and description of the need(s) for social services;
discussion of the relative significance of the unanticipated arrivals
to the expected arrivals and the impact on available services; letter
from the national voluntary agency(ies) substantiating that there will
be an unanticipated arrival of at least 100 or more refugees or
entrants of the target population or secondary migrants.
2. Description of the planning process. A list of organizations by
name and their role in the project activities, and a list of all
organizations in the community(ies) providing services to the
unanticipated refugees. Summary of the planning activities with lists
of participants, dates of meetings and summary and results of the
discussions. Letters of support from the resettlement network agencies
who either participate in the project or whose work with refugees will
be affected by the proposed grant activities.
3. Organizational qualifications. Demonstration of organizational
qualifications of the agency proposed to act as fiscal agent for the
project. For each organization proposed for project activities, include
staff and position information with biographical sketch of known staff
or summary of desired qualifications and position activities.
4. Project goals. Statement of outcomes and performance measures
that will demonstrate impact of the project on the arriving refugees.
Plan for continuation of services following the period of grant
support. Letter from State Coordinator acknowledging the presence of
unanticipated arrivals and stating their openness to discuss
continuation of support at the close of the project.
5. Project line item budget and budget justification. A line item
budget and narrative justification which conform to Block 15 of the SF
424 object class categories. The justification must include estimation
methods, unit costs, and whatever quantitative detail is sufficient for
the calculation to be replicated.
D. Application Review Criteria
1. Quality of the description of the target population; the
justification of the significance of the unanticipated arrival
population relative to the expected arrivals; their need for services;
and a letter from the national voluntary agency(ies). (15 points)
2. Quality and appropriateness of the planning process and the
resulting project strategy; evidence of appropriate collaboration with
other refugee service providers and public and private organizations
serving the unanticipated refugees; and adequacy and reasonableness of
the strategy and proposed activities to achieve the projected outcomes.
(35 points)
3. Qualifications of the organization(s) proposed to carry out the
project activities; evidence of collaboration; capability in acting as
fiscal agent, if applicable. (15 points)
4. Quality of the project goals; appropriateness of the performance
measures to the project activities; appropriateness of the performance
outcomes in demonstrating desirable impact on the target population of
arriving refugees. (20 points)
5. Appropriateness and reasonableness of the costs in the budget;
clarity and reasonableness of the line item narrative justification.
Evidence that the budget items reflect the project activities. (15
points)
Category 3--Community Orientation Activities and Assistance Program
Grants for Local Communities
A. Purpose and Scope
Since 1992, the majority of refugee arrivals in the United States
represent ethnically diverse populations from such countries as Russia,
Somalia, Bosnia, Croatia, and Iraq. Compared to the pre-1992 refugees,
mainly Southeast Asians who were provided overseas classroom
orientation training, the majority of the post-1992 refugees have not
attended a pre-departure formal cultural orientation program in
preparation for their new life in the United States.
Funding constraints and restrictive conditions at some transit and
departure locations, where refugees are processed for entry into the
U.S., contribute to the lack of preparation for life in a new country.
This is particularly evident where new refugee arrivals do not have
access to pre-departure orientation organized by resettlement agencies
funded under the auspices of the U.S. Department of State, Bureau for
Population, Refugees, and Migration.
In addition to scarce, pre-arrival orientation, there are few
communities in the U.S. where new arrivals can join members of their
own ethnic group. Notwithstanding, information about American life and
resources are usually provided through friends or through word-of-
mouth. Service providers who come into contact with new arrivals may
not be sufficiently knowledgeable of the culture and values of the new
arrivals. Furthermore, limited bilingual and bicultural resources
further exacerbate the assistance effort as well as the new arrivals'
process of integration into their communities.
ORR is aware that to assist these new arrivals to become
economically self-sufficient and self-reliant within their newly
resettled communities, a comprehensive, culturally and linguistically
appropriate orientation program is key. Additionally, a cross-cultural
training and orientation program for local refugee and mainstream
service providers may enhance their assistance efforts with newly
arriving refugees and reduce the conflict or friction of cultural and
social misunderstandings.
B. Objectives of ORR
1. To provide comprehensive culturally and linguistically
appropriate orientation training to newly arrived refugee families
through bilingual, bi-cultural staff representative of the new
arrivals' cultural and linguistic make-up.
2. To identify sub-groups (e.g., home-bound women, the elderly, and
youth) of new arrivals who are more likely to face significant cultural
obstacles to their transition to a new life and to provide them
specialized orientation training customized to their specific needs.
[[Page 64861]]
3. To provide orientation and cross-cultural training to refugee
and mainstream service providers on new refugee populations.
4. To provide training to refugee caseworkers and interpreters to
improve their ability to deliver culturally and linguistically
appropriate services to new refugee populations.
5. To provide the mainstream community with information about new
refugee populations resettled in their community.
6. To provide new ethnic communities with small amounts of funds to
form advisory groups for the purpose of community and grass roots
organizing.
C. Allowable Orientation Activities for
1. Newly Arriving Refugee Populations. Conducting outreach (for
example, home visits and ethnic group meetings) to new arrivals to
determine needs.
Convening a local work group/task force on orientation. The
composition of the group must include representatives of the ethnic
composition of new arrivals. The primary purpose of the orientation
work group is to plan and consult with local new arrivals and ethnic
communities on the type of orientation materials, services, and
training design which best fit their needs.
Adapting, if necessary, existing orientation materials to ensure
that materials are culturally appropriate for the target population.
Designing and implementing an orientation and cross-cultural
training program by bilingual and bicultural staff for the newly
arriving refugee population, taking into consideration training
customized to the specific informational needs of each group, for
example, heads of households, home-bound women, youth, and the elderly.
Designing and implementing a mechanism of ensuring customer
feedback and assessment of each training session. Customers' feedback
must be incorporated for improvement of future training.
Compiling records and materials of training activities into a
training package for replication with other new arrivals.
2. Refugee and Mainstream Service Providers and the Community-at-
Large. Planning and consulting with refugee and mainstream service
providers on their need for information on new arrivals, and providing
training to service providers, caseworkers, and interpreters to improve
their ability to deliver culturally and linguistically appropriate
services to new refugee populations.
Designing a mechanism of ensuring customer feedback and conducting
assessment of each training session. Customers' feedback will be
incorporated into future training.
Compiling records and materials of training activities into a
training package for future replication with other new arrivals.
Conducting public relations activities, such as providing
information via a newsletter, informational brochures or video, and
attending community meetings to provide to the community-at-large
information about new refugee arrivals resettled in their community.
3. Ethnic Community Groups. Convening or assisting in convening,
members of newly arriving ethnic communities to form their own advisory
board for self-help purposes.
Recording all community assistance activities in the form of
reports and case studies for future use by other ethnic communities in
community organizing and development.
D. Application Content. Applications for the Community Orientation
and Assistance Program should contain a detailed description of
proposed activities and a plan of action, including a timetable for
implementation, and anticipated measurable outcomes and benefits which
directly meet the needs of the target population to be served. These
areas should be addressed:
1. An understanding and knowledge of the unique characteristics,
cultural background, and needs of the target groups to be served,
including discussion of the service methodology that would be
linguistically and culturally appropriate for each target group.
2. An understanding of the domestic and overseas orientation
services as well as how linkage and coordination can be established
between the overseas and domestic service providers to maintain
continuity of services to meet the orientation needs of the new
arrivals.
3. Planning and consultation with the target population, e.g., new
arrivals and refugee and mainstream service providers, to design and
implement an orientation program that best fits their needs. How the
applicant proposes to provide a comprehensive and coordinated project
design, implementation timelines, and achieving measurable outcomes.
4. Convening, or assist in convening, members of the newly arriving
ethnic groups in their effort toward organizing for self-help.
Description of how the proposed advisory groups are to be established.
5. Public relations activities with the community-at-large focusing
on mutual understanding and good will between the refugees and local
communities.
6. Customer feedback and assessment of the training as well as the
project's progress, and how the results of customers' feedback will be
used.
E. Application Review Criteria
1. Demonstrated knowledge of the unique characteristics of the
various populations to be served; demonstrated experience in the
provision of orientation service and/or training; and knowledge of
which service modality best fits each target population. (25 points)
2. Demonstrated understanding of overseas and domestic orientation
services, and the appropriateness of the proposed plan for linkage and
coordination. (10 points)
3. Adequacy and applicability of the project management plan in the
areas of planning, designing, implementing, timelines, and proposed
measurable outcomes. Qualifications of the applicant to carry out all
the proposed activities successfully. (25 points)
4. Demonstrated reasonableness and cost effectiveness in the budget
with reference to the use of bilingual and bicultural staff in all
professional capacities, the staffing plan, and qualifications of key
personnel. (15 points)
5. Demonstrated knowledge of refugee ethnic communities, and
experience in community organizing and development. (10 points)
6. Appropriateness of proposed project's measurable outcomes. (15
points)
Category 4--National Technical Assistance Project in Refugee
Orientation, Cross-cultural Training and Alliance Building
A. Purpose and Availability of Funds:
This section announces the availability of Fiscal Year 1998 funds
for a national technical assistance project for refugee orientation,
cross-cultural training, and alliance building in communities heavily
impacted by recent refugee arrivals. The purpose of this category is to
respond to the immediate needs of States, refugee and/or local service
agencies, and mainstream agencies: for training and technical
assistance in cross-cultural awareness and knowledge; for skills
enhancement in resolving and mediating cross-cultural conflict between
and among refugee and non-refugee groups; and for providing culturally
and linguistically appropriate
[[Page 64862]]
service methodologies to refugee communities.
The successful applicant will provide group training and technical
assistance in approximately twelve (12) sites identified as impacted by
new refugee arrivals, and may include the grantees funded under
Category 3 of this announcement. Partnerships with ORR customers, e.g.,
States, other grantees, community-based organizations (CBOs), and other
Federal agencies, will be initiated to coordinate nationally in the
areas of conflict resolution and mediation and to enhance knowledge of
cross-cultural understanding and alliance building.
ORR anticipates funding one project through the mechanism of a
cooperative agreement. ORR will be closely involved in the review and
approval of the following: site selection criteria, sites and
recipients of the technical assistance and training, training
curricula, assessment tools, on-site training and technical assistance
sessions and materials, and all project-related reports.
B. Allowable Activities
Proposed activities should be tailored to reflect the orientation,
cross-cultural and mediation needs of local communities. The types of
activities which ORR may fund include, but are not limited to, the
following:
1. Convening a national training and technical assistance work
group for project consultation and design, to identify expert trainers,
and to develop strategies for dissemination of project outcomes;
2. Identifying proven best practices in cross-cultural conflict
resolution and alliance building for the purpose of adapting them to
the training and technical assistance needs of the project
participants;
3. Identifying the needs of State and local agencies for assistance
in orientation, conflict resolution and mediation strategies, and
culturally and linguistically appropriate service delivery;
4. Developing a training plan of orientation, conflict resolution
and mediation for local communities which includes expanding the
involvement and participation of non-refugee local agencies through
such activities as group training and on-site individualized sessions
for all agencies which interface with newly arrived refugees;
5. Developing assessment and evaluation tools, and conducting
assessment of project activities;
6. Developing a list of training and technical resources, and
devising a system for updating and transferring training technology for
future use;
7. Establishing an electronic medium for dissemination of
information and refugee training resources for use by other
practitioners.
C. Application Content
1. A discussion of the purpose of the technical assistance and
training activities to be conducted under the scope of the grant.
2. A comprehensive description of the plan for providing
coordination of project activities at the local, state, and regional
levels.
3. A comprehensive list of proposed sites for the technical
assistance OR a comprehensive list of criteria for site selection.
4. A discussion of the proposed plan for technical assistance and
training for each site and target group.
5. A description of the process to form a national training and
technical assistance workgroup. A list of the criteria for selection of
the task force members.
6. A description of the management of the plan for implementation
of all project activities.
7. A description of the expected measurable outcomes for each
project activity.
8. A list of the proposed project's key personnel and/or
consultants.
9. A proposed budget with narrative justifying each line item.
D. Application Review Criteria
Applications will be reviewed and scored on a competitive basis
against the following evaluative criteria. Points are awarded only to
applications which respond to this competitive area and to these
criteria:
1. The extent to which the purpose of the project is met, including
how the training and technical assistance needs of local sites are
identified and proposed to be met, and the benefits (measurable
outcomes vs. process outcomes) to be gained by each target group. (15
points)
2. The comprehensiveness of the proposed plan for coordination of
project services at the local, state, and regional level. The extent to
which the proposed sites (or site characteristics, if specific sites
have not been selected) are appropriate and directly related to the
objectives of the project. (10 points)
3. The criteria for selection (e.g., qualifications and experience
in working with refugees, and in fields related to the objectives of
the project) of proposed members of the national training and technical
assistance workgroup. (5 points)
4. The quality of the plan of operation and management. The extent
to which the plan of management ensures implementation of project
activities and customer feedback, the adequacy of proposed resources,
and the ability of the applicant to deliver the services in a timely
manner. (20 points)
5. The quality of the proposed training and technical assistance
plan for each site and target group, the appropriateness of training
and personnel resources, and the degree to which the training will
increase the capacity of the trainees to provide quality services to
their refugee clients and/or increase the capability of the trainees to
design and implement cross-cultural and conflict resolution strategies.
(20 points)
6. The qualifications and experiences of key personnel and/or
consultants in working with the target population and in fields related
to the objectives of the project. (10 points)
7. The quality of the proposed plan of assessment of project
activities, and appropriateness of proposed project measurable outcomes
(versus process outcomes). (10 points)
8. The cost-effectiveness and reasonableness of the proposed
budget, and budget narrative. (10 points)
Category 5--Mental Health Services
A. Purpose and Scope
The condition of a refugee's physical and mental health is a major
factor affecting resettlement and socio-economic adjustment. The most
serious mental health conditions, such as depression, anxiety-related
disorders, and post traumatic stress disorders are often seen in
refugees who have experienced severe trauma, physical abuse, and
torture.
Most refugees receive pre- and post-arrival health screening at the
time of their entry into the United States. It is through screenings
that physical health conditions are diagnosed and treated. Serious
mental health conditions are sometimes identified by health screeners
and service providers, but more frequently they are not diagnosed until
much later in the resettlement process. These mental health conditions
interfere with a refugee's progress toward economic self-sufficiency.
Especially vulnerable are refugees who have experienced traumatic
events, such as the death of relatives, loss of home, and witnessing of
atrocities, either before they leave their country of origin and/or
during migration. Some have experienced physical and psychological
torture, deprivation, hunger, isolation, and violence. In addition,
refugees are
[[Page 64863]]
often further traumatized during the resettlement process because their
cultural backgrounds are in sharp contrast with mainstream American
social and cultural practices.
For many, resettlement means mastering a new language and adjusting
to U.S. society and its economy, its expectations, customs, and
cultural values, which may be significantly different from their own.
These challenges confront all refugees, but are more difficult for
those who suffered major physical, social, economic and political
losses.
Less serious, but also a barrier to economic self-sufficiency, are
transitory emotional difficulties which can be characterized as social
adjustment problems. If not adequately addressed, these may accumulate
over time and hamper the resettlement process. Often these problems are
handled by supportive bilingual resettlement staff and ESL teachers who
have an understanding of the refugees' plight and are sensitive to the
challenges and difficulties refugees face. This support often
facilitates the refugees' transition to their adoptive country and
lessens the impact of migration-related stressors, contributing to the
refugees' progress towards self-sufficiency.
Beyond the support from resettlement staff, volunteers, and ESL
teachers, refugees frequently do not receive mental health services.
Most community mental health services do not have bilingual staff who
match the local refugee groups. Also, refugees are often not receptive
to mental health services because of the stigma attached to mental
illness. Direct service workers can become overwhelmed by working with
individuals who have experienced torture and other trauma. Regular
consultation for direct case workers from experienced mental health
professionals can provide useful feedback to improve services to
refugees disabled by trauma and supportive professional relationships.
B. Objectives of ORR
ORR seeks to provide resources to local community organizations to
address the need for mental health interventions in the refugees'
communities in the following ways: staff development training for
bilingual caseworkers, ESL teachers, and volunteers; orientation of
refugees to promote understanding and utilization of supportive
assistance; and orientation of mainstream mental health providers to
the refugee program, to arriving refugee populations, and to multi-
cultural perspectives for effective treatment of refugees. It is ORR's
intent that direct service workers, such as bilingual case managers,
ESL teachers, and volunteers who often provide important support to
refugees, have the benefit of regular consultation for the purpose of
increasing their effectiveness in working with refugees who are
experiencing the results of torture and social adjustment issues due to
migration.
Also, ORR seeks to promote an increase in the level of awareness of
available mental health services among newly arriving refugee
populations that have experienced significant trauma. In addition to
staff development and orientation, it is permissible as part of this
project to provide direct clinical services to refugee patients in
order to expand knowledge and technical expertise related to refugee
groups that have experienced torture and other trauma. The technical
knowledge of each group and the effective treatment strategies gained
through each project shall be made available through written reports
and oral presentations to the ORR refugee resettlement program at
conferences convened by ORR, to the mental health community projects
funded by ORR, and to the Community Mental Health Services, SAMHSA
(PHS). However, the main objective of this category is the expansion
and dissemination of information on effective treatment to direct
workers providing services to the particular refugee group with
associated trauma.
C. Allowable Activities
ORR will accept applications under this Category for the following
activities: (1) ongoing mental health professional consultation,
supervision, and training for bilingual caseworkers, ESL teachers, and
volunteers in working with refugees who are in the process of
resettlement and exhibiting extreme behaviors; (2) orientation to U.S.
mental health services for newly arriving refugees; (3) orientation of
mental health professionals to newly arriving refugees and the programs
of resettlement; and (4) development of a body of technical knowledge
and expertise concerning newly arriving refugees who have experienced
severe trauma and the clinical interventions that are therapeutically
effective with them.
D. Application Content
1. A description of the target population(s) and their need for the
proposed project activities: i.e., orientation; staff development; or
development of technical assistance.
2. A description of the planning process used in developing the
application: the names of the organizations and the roles played in the
planning; a comprehensive list of all organizations in the community
working with the target population; and the manner by which all direct
service professional staff will benefit from the project's orientation,
consultation and training services.
3. A description of the project strategy: orientation; staff
development; and development of technical assistance to address the
target populations' need for mental health services as listed under
``allowable activities.''
4. A statement of the status of need for services and the projected
outcomes expected from the services provided.
5. A description of the management plan providing oversight,
monitoring, and program reports, including the applicant agency's
qualifications to carry out the proposed activities; and key personnel,
including consultants for professional mental health services.
6. A line-item budget with narrative justification for each item.
E. Application Review Criteria
1. Adequacy of the description of the target population(s) and the
need for proposed activities. (10 points)
2. Demonstration that the planning process is community-wide and
comprehensive in addressing the needs of direct service staff for
ongoing professional consultation, supervision, and training in working
with refugees exhibiting needs for mental health services. (20 points)
3. Appropriateness and adequacy of the strategy of services
proposed. (30 points)
4. Relevance and appropriateness of the proposed program outcomes
to the project's objectives. (20 points)
5. Adequacy of the management plan, monitoring plan, and proposed
program reports. Appropriateness of key personnel and consultants
implementing the project. (10 points)
6. Reasonableness of the budget; the completeness of the line-item
narrative. Cost-effectiveness of the budget in providing for the
services. (10 points)
Category 6--Ethnic Community Organizations
A. Purpose and Scope
Respondents to this program category will be of two general types:
(1) Multi-site or national ethnic organizations which propose to
develop or strengthen local ethnic agencies and/or a national network
of ethnic community agencies for purposes of linking refugees to
community resources; or,
(2) Emerging local ethnic organizations which seek to function as
[[Page 64864]]
bridges between newly arrived refugee groups and mainstream local
resources and organizations.
ORR expects to make approximately 4 national and 6 local awards in
this program area.
A community is self-sufficient when it has the capacity to generate
and control its own resources, determine its own goals, set priorities,
plan and mobilize community members, including the elderly, women and
youth, to work together to achieve these goals, and to create
collaborations with others from within and outside the community to
further these goals.
ORR recognizes that one key to strengthening communities is the
development of strong community based organizations (CBOs). A strong
ethnic organization can tap into the community's desire for self-help,
improve services, nurture leaders, raise funds from various sources,
explore housing and economic opportunities, collaborate with mainstream
agencies and groups, and at the same time, remain accountable to the
community.
Strong CBOs can also facilitate positive interaction between
refugees and established residents in mainstream communities. The
ability to organize and to voice their concerns collectively gives
refugees a better sense of identity and hope for their own and their
community's future. Refugee self-help organizations can be important
building blocks for effective resettlement and can function as bridges
between the refugee community and local resources.
Many refugees who arrived in this country during the past two
decades have already organized themselves into self-help groups in
order to assist their own members, to foster long term community
growth, to preserve their cultural heritage, and to assist community
members in securing employment and other social services. More newly
arrived refugee groups, who have come to the United States in recent
years, have not yet organized into self-help groups; consequently, they
may be experiencing barriers to accessing mainstream resources and full
participation in the economic, social, and political activities of the
larger community. They lack information about the process of building
community capacity.
Effective program models for self-help groups result in:
Creating a shared, dynamic vision of the community's
future which inspires members to work together to secure that future;
Moving refugees from being recipients of services and
assistance to being active partners in their integration into
community;
Linking individual self-sufficiency to community self-
sufficiency;
Developing effective leadership within the organization;
Allowing local communities to apply their own cultural,
political and socio-economic values to long term strategies and
programs;
Creating close connections among community needs, program,
and service delivery systems;
Providing avenues for resources that are generated locally
(through service delivery or economic development) to remain within the
community;
Fostering collaboration among refugee and mainstream
service providers, policy makers, and public and private institutions.
In recognition of the special vulnerability of newly arrived
populations, ORR proposes through this announcement to provide funds to
ethnic organizations established among refugee groups who have arrived
in this country since 1991. Target populations range from a minimum of
2,000 to a maximum of 50,000 arrivals from a single country between FY
1992 and FY 1996. (ORR has dedicated other resources toward the ethnic
populations experiencing 100,000 or more arrivals during this period.)
Further, at least 50% of the specific ethnic population currently
in the U.S. should have arrived during the past five years. According
to ORR's data, this includes refugee populations from the former
Yugoslavia, Haiti, Iraq, Somalia, Sudan, and Liberia. Awards, however,
will not be based solely on population numbers, but will be based on
the justification and documentation of the applicant, including such
factors as community service needs and available resources. If an
applicant can demonstrate that its ethnic arrivals meet the minimum
threshold of 2,000 for the same period and correlate with the above
description, the organization representing that refugee population may
submit an application for funds under this announcement. The
application must provide documentation that includes the name, alien
number, date of birth, and date of arrival in the U.S. for each refugee
claimed.
In continuation applications under this category, for the
subsequent second through fifth budget periods, applicants must
demonstrate adequate progress toward project goals and outcomes to be
eligible for continuation funding. In subsequent year continuation
applications, the grantee will be asked to document receipt of non-ORR
funds from other sources toward cost-sharing of the project's
activities. The requirement will be not less than 10% of the requested
funding for the third year award, 20% for the fourth year award, and
30% for the fifth year award. The cost-sharing may be in cash or in-
kind contributions.
B. Allowable Activities
Successful national organization applicants to this notice may
propose activities which may include, but are not limited to, the
following:
Technical assistance and support to local ethnic
organizations
Ethnic community development
Leadership training
Resource development
Public education and agency linkage through an Internet
site
Information dissemination on ethnic-specific issues
Convening of national or regional meetings
Development or translation of ethnic-specific publications
Successful local self-help organization applicants to this notice
may propose any of the following activities:
Public education activities designed to inform the refugee
community about issues essential to functioning effectively in the new
society;
Orientation and assistance to parents in connecting with
school systems and other local public or private institutions;
Information services on health care--information on access
to health care for the uninsured, on health insurance, on health
maintenance organizations, on the importance of preventive health, and
on available universal coverage services, e.g., immunizations;
Pairing refugee individuals or families with community
volunteers;
Leadership training for such activities as community
organizing, fund raising, non-profit management;
Education and training to prepare refugees to become
citizens;
Information and training on the roles of men and women in
the U.S. culture, and against child abuse, sexual harassment and
coercion, and domestic violence, including bilingual staff assistance
for women's shelters and techniques for protection;
Activities designed to improve relations between refugees
and the law enforcement communities;
Developing and operating community centers which serve the
designated, newly arrived refugee population.
The above are examples of services. Applicants may propose other
services,
[[Page 64865]]
to the extent they are consistent with the goals stated above, and may
request funds to cover core or general operating expenses. In all
instances, however, activities must be designed to supplement, rather
than to supplant, the existing array of refugee services available in
the community.
Applicants must give assurance that their governing bodies, boards
of directors, or advisory bodies are knowledgeable and responsive to
refugee concerns. This can be demonstrated through majority refugee
representation on these bodies or through some other way. Women should
be included on these representative bodies, as well.
While activities proposed do not have to be directly employment
related, planning and coalition building should be guided by the
overarching goal of improving the economic condition of refugee
families and of giving them the information needed to adjust socially
and economically to their new country and their new communities.
Non-Allowable Activities: Funds will not be awarded to applicants
for the purpose of engaging in activities of a distinctly political
nature, activities designed exclusively to promote the preservation of
a specific cultural heritage, or activities with an international
objective (i.e., activities related to events in the refugees' country
of origin).
C. Application Content
Applications for Ethnic Community Organizations at the local or
national level (as specified on the SF-424 Application for Federal
Assistance, Boxes 11. and 12.) should contain the following
information:
1. A discussion of the national or local focus relevant to the
refugee ethnicity which the applicant seeks to represent or serve
including numbers and dates of arrival, and an analysis of the need for
this project with reference to the specified population;
2. A description of the applicant's expertise (organizational or
leadership), to include a project staffing plan with staff and
consultant (if proposed) qualifications, evidence of applicant (but not
necessarily the ethnic organization's) nonprofit incorporation, a list
of Board of Directors or representative refugee advisors indicated with
gender, and a discussion of how directors or advisors were chosen;
3. A statement of the project goals and objectives with anticipated
outcomes and results of benefit to the local or national ethnic
community;
4. A description of local or national ethnic community planning and
support to work collaboratively on the project. If the project is
designed to enhance ethnic leadership, the application should describe
how these individuals have been or will be identified and how the
overall community will be brought into the plan;
5. A proposed plan of action, including the scope of activities and
a timetable for implementation;
6. An estimated line item budget narrative with a detailed
justification of how the applicant arrived at estimated costs.
D. Application Review Criteria
Each project proposal will be rated individually by an independent
review panel using the criteria described below. Local level projects
and national/multi-state projects will be ranked separately. In making
awards, the Director will exercise some discretion to ensure that a
range of ethnicities are supported in their self-help efforts under
this program.
1. Degree to which the applicant understands the focus and need of
the relevant ethnic group, as evidenced by the discussion presented.
(10 points)
2. Applicant's capacity, including any enhancement due to proposed
partners or consultants, to implement the proposed plan of action. (15
points)
3. Appropriateness of goals and the extent to which outcomes
proposed are measurable. (20 points)
4. Evidence of ethnic community involvement in the project
planning, suitable identification of project leaders as appropriate,
and support for the plan of action. (15 points)
5. Clarity and appropriateness of the project design, plan of
action and timetable for implementation, and likelihood that proposed
activities and results will benefit the community. (30 points)
6. The budget is reasonable, clearly presented, sufficiently
detailed, and cost effective. (10 points)
Part II. General Application Information and Guidance
All applications which meet the stipulated deadline and other
requirements will be reviewed competitively and scored by an
independent review panel of experts in accordance with ACF grants
policy and the criteria stated below. The results of the independent
review panel scores and explanatory comments will assist the Director
of ORR in considering competing applications. Reviewers' scores will
weigh heavily in funding decisions but will not be the only factors
considered. Applications generally will be considered in order of the
average scores assigned by the reviewers. Highly ranked applications
are not guaranteed funding since other factors are taken into
consideration, including: comments of reviewers and of ACF/ORR
officials; previous program performance of applicants; compliance with
grant terms under previous DHHS grants; audit reports; and
investigative reports. Final funding decisions will be made by the
Director of ORR.
A. Application Preparation and Submission
Availability of Forms--Attachments contain all of the standard
forms necessary for the application for awards under this announcement.
Further, copies of the Federal Register containing this announcement
are available at most local libraries and Congressional District
Offices for reproduction. If copies are not available at these sources,
they may be obtained by writing or telephoning the following office:
Office of Refugee Resettlement, 370 L'Enfant Promenade S.W.,
Washington, D.C. 20447, Telephone: (202) 401-9251.
B. Forms, Certifications, Assurances, and Disclosure
1. Applicants for financial assistance under this announcement must
file the Standard Form (SF) 424, Application for Federal Assistance;
SF-424A, Budget Information--Non-Construction Programs; SF-424B,
Assurances--Non-Construction Programs. The instructions and forms
required for submission of applications are included. The forms may be
reproduced for use in submitting applications. An application with an
original signature and two copies is required.
The two letter designations for the Categories of the Standing
Announcement Discretionary Grants are: category 1, RP; category 2, RU;
category 3, RO; category 4, RB; category 5, RM; and category 6, RE. The
applicant should identify each application accordingly on the face page
of the SF 424, item 11.
2. Budget and Budget Justification--Provide line item detail and
detailed calculations for each budget object class identified on the
Budget Information form. Detailed calculations must include estimation
methods, quantities, unit costs, and other similar quantitative detail
sufficient for the calculation to be duplicated. The detailed budget
must also include a breakout by the funding sources identified in Block
15 of the SF-424.
[[Page 64866]]
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. According to
the instructions for completing the SF-424A and the preparation of the
budget and budget justification, ``Federal resources'' refers only to
the ACF/ORR grant for which you are applying. Non-Federal resources are
all other Federal and non-Federal resources. It is suggested that
budget amounts and computations be presented in a columnar format:
first column, object class categories; second column, Federal budget;
next column(s), non-Federal budget(s), and last column, total budget.
The budget justification should be a narrative.
Personnel: Costs of employee salaries and wages. Identify the
project director and for each staff person, provide the title, time
commitment to the project (in months), time commitment to the project
(as a percentage or full-time equivalent), annual salary, grant salary,
wage rates, etc. Do not include the costs of consultants or personnel
costs of delegate agencies.
Fringe Benefits: Costs of employee fringe benefits unless treated
as part of an approved indirect cost rate.
Provide a breakdown of the amounts and percentages that comprise
fringe benefit costs such as health insurance, FICA, retirement
insurance, taxes, etc.
Travel: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
For each trip, show the total number of traveler(s), travel
destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances. Travel costs for key staff to attend ACF/
ORR-sponsored workshops should be detailed in the budget.
Equipment: Costs of 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.
For each type of equipment requested, provide a description of the
equipment, the cost per unit, the number of units, the total cost, and
a plan for use on the project, as well as use or disposal of the
equipment after the project ends.
Supplies: Costs of all tangible personal property other than that
included under the Equipment category. Specify general categories of
supplies and their costs. Show computations and provide other
information which supports the amount requested.
Contractual: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, etc. Contracts with secondary recipient organizations,
including delegate agencies (if applicable), should be included under
this category.
All procurement transactions shall be conducted in a manner to
provide, to the maximum extent practical, open and free competition. If
procurement competitions were held or if procurement without
competition is being proposed, attach a list of proposed contractors,
indicating the names of the organizations, the purposes of the
contracts, the estimated dollar amounts, and the award selection
process. Justify any anticipated procurement action that is expected to
be awarded without competition and exceed the simplified acquisition
threshold fixed at 41 USC 403(11). Recipients might be required to make
available to ACF pre-award review and procurement documents, such as
request for proposals or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other: Enter the total of all other costs. Such costs, where
applicable and appropriate, may include but are not limited to
insurance, professional services costs, space and equipment rentals,
printing and publication, computer use, training costs, such as tuition
and stipends, staff development costs, and administrative costs.
Provide computations, a narrative description and a justification
for each cost under this category.
Indirect Costs: This category should be used only when the
applicant currently has an indirect cost rate approved by the
Department of Health and Human Services or another cognizant Federal
agency.
An applicant proposing to charge indirect costs to the grant must
enclose a copy of the current rate agreement. If the applicant
organization is in the process of initially developing or renegotiating
a rate, it should immediately upon notification that an award will be
made, develop a tentative indirect cost rate proposal based on its most
recently completed fiscal year in accordance with the principles set
forth in the cognizant agency's guidelines for establishing indirect
cost rates, and submit it to the cognizant agency. Applicants awaiting
approval of their indirect cost proposals may also request indirect
costs. It should be noted that when an indirect cost rate is requested,
those costs included in the indirect cost pool should not also be
charged as direct costs to the grant. Also, if the applicant is
requesting a rate which is less than what is allowed under the
agreement, the authorized representative of the applicant organization
must submit a signed acknowledgement that the applicant is accepting a
lower rate than allowed.
Program Income: The estimated amount of income, if any, expected to
be generated from this project.
Describe the nature, source and anticipated use of program income
in the budget or refer to the pages in the application which contain
this information. Program income generated under any Federal grant
resulting from this announcement shall be used in one of the following
ways: (1) deducted from the total project costs, (2) under cost-sharing
used for allowable costs to satisfy this requirement, (3) added to
funds committed to the project and used to further program objectives.
For 1 or 2, the income should be used for current costs unless the
awarding agency authorizes deferral to a later period. For 3, there is
no requirement to request prior approval to defer use of program income
for a later period.
Non-Federal Resources: Amounts of non-Federal resources that will
be used to support the project as identified in Block 15 of the SF-424.
The firm commitment of these resources must be documented and
submitted with the application in order to be given credit in the
review process. A detailed budget must be prepared for each funding
source.
3. Applicants must provide the following certifications. Copies of
the forms and assurances are located at the end of this announcement.
a. Certification regarding lobbying if your anticipated award
exceeds $100,000.
b. Certification regarding environmental tobacco smoke. By signing
and submitting the applications, applicant provides certification that
they will comply with the requirements of the Pro-Children Act of 1994
(P.L. 103-227, Part C--Environmental Tobacco Smoke) and need not mail
back the certification with the application.
c. Certification regarding debarment, suspension, and other
Ineligibility. By signing and submitting the applications, applicant
provides certification that
[[Page 64867]]
they are not presently debarred, suspended or otherwise ineligible for
this award and therefore need not mail back the certification with the
application.
d. Drug-Free Workplace Act of 1988.
C. Deadline
1. Mailed applications shall be considered as meeting an announced
deadline if they are received on or before the deadline date or sent on
or before the deadline date and received by ORR in time for the
independent review. Applications should be mailed to: Office of Refugee
Resettlement, Administration for Children and Families, Division of
Community Resettlement, 370 L'Enfant Promenade, S.W., Sixth Floor,
Washington, D.C. 20447, Attention: Standing Competition.
Applicants must ensure that a legibly dated U.S. Postal Service
postmark, or a legibly dated, machine produced postmark of a commercial
mail service appears on the envelope/package containing the
application(s). An acceptable postmark from a commercial carrier is one
which includes the carrier's logo/emblem and shows the date the package
was received by the commercial mail service. Private metered postmarks
shall not be acceptable as proof of timely mailing.
Applications hand-carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m., at the Administration for
Children and Families, Office of Refugee Resettlement, Aerospace
Center, 901 D Street, S.W., Washington, D.C. 20024, between Monday and
Friday (excluding Federal holidays). (Applicants are cautioned that
express/overnight mail services do not always deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
2. Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
3. Extension of deadlines: ACF may extend the deadline for
applicants affected by acts of God such as floods and hurricanes, or
when there is widespread disruption of the mails. A determination to
waive or extend deadline requirements rests with the Chief Grants
Management Officer.
4. Once an application has been submitted, it is considered as
final and no additional materials will be accepted by ACF.
D. Nonprofit Status
Applicants other than public agencies must provide evidence of
their nonprofit status with their applications. Any of the following is
acceptable evidence: (1) A copy of the applicant organization's listing
in the Internal Revenue Service's most recent list of tax-exempt
organizations described in section 501(c)(3) of the IRS Code; or (2) a
copy of the currently valid IRS tax exemption certificate.
E. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.''
As of June 15, 1997, the following jurisdictions have elected not
to participate in the Executive Order process. Applicants from these
jurisdictions need take no action in regard to E.O. 12372: Alabama,
Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, American Samoa, and Palau.
All remaining jurisdictions participate in the E.O. process and
have established Single Points of Contact (SPOCs). A list of the Single
Points of Contact for each State and Territory is included as Appendix
A of this announcement.
Applicants from participating jurisdictions should contact their
SPOCs as soon as possible to alert them to the prospective applications
and receive instructions. Applicants must submit any required material
to the SPOCs as soon as possible so that ORR can obtain and review SPOC
comments as part of the award process. The applicant must submit all
required materials, if any, to the SPOC and indicate the date of this
submittal (or the date of contact if no submittal is required) on the
Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule. When comments
are submitted directly to ACF, they should be addressed to: Department
of Health and Human Services, Administration for Children and Families,
Office of Refugee Resettlement, Division of Community Resettlement, 6th
Floor, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447.
F. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Pub. Law 104-13, the
Department is required to submit to the Office of Management and Budget
(OMB) for review and approval any reporting and record keeping
requirements in regulations, including program announcements. All
information required by this is covered under the OMB Approval No.
0970-0139, ACF Uniform Project Description.
G. Applicable Regulations
Applicable DHHS regulations can be found in 45 CFR part 74 or 92.
H. Reporting Requirements
Grantees are required to file the Financial Status Report (SF-269)
semi-annually and Program Progress Reports on a quarterly basis. Funds
issued under these awards must be accounted for and reported upon
separately from all other grant activities.
Although ORR does not expect the proposed components/projects to
include evaluation activities, it does expect grantees to maintain
adequate records to track and report on project outcomes and
expenditures by budget line item.
The official receipt point for all reports and correspondence is
the ORR Division of Community Resettlement. An original and one copy of
each report shall be submitted within 30 days of the end of each
reporting period directly to the Project Officer named in the award
letter. The mailing address is: 370 L'Enfant Promenade S.W., Sixth
Floor, Washington, D.C. 20447.
A final Financial and Program Report shall be due 90 days after the
budget expiration date or termination of grant support.
(The Catalog of Federal Domestic Assistance [CFDA] number assigned
to this announcement is 93.576)
[[Page 64868]]
Dated: December 1, 1997.
Leonard Glickman,
Acting Director, Office of Refugee Resettlement.
OMB State Single Point of Contact Listing
ARIZONA
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-1305
ARKANSAS
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and Administration,
1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone:
(501) 682-1074, FAX: (501) 682-5206
CALIFORNIA
Grants Coordinator, Office of Planning & Research, 1400 Tenth Street,
Room 121, Sacramento, California 95814, Telephone: (916) 323-7480, FAX:
(916) 323-3018
DELAWARE
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
DISTRICT OF COLUMBIA
Charles Nichols, State Single Point of Contact, Office of Grants Mgmt.
& Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 20005,
Telephone: (202) 727-6554, FAX: (202) 727-1617
FLORIDA
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
GEORGIA
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, Telephone:
(404) 565-3855 or (404) 656-3829, FAX: (404) 656-7938
ILLINOIS
Virginia Bova, State Single Point of Contact, Department of Commerce
and Community Affairs, James R. Thompson Center, 100 West Randolph,
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, FAX:
(312) 814-1800
INDIANA
Frances Williams, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204-2796, Telephone: (317) 232-5619, FAX: (317) 233-3323
IOWA
Steven R. McCann, Division for Community Assistance, Iowa Department of
Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,
Telephone: (515) 242-4719, FAX: (515) 242-4859
KENTUCKY
Ronald W. Cook, Office of the Governor, Department of Local Government,
1024 Capitol Center Drive, Frankfort, Kentucky 40601-8204, Telephone:
(502) 573-2382, FAX: (502) 573-2512
MAINE
Joyce Benson, State Planning Office, State House Station #38, Augusta,
Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
MARYLAND
William G. Carroll, Manager, State Clearinghouse for Intergovernmental
Assistance, Maryland Office of Planning, 301 W. Preston Street--Room
1104, Baltimore, Maryland 21201-3265, Staff Contact: Linda Janey,
Telephone: (410) 225-4490, FAX: (410) 225-4480
MICHIGAN
Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison
Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-
4266
MISSISSIPPI
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
MISSOURI
Lois Pohl, Federal Assistance Clearinghouse, Office of Administration,
P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri
65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
NEVADA
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-
3983
NEW HAMPSHIRE
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX:
(603) 271-1728
NEW MEXICO
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
NEW YORK
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-5617
NORTH CAROLINA
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
NORTH DAKOTA
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
OHIO
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411, Please direct correspondence and questions
about intergovernmental review to: Linda Wise, Telephone: (614) 466-
0698, FAX: (614) 466-5400
RHODE ISLAND
Kevin Nelson, Review Coordinator, Department of Administration/Division
of Planning, One Capitol Hill, 4th Floor, Providence, Rhode Island
02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083.
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning
SOUTH CAROLINA
Rodney Grizzle, State Single Point of Contact, Grant Services, Office
of the Governor, 1205 Pendleton Street--Room 331, Columbia, South
Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
[[Page 64869]]
TEXAS
Tom Adams, Governor's Office, Director, Intergovernmental Coordination,
P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX:
(512) 463-1888
UTAH
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114, Telephone:
(801) 538-1535, FAX: (801) 538-1547
WEST VIRGINIA
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
WISCONSIN
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor, P.O.
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX:
(608) 267-6931
WYOMING
Matthew Jones, State Single Point of Contact, Office of the Governor,
200 West 24th Street, State Capitol, Room 124, Cheyenne, Wyoming 82002,
Telephone: (307) 777-7446, FAX: (307) 632-3909
TERRITORIES
GUAM
Mr. Giovanni, T. Sgambelluri, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone: 011-671-472-2285, FAX: 011-671-472-2825
PUERTO RICO
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-
4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
NORTH MARIANA ISLANDS
Mr. Alvaro A. Santos, Executive Officer, State Single Point of Contact,
Office of Management and Budget, Office of the Governor, Saipan, MP,
Northern Mariana Islands 96950, Telephone: (670) 664-2256, FAX: (670)
664-2272, Contact Person: Ms. Jacoba T. Seman, Federal Programs
Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272
VIRGIN ISLANDS
Nelson Bowry, Director, Office of Management and Budget, #41 Norregade
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands
00802, Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750,
FAX: (809) 776-0069
In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' this listing represents the designated
State Single Points of Contact. The jurisdictions not listed no longer
participate in the process BUT GRANT APPLICANTS ARE STILL ELIGIBLE TO
APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY, COMMONWEALTH, ETC
DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.'' STATES WITHOUT
``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama, Alaska, American
Samoa, Colorado, Connecticut, Kansas, Hawaii, Idaho, Louisiana,
Massachusetts, Palau, Minnesota, Montana, Nebraska, New Jersey,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, and Washington. This list is based on the most current
information provided by the States. Information on any changes or
apparent errors should be provided to the Office of Management and
Budget and the State in question. Changes in the list will only be made
upon formal question. Changes to the list will only be made upon formal
notification by the State. Also, this listing is published biannually
in the Catalogue of Federal Domestic Assistance.
BILLING CODE 4184-01-P
[[Page 64870]]
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BILLING CODE 4184-01-C
[[Page 64871]]
Instructions For The SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the Address Provided By The
Sponsoring Agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State, if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (.e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities.)
13. Self-explanatory.
14. List of applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit allowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 64872]]
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[[Page 64873]]
[GRAPHIC] [TIFF OMITTED] TN09DE97.019
BILLING CODE 4184-01-C
[[Page 64874]]
Instructions for the SF 424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple function or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the total for all columns used.
Section B. Budget Categories
In the column headings (1 ) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k, should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals in Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project.
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing
[[Page 64875]]
the collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.c. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with the provisions of the Hatch
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523); and (h) protection of endangered species
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (41 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984 or
OMB Circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted
BILLING CODE 4184-01-P
[[Page 64876]]
[GRAPHIC] [TIFF OMITTED] TN09DE97.020
[[Page 64877]]
[GRAPHIC] [TIFF OMITTED] TN09DE97.021
BILLING CODE 4184-01-C
[[Page 64878]]
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification is this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact that person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4 debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a low tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other
[[Page 64879]]
remedies available to the Federal Government, the department or
agency may terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and other Responsibility
Matters--Primary Covered transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
BILLING CODE 4184-01-P
[[Page 64880]]
[GRAPHIC] [TIFF OMITTED] TN09DE97.022
BILLING CODE 4184-01-C
[[Page 64881]]
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,''
in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form--LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
Signature--------------------------------------------------------------
Title------------------------------------------------------------------
Organization-----------------------------------------------------------
Date-------------------------------------------------------------------
BILLING CODE 4184-01-P
[[Page 64882]]
[GRAPHIC] [TIFF OMITTED] TN09DE97.023
BILLING CODE 4184-01-C
[[Page 64883]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded soley by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for the children's services and that all subgrantees
shall certify accordingly.
[FR Doc. 97-32073 Filed 12-8-97; 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.