Availability of Financial Assistance for the Mitigation of Environmental Impacts to Indian Lands Due to Department of Defense (DOD) Activities

SUMMARY: The Congress has recognized that DOD activities may have

caused environmental problems for Indian tribes and Alaska Natives.

These environmental hazards can negatively impact the health and safety

as well as the social and economic welfare of Indian tribes and Alaska

Natives. Accordingly, the Congress has taken steps to help those

affected begin to mitigate environmental impacts from DOD activities by

assisting them in the planning, development and implementation of

programs for such mitigation. This environmental mitigation program was

begun through a program announcement published on December 29, 1993 as

a response to the Department of Defense Appropriations Act, Pub.L. 103-

139, which was enacted on November 11, 1993. This program continues

under Pub.L. 103-335 (the Act), enacted on September 30, 1994. Section

8094A of the Act states that funds appropriated to the Department of

Defense (DOD) for Operations and Maintenance Defense-Wide, not less

than $8,000,000 shall be made available until expended to the

Administration for Native Americans. Provided that such funds shall be

made available only for the mitigation of environmental impacts,

including training and technical assistance to tribes, related

administrative support, the gathering of information, documenting of

environmental damage, and developing a system for prioritizing of

mitigation, on Indian lands resulting from Department of Defense

activities.

DATES: The closing dates for submission of applications are March 12,

1999, November 5, 1999 and November 4, 2000.

ADDRESSES: Application Kit: Application kits, approved by the OMB under

control number 0980-0204, which expires August 31, 1999, containing the

necessary forms and instructions to apply for a grant under this

program announcement, may be obtained:

By Mail: Department of Health and Human Services, Administration for

Children and Families, Administration for Native Americans, 370

L'Enfant Promenade, SW, Mail Stop HHH 348-F, Washington, DC 20447-0002,

Attention: Aaron Sadler/Application Kit.

By Telephone: Call Janean Chambers, Telephone: (202) 690-6547.

By Telefax: Fax: (202) 690-7441.

By World-Wide-Web: Copies of this program announcement and many of the

required forms may be obtained electronically at the ANA World Wide Web

Page: http://www.acf.dhhs.gov/programs/ana/index.html

The printed Federal Register notice is the only official program

announcement. Although all reasonable efforts are taken to assure that

the files on the ANA World Wide Web Page containing electronic copies

of this Program Announcement are accurate and complete, they are

provided for information only. The applicant bears sole responsibility

to assure that the copy downloaded and/or printed from any other source

is accurate and complete.

SUPPLEMENTARY INFORMATION:

Part I--Additional Information

A. Introduction and Purpose

The program announcement states the availability of any unobligated

fiscal year 1995 financial assistance to eligible applicants using

funds provided by the DOD through the ANA for the purpose of mitigating

environmental impacts on Indian lands related to DOD activities.

Financial assistance awards made under this program announcement

will be on a competitive basis and the proposals will be reviewed

against the evaluation criteria in this announcement.

The Federal government recognizes that substantial environmental

problems, resultant from defense activities, exist on Indian lands and

will geographically range from border to border and from coast to

coast. The nature and magnitude of the problems will most likely be

better defined when affected Indian tribes and Alaska Natives have

completed environmental assessments called for in Phase I of this four-

phase program.

The Federal government has also recognized that Indian tribes,

Alaska Natives and their tribal organizations must have the opportunity

to develop their own plans and technical capabilities and access the

necessary financial and technical resources in order to assess, plan,

develop and implement programs to mitigate any impacts caused by DOD

activities.

The ANA and the DOD recognize the potential environmental problems

created by DOD activities that may affect air, water, soil and human

and natural resources (i.e., forests, fish, plants). It is also

recognized that potential applicants may have specialized knowledge and

capabilities to address specific concerns at various levels within the

four phase program.

Under this announcement proposals will be accepted for any and all

of the four phases or one specific phase. These phases are:

Phase I--assessment of Indian lands to develop as complete

an inventory as possible of environmental impacts caused by DOD

activities;

Phase II--identification and exploration of alternative

means for mitigation of these impacts and determination of the

technical merit, feasibility and expected costs and benefits of each

approach in order to select one approach;

Phase III--development of a detailed mitigation plan, and

costing and scheduling for implementation of the design, including

strategies for meeting statutory or regulatory requirements and for

dealing with other appropriate Federal agencies; and,

Phase IV--implementation of the mitigation plan.

The availability of funds is contingent upon sufficient final

appropriations. Proposed projects will be reviewed on a competitive

basis against the specific evaluation criteria presented under each

competitive area in this announcement.

ANA continues its policy that an applicant may only submit one

application and no applicant may receive more than one grant including

any existing ANA grant.

ANA introduces two new requirements within the review criteria for

budget proposals in applications. All applicants must clearly

demonstrate a plan for an employee fringe benefit package which

includes an employee retirement plan benefit, and the funding of travel

for key personnel to attend post-award grant management and

administration training sponsored by ANA.

B. Proposed Projects To Be Funded

The purpose of this announcement is to invite single year (twelve

to seventeen months) or multi-year (eighteen to thirty-six months)

proposals

[[Page 3595]]

from eligible applicants to undertake any or all of the Phases.

Applicants may apply for projects of up to 36 months duration. A

multi-year project, requiring more than 12 months to develop and

complete, affords applicants the opportunity to develop more complex

and in-depth projects. Funding after the first 12 month budget period

of an approved multi-year project is non-competitive and subject to

availability of funds.

The following are some known areas of concern. It is expected that

applicants may identify additional areas of concern in their

applications:

Damage to treaty protected spawning habitats caused by

artillery practice or other defense activities;

Damage to Indian lands and improvements (e.g. wells,

fences) and facilities caused by bombing practice;

Damage caused to range and forest lands by gunnery range

activities;

Low-level flights over sacred sites and religious

ceremonies which disrupt spiritual activities;

Movement of soil covering the remains of buried Indian

people and artifacts requiring, by tradition, their reburial in

traditional rituals;

Operation of dams by the Army Corps of Engineers which has

had adverse impacts on spawning beds and treaty fishing rights and

water quality due to problems of siltation; reduced stream flows;

increased water temperatures; and, dredge and fill problems;

Leaking of underground storage tanks on lands taken from

Indians for temporary war-time use by the DOD;

Unexploded ordnance from gunnery and bombing practice on

Indian lands resulting in significant damage to rangelands, wildlife

habitat, stock water wells, etc.;

Disposal activities related to removal of unexploded

ordnance, nuclear waste materials, toxic materials, and biological

warfare materials from Indian lands;

Transportation of live ordnance, nuclear waste, chemical

and biological warfare materials from and across Indian lands;

Seepage of fluids suspected of containing toxic materials

onto Indian lands;

Chlorofluorocarbons (CFC's) resulting from abandoned

containers and/or dumping onto Indian lands;

Polychlorinated biphenyls (PCB's) from transformers which

have been abandoned and/or dumped onto Indian lands;

Public health concerns regarding electromagnetic fields

surrounding Defense-related transmission facilities which cross Indian

lands; and

Reclamation activities required to mitigate any or all of

the above stated conditions and other activities as they become known.

Phase I

The purpose of Phase I is to conduct the research and planning

needed to identify environmental impacts to Indian lands caused by DOD

activities on or near Indian lands and to plan for remedial

investigations to determine and carry out a preliminary assessment of

these problems. These activities may include, but not be limited to,

the following:

Conduct site inspections to identify problems and causes

related to DOD activities;

Identify and develop approaches to handle raw data that

will assist in performing comprehensive environmental assessments of

problems and causes related to DOD activities;

Identify approaches and develop methodologies which will

be used to develop the activities to be undertaken in Phases II and

III;

Identify other Federal agency programs, if any, that must

be involved in mitigation activities and their requirements;

Identify potential technical assistance and expertise

required to address the activities to be undertaken in Phases II and

III; and

Identify other Federal environmental restoration programs

that could be accessed to cooperatively coordinate and mobilize

resources in addressing short and long-term activities developed under

Phase III.

Phase I should result in adequately detailed documentation of the

problems and sources of help in solving them to provide a useful basis

for examining alternative mitigation approaches in Phase II.

Phase II

The purpose of Phase II activities is to examine alternative

approaches for mitigation of the impacts identified in Phase I and to

lead toward the mitigation design to be developed in Phase III. Phase

II activities may include, but need not be limited to the following:

Conduct remedial investigation and/or feasibility studies

as necessary;

Plan for the design of a comprehensive mitigation strategy

to address problems identified during Phase I which address areas such

as land use restoration, clean-up processes, contracting and liability

concerns; regulatory responsibilities; and resources necessary to

implement clean up actions;

Design strategies that coordinate with or are

complementary to existing DOD cleanup programs such as the Defense

Environmental Restoration Program which promotes and coordinates

efforts for the evaluation and cleanup of contamination at DOD

installations;

Review possible interim remedial strategies that address

immediate potential hazards to the public health and environment in

order to provide alternative measures i.e., providing alternate water

supplies, removing concentrated sources of contaminants, or

constructing structures to prevent the spread of contamination;

Identify specific types of technical assistance and

management expertise required to assist in developing specific

protocols for environmental assessments, remedial investigations,

feasibility studies, interim remedial actions and strategic planning

for existing and future mitigation activities;

Review other types of assessments that need to be

considered, reviewed and incorporated into the conduct and/or design

process such as:

Estimates of clean-up cost;

Estimate of impacts of short-term approach;

Estimate of impacts of long-term approach;

Cultural impacts;

Economic impacts;

Human health-risk impacts; and

Document approaches and procedures which have been

developed in order to negotiate with appropriate Federal agencies for

necessary cleanup action and to keep the public informed.

In establishing the basis for a design process, particularly when

there are multiple problems, the applicants may want to consider a

prioritization process as follows:

Emergency situations that require immediate clean-up;

Time-critical sites, i.e. sites where the situation will

deteriorate if action is not taken soon;

Projects with minimum funding requirements;

Projects with intermediate-level funding requirements;

Projects with maximum funding requirements.

Achieving compliance with Federal environmental protection

legislation is the driving force behind all Federal clean-up

activities. The following is a list of major Federal environmental

legislation that should be recognized in a regulatory review as all

Federal, state and local regulatory requirements which could have major

impacts in the design of mitigation strategies:

Indian Environmental General Assistance Program Act of

1992;

[[Page 3596]]

Clean Air Act (CAA);

Clean Water Act (CWA);

Safe Drinking Water Act (SDWA);

Surface Mining Control and Reclamation Act of 1977

(SMCRA);

Marine Protection, Research and Sanctuaries Act of 1972

(MPRSA);

Toxic Substances Control Act (TSCA);

Federal Insecticide, Fungicide, and Rodenticide Act

(FIFRA);

Nuclear Waste Policy Act of 1982 (NWPA);

Comprehensive Environmental Resource Conservation and

Liability Act (CERCLA or Superfund);

Resource Conservation and Recovery Act of 1976 (RCRA);

Hazardous and Solid Waste Amendments of 1984 (HSWA);

National Environmental Policy Act of 1969 (NEPA);

Other Federal legislation that should be included in the regulatory

review and that should be of assistance are the tribal specific

legislative acts, such as:

American Indian Religious Freedom Act;

National Historic Preservation Act of 1991;

Indian Environmental Regulatory Enhancement Act of 1990;

Other regulatory considerations could involve applicable tribal,

village, state and local laws, codes, ordinances, standards, etc. which

should also be reviewed to assist in planning, the mitigation design,

and development of the comprehensive mitigation strategy.

Phase II should result in a carefully documented examination of

alternative approaches and the selection of an approach to be used in

the Phase III design process.

Phase III

The purpose of Phase III is the completion of activities initiated

under Phase II, the initiation of new activities required to implement

programs, and the design of on-site actions required to mitigate

environmental damage from DOD activities.

The Phase III activities may include but need not be limited to:

Development and implementation of a detailed management

plan to: Guide corrective action; resolve issues rising from

overlapping or conflicting jurisdictions; guide a cooperative and

collaborative effort among all parties to ensure there are no

duplicative or conflicting regulatory requirements governing the

cleanup actions; and, establish a tribal or village framework and/or

parameter(s) that will guide the negotiations process for one or

multiple cleanup actions;

Establishment of priorities for mitigation programs when

there are multiple clean-up sites; consider at a minimum the nature of

the hazard involved: such as its physical and chemical characteristics,

including concentrations and mobility of contaminants; the pathway

indicating potential for contaminant transport via surface water,

ground water and air/soil, and any other indicators that are identified

during the environmental assessment, including the prioritization

process identified under Phase II;

Program design and implementation of information

dissemination strategies prior to start up of on-site implementation of

mitigation program activities;

Development of a legal and jurisdictional strategy that

addresses DOD/contractor liability issues to ensure quality, cost-

effective mitigation services, and to evaluate any measures providing

equitable risk between the DOD and the remediation contractor, as well

as to incorporate Tribal Employment Rights Office (TERO) and other

policies and procedures, if required;

Design of an approval process and other processes

necessary for the implementation of tribal and village codes and

regulations for current and future compliance enforcement of all

mitigation actions;

Development/design of a documentation strategy to ensure

all DOD and contractor cleanup activities are conducted and completed

in a environmentally clean and safe manner for the social and economic

welfare, as well as public health of Indian and Alaska Native people

and the surrounding environment;

Development and conduct of certified training programs

that will enable a local work force to become technically capable to

participate in the mitigation activities, if they so choose; and

Conduct of any other activities deemed necessary to carry

out Phase I, II and III activities.

Phase III should result in a comprehensive plan for conducting all

aspects of mitigation action contemplated.

Phase IV

The Phase IV activities are the implementation of mitigation plans

specified in the detailed plan completed in Phase III.

C. Eligible Applicants

The following organizations are eligible to apply:

Federally recognized Indian tribes;

Incorporated Non-Federally and State recognized Indian

tribes;

Nonprofit Alaska Native Community entities, including

Alaska Native villages, or tribal governing bodies (IRA or traditional

councils) as recognized by the Bureau of Indian Affairs;

Nonprofit Alaska Native Regional Associations and/or

Corporations with village specific projects;

Nonprofit Native organizations in Alaska with village

specific projects; and

Other tribal or village organizations or consortia of

Indian tribes.

Applicants must comply with the following administrative policies:

Current grantees under this program may not be eligible

under this announcement:

Current grantees under this program whose grant project

period extends beyond September 30, 1999, or who have requested an

extension of the grant project beyond that date, are not eligible to

apply for a grant under this March 12, 1999, deadline of this

announcement.

Grantees under this program whose grant project period

extends beyond September 30, 2000, or who have requested an extension

of the grant project beyond that date, are not eligible to apply for a

grant under the November 5, 1999, deadline of this announcement.

Grantees under this program whose grant project period

extends beyond September 30, 2001, or who have requested an extention

of the grant project beyond that date, are not eligible to apply for a

grant under the November 4, 2000, deadline of this announcement.

An application from a federally recognized Tribe, Alaska

Native Village or Native American organization must be from the

governing body of the Tribe or organization.

ANA will not accept applications from tribal components

which are tribally-authorized divisions of a larger tribe, unless the

application includes a Tribal resolution which clearly demonstrates the

Tribe's support of the project and the Tribe's understanding that the

other applicant's project supplants the Tribe's authority to submit an

application under that specific competitive area both for the current

competition and for the duration of the approved grant period, should

the application be funded.

If a federally recognized Tribe or Alaska Native village

chooses not to apply, it may support another applicant's project (e.g.,

a tribal organization) which serves or impacts their reservation. In

this case, the applicant must include a Tribal resolution which clearly

demonstrates the Tribe's approval of the project and the Tribe's

understanding that the other

[[Page 3597]]

applicant's project supplants the Tribe's authority to submit an

application under that specific competitive area both for the current

competition and for the duration of the approved grant period, should

the application be funded.

Any non-profit organization submitting an application must

submit proof of its non-profit status in the application at the time of

submission. The non-profit agency can accomplish this by providing a

copy of the applicant's listing in the Internal Revenue Service's (IRS)

most recent list of tax exempt organizations described in Section

501(c)(3) of the IRS code or by providing a copy of the currently valid

IRS tax exemption certificate, or by providing a copy of the articles

of incorporation identifying the organization as non-profit and bearing

the seal of the State in which the corporation or association is

domiciled.

If the applicant, other than a tribe or an Alaska Native

Village government, is proposing a project benefiting Native Americans

or Native Alaskans, or both, it must provide assurance that its duly

elected or appointed board of directors is representative of the

community, to be served. To establish compliance with the requirement

in the regulations for a Board representative of the community,

applicants should provide information establishing that at least ninety

(90) percent of the individuals serving on a non-profit applicant's

board fall into one or more of the following categories: (1) A current

or past member of the community to be served; (2) a prospective

participant or beneficiary of the project to be funded; or (3) have a

cultural relationship with the community to be served. A list of board

members with this information including Tribal or Village affiliation,

is one of the most suitable approaches for demonstrating compliance

with this requirement.

D. Available Funds

Subject to availability of funds, approximately $2.5 million of

financial assistance is available under this program announcement for

eligible applicants. It is expected that about 10 awards will be made,

ranging from $100,000 to $1 million.

Each eligible applicant described above can receive only one grant

award under this announcement.

E. Grantee Share of Project

Grantees must provide at least five (5) percent of the total

approved cost of the project. The total approved cost of the project is

the sum of the Federal share and the non-Federal share. The non-Federal

share may be met by cash or in-kind contributions. The funds for the

match must be from a private source, or state source where the funds

were not obtained from the Federal government by the state, or a

Federal source where legislation or regulation authorizes the use of

these funds for matching purposes.

Therefore, a project requesting $300,000 in Federal funds, must

include a match of at least $15,789 (5% total project cost). Applicants

may request a waiver of the requirement for a 5% non-Federal matching

share. Since the matching requirement is low it is not expected that

waivers will be necessary. However, the procedure for requesting a

waiver can be found in 45 CFR 1336, Subpart E--Financial Assistance

Provision.

As per 45 CFR 74.2, In-Kind contributions are defined as ``the

value of non-cash contributions provided by non-Federal third parties.

Third party-in kind contributions may be in the form of real property,

equipment, supplies and other expendable property, and the value of

goods and services directly benefiting and specifically identifiable to

the project or program.''

An itemized budget detailing the applicant's non-Federal share, and

its source(s), must be included in an application.

If an applicant plans to charge or otherwise seek credit for

indirect costs in its ANA application, a current copy of its Indirect

Cost Agreement must be included in the application.

It is the policy of ANA to apply the waiver of the non-Federal

matching share requirement for the purposes of this particular program

announcement.

F. Review Process

1. Initial Application Review

Applications submitted by the post-marked date under this program

announcement will undergo a pre-review to determine that:

The applicant is eligible in accordance with the Eligible

Applicants Section of this announcement.

The application materials submitted are sufficient to

allow the panel to undertake an in-depth evaluation. (All required

materials and forms are listed in the Grant Application Checklist.)

Applications subjected to the pre-review described above which fail

to satisfy one or more of the listed requirements will be ineligible or

otherwise excluded from competitive evaluation.

2. Competitive Review of Accepted Applications

Applications which pass the pre-review will be evaluated and rated

by an independent review panel on the basis of the specific evaluation

criteria. These criteria are used to evaluate the quality of a proposed

project, and to determine the likelihood of its success.

A proposed project should reflect the purposes stated and described

in the Introduction and Program Purpose (Section A) of this

announcement. No additional weight or preference is given to

applications because of an increased number of phases proposed. Also,

competition is not based on proposals of the same phase or phases but

on the merit of the application independent of phase consideration.

ANA staff cannot respond to requests for information regarding

funding decisions prior to the official notification to the applicants.

After the Commissioner has made decisions on all applications,

unsuccessful applicants are notified in writing within 30 days. The

notification will be accompanied by a critique including

recommendations for improving the application.

3. Appeal of Ineligibility

Applicants who are excluded from competitive evaluation because of

ineligibility, may appeal an ANA decision of applicant ineligibility.

Likewise, applicants may also appeal an ANA decision that an

applicant's proposed activities are ineligible for funding

consideration. The appeals process is stated in the final rule

published in the Federal Register on August 19, 1996 (61 FR 42817).

G. Criteria

The evaluation criteria are:

(1) Goals and Available Resources (15 points):

(a) The application presents specific mitigation goals related to

the proposed project. It explains how the tribe or village intends to

achieve those goals identified in the application and clearly documents

the involvement and support of the community in the planning process

and implementation of the proposed project. The above requirement may

be met by submission of a resolution by a tribe or tribal organization

stating that community involvement has occurred in the project planning

and will occur in the implementation of the project.

(b) The application identifies and documents pre-existing and

planned involvement and support of the community in the planning

process and

[[Page 3598]]

implementation of the proposed project. The type of community you serve

and nature of the proposal being made, will influence the type of

documentation necessary. For example, a Tribe may choose to address

this requirement by submitting a resolution stating that community

involvement has occurred in the project planning or may determine that

additional community support work is necessary.

A tribal organization may submit resolutions supporting the project

proposal from each of its members tribes, as well as a resolution from

the applicant organization. Other examples of documentation include:

Community surveys; minutes of community meetings; questionnaires;

tribal presentations; and/or discussion/position papers.

(c) Available resources (other than ANA and the non-Federal share)

which will assist, and be coordinated with the project are described.

These resources may be personnel, facilities, vehicles or financial and

may include other Federal and non-Federal resources.

These resources should be documented by letters of commitment of

resources, not merely letters of support. ``Letters of commitment'' are

binding when they specifically state the nature, the amount, and

conditions under which another agency or organization will support a

project funded with ANA funds. ``Letters of support'' merely express

another organization's endorsement of a proposed project. Support

letters are not binding commitment letters or do not factually

establish the authenticity of other resources and do not offer or bind

specific resources to the project.

For example, a letter from another Federal agency or foundation

pledging a commitment of $200,000 in construction funding to complement

proposed ANA funded pre-construction activity is evidence of a firm

funding commitment. These resources may be human, natural or financial,

and may include other Federal and non-Federal resources. Statements

that additional funding will be sought from other specific sources are

not considered a binding commitment of outside resources and therefore

carry less significance.

Non-ANA resources should be leveraged to strengthen and broaden the

impact of the proposed project in the community. Project designs should

explain how those parts of projects which ANA does not fund will be

financed through other sources. For example, ANA does not fund

construction. Applicants must show the relationship of non-ANA funded

activities to those objectives and activities that are funded with ANA

grant funds.

(2) Organizational Capabilities and Qualifications (10 points)

(a) The management and administrative structure of the applicant is

explained. Evidence of the applicant's ability to manage a project of

the proposed scope is well defined. The application clearly

demonstrates the successful management of prior or current projects of

similar scope by the organization and/or by the individuals designated

to manage the project.

(b) Position descriptions and/or resumes of key personnel,

including those of consultants, are presented. The position

descriptions and/or resumes relate specifically to the staff proposed

in the Objective Work Plan and in the proposed budget. Position

descriptions very clearly describe each position and its duties and

clearly relate to the personnel staffing required to achieve the

project objectives. Resumes and/or proposed position descriptions

demonstrate that the proposed staff are or will be qualified to carry

out the project activities. Either the position descriptions or the

resumes contain the qualifications and/or specialized skills necessary

for overall quality management of the project. Resumes must be included

if individuals have been identified for positions in the application.

Note: Applicants are strongly encouraged to give preference to

Native Americans in hiring staff and subcontracting services under

an approved ANA grant.

(3) Project Objectives, Approach and Activities (45 points).

The Objective Work Plan in the application includes project

objectives and activities related to the long term goals for each

budget period proposed and demonstrates that these objectives and

activities:

Are measurable and/or quantifiable;

Are based on a fully described and locally determined

balanced strategy for mitigation of impacts to the environment;

Clearly relate to the tribe or village long-range goals

which the project addresses;

Can be accomplished with available or expected resources

during the proposed project period;

Indicate when the objective, and major activities under

each objective will be accomplished;

Specify who will conduct the activities under each

objective; and

Support a project that will be completed, self-sustaining,

or financed by other than ANA funds at the end of the project period.

(4) Results or Benefits Expected (20 points).

The proposed project will result in specific measurable outcomes

for each objective that will clearly contribute to the completion of

the project and will help the tribe or village meet its goals. The

specific information provided in the application on expected results or

benefits for each objective is the basis upon which the outcomes can be

evaluated at the end of each budget year.

(5) Budget (10 points).

There is a detailed budget provided for each budget period

requested which:

Fully explains the budget.

Justifies each line item in the budget categories in

Section B of the Budget Information of the application, including the

applicant's non-Federal share and its source.

Explains sufficiently cost and other detail to facilitate

the determination of cost allowability and the relevance of these costs

to the proposed project.

Demonstrates that the funds requested are appropriate and

necessary for the scope of the project.

Includes sufficient funds for principal representatives

from the applicant organization to travel to one post-award grant

training and technical assistance conference. This travel and training

should occur as soon as practical.

Includes an employee fringe benefit budget that provides

grant-funded employees with a qualified, self-directed, portable

retirement plan in addition to Social Security. ANA will fund at least

five (5) percent of the employer's share, and up to the full grant-

project Federal share of employer contributions when based on a program

providing benefits equally to all grant-and non-grant employees.

ANA considers a retirement plan to be a necessary, reasonable and

allowable cost in accordance with OMB rules. Minimum standards for an

acceptable retirement fringe benefit plan are:

The plan must be ``qualified'', i.e., approved by the

Internal Revenue Service to receive special tax-favored treatment.

The plan exists for the exclusive benefit of the

participants; funds are to be used for retirement and certain other

pre-retirement needs, not for the organization's needs.

The plan must have a vesting schedule that does not exceed

the initial budget period of the ANA grant.

The plan must be a 401(k) for people who work in

corporations or 403(b) plan for people who work for not-for-profit

organizations. An alternate proposal may be submitted for review

[[Page 3599]]

and approval during grant award negotiations. Alternate proposals may

include the use of Individual Retirement Accounts, Money Purchase

Pension Plans, Defined Benefit Pension Plans, Combination Plans, etc.

In no case will a non-qualified deferred compensation plan, e.g.,

Supplemental Executive Retirement Plan (SERPs) or Executive Bonus Plan

be accepted.

H. Contact Information

Georgeline Sparks, Program Specialist, Department of Health and

Human Services, Administration for Children and Families,

Administration for Native Americans, 370 L'Enfant Promenade, SW., Mail

Stop HHH 348-F, Washington, DC 20447, tel: (202) 690-6420, e-mail:

GS[email protected]

I. General Guidance to Applicants

The following is provided to assist applicants to develop a

competitive application.

(1) Program Guidance:

The Administration for Native Americans will fund projects

that present the strongest prospects for meeting the stated purposes of

this program announcement. Projects will not be funded on the basis of

need alone.

In discussing the problems being addressed in the

application, relevant historical data should be included so that the

appropriateness and potential benefits of the proposed project will be

better understood by the reviewers and decision-maker.

Supporting documentation, if available, should be included

to provide the reviewers and decision-maker with other relevant data to

better understand the scope and magnitude of the project.

(2) Technical Guidance:

Applicants are strongly encouraged to have someone other

than the author apply the evaluation criteria in the program

announcement and to score the application prior to its submission, in

order to gain a better sense of its quality and potential

competitiveness in the review process.

ANA will accept only one application under this program

announcement from any one applicant. If an eligible applicant sends two

applications, the one with the earlier postmark will be accepted for

review unless the applicant withdraws the earlier application.

An application from an Indian tribe, Alaska Native Village

or other eligible organization must be submitted by the governing body

of the applicant.

The application's Form 424 must be signed by the

applicant's representative (tribal official or designate) who can act

with full authority on behalf of the applicant.

The Administration for Native Americans suggests that the

pages of the application be numbered sequentially from the first page

and that a table of contents be provided. The page numbering, along

with simple tabbing of the sections, would be helpful and allows easy

reference during the review process.

Two (2) copies of the application plus the original are

required.

The Cover Page should be the first page of an application,

followed by the one-page abstract.

Section B of the Program Narrative should be of sufficient

detail as to become a guide in determining and tracking project goals

and objectives.

The applicant should specify the entire length of the

project period on the first page of the Form 424, Block 13, not the

length of the first budget period. ANA will consider the project period

specified on the Form 424 as governing.

Line 15a of the Form 424 should specify the Federal funds

requested for the first Budget period, not the entire project period.

Applicants proposing multi-year projects need to describe

and submit project objective workplans and activities for each budget

period. (Separate itemized budgets for the Federal and non-Federal

costs should be included).

Applicants for multi-year projects must justify the entire

time-frame of the project and also project the expected results to be

achieved in each budget period and for the total project period.

(3) Grant Administrative Guidance:

The application's Form 424 must be signed by the

applicant's representative authorized to act with full authority on

behalf of the applicant.

The Administration for Native Americans recommends that

the pages of the application be numbered sequentially and that a table

of contents be provided. Simple tabbing of the sections of the

application is also helpful to the reviewers.

An application with an original signature and two

additional copies are required.

The Cover Page (included in the Kit) should be the first

page of an application, followed by the one-page abstract.

The applicant should specify the entire project period

length on the first page of the Form 424, Block 13, not the length of

the first budget period. Should the application propose one length of

project period and the Form 424 specify a conflicting length of project

period, ANA will consider the project period specified on the Form 424

as the request. ANA may negotiate a reduction of the project period.

The approved project period is shown on block 9 of a Financial

Assistance Award.

Line 15a of the Form 424 must specify the Federal funds

requested for the first Budget Period, not the entire project period.

Applicants may propose a 17 month project period. However,

the project period for the first year of a multi-year project may only

be 12 months.

(4) Projects or activities that generally will not meet the

purposes of this announcement.

Proposals from consortia of tribes or villages that are

not specific with regard to support from, and roles of member tribes.

The purchase of real estate or construction.

J. Paperwork Reduction Act of 1995 (Pub. L. 104-13)

Public reporting burden for this collection of information is

estimated to average 29.5 hours per response, including the time for

reviewing instruction, gathering and maintaining the data needed, and

reviewing the collection of information.

The following information collections are included in the program

announcement Application Kit, OMB control number 0980-0204, expires

August 31, 1999.

K. Due Date for Receipt of Applications

The closing dates for applications submitted in response to this

program announcement are March 12, 1999, November 5, 1999 and November

4, 2000.

L. Receipt of Applications

Applications must either be hand delivered or mailed to the address

in PART II, Section E, APPLICATION PROCESS.

The Administration for Native Americans will not accept

applications submitted electronically nor via facsimile (FAX)

equipment.

Deadline

Applications shall be considered as meeting the announced deadline

if they are either:

1. received on or before the deadline date at the place specified

in the program announcement, or

2. sent on or before the deadline date and received by the granting

agency in the time for the independent review under DHHS GAM Chapter 1-

62 (Applicants are cautioned to request a legibly dated U.S. Postal

Service

[[Page 3600]]

postmark or to obtain a legibly dated receipt from a commercial carrier

or U.S. Postal Service. Private Metered postmarks shall not be

acceptable as proof of timely mailing.)

Late Applications

Applications which do not meet the criteria above are considered

late applications. The granting agency shall notify each late applicant

that its application will not be considered in the current competition.

Extension of Deadlines

The granting agency may extend the deadline for all applicants

because of acts of God such as floods, hurricanes, etc., or when there

is a widespread disruption of the mails. However, if the granting

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

waive or extend the deadline for any applicants.

Part II--General Application Information and Guidance

A. Definitions

Funding areas in this program announcement are based on the

following definitions:

Indian land is defined as all lands used by American

Indian tribes and Alaska Native Villages.

A multi-purpose community-based Native American

organization is an association and/or corporation whose charter

specifies that the community designates the Board of Directors and/or

officers of the organization through an elective procedure and that the

organization functions in several different areas of concern to the

members of the local Native American community. These areas are

specified in the by-laws and/or policies adopted by the organization.

They may include, but need not be limited to, economic, artistic,

cultural, and recreational activities, and the delivery of human

services such as health care, day care, counseling, education, and

training.

A multi-year project is a project on a single theme that

requires more than 12 months to complete and affords the applicant an

opportunity to develop and address more complex and in-depth strategies

than can be completed in one year. A multi-year project cannot be a

series of unrelated objectives with activities presented in

chronological order over a two or three year period.

Budget Period is the interval of time (usually 12 months)

into which the project period is divided for budgetary and funding

purposes.

Core administration is funding for staff salaries for

those functions which support the organization as a whole, or for

purposes unrelated to the actual management or implementation of work

conducted under an ANA approved project. However, functions and

activities that are clearly project related are eligible for grant

funding. For example, the management and administrative functions

necessary to carry out an ANA approved project are not considered

``core administration'' and are, therefore, eligible costs.

Additionally, ANA will fund the salaries of approved staff for time

actually and reasonably spent to implement a funded ANA project.

Real Property means land, including land improvements,

structures and appurtenances thereto, excluding movable machinery and

equipment.

Construction is the term which specifies a project

supported through a discretionary grant or a cooperative agreement, to

support the initial building of a facility.

B. Activities That Cannot Be Funded

The Administration for Native Americans does not fund:

Projects that operate indefinitely or require ANA funding

on a recurring basis.

Projects in which a grantee would provide training and/or

technical assistance (T/TA) to other tribes or Native American

organizations which are otherwise eligible to apply to ANA (``third

party T/TA''). However, the purchase of T/TA by a grantee for its own

use or for its members' use (as in the case of a consortium), where T/

TA is necessary to carry out project objectives, is acceptable.

The support of on-going social service delivery programs

or the expansion, or continuation, of existing social service delivery

programs.

ANA will not fund the purchase of real property.

ANA will not fund construction.

Objectives or activities for the support of core

administration of an organization.

Costs of fund raising, including financial campaigns,

endowment drives, solicitation of gifts and bequests, and similar

expenses incurred solely to raise capital or obtain contributions are

unallowable under a grant award.

Projects or activities that generally will not meet the purposes of

this announcement are discussed further in Part I, Section H, General

Guidance to Applicants.

C. Multi-Year Projects

This announcement is soliciting applications for project periods up

to 36 months. Awards, on a competitive basis, will be for a one-year

budget period, although project periods may be as long as 36 months.

Funding after the 12 month budget period of an approved multi-year

project is non-competitive. The non-competitive funding for the second

and third years is contingent upon the grantee's satisfactory progress

in achieving the objectives of the project according to the approved

work plan, the availability of Federal funds, compliance with the

applicable statutory, regulatory and grant requirements, and

determination that continued funding is in the best interest of the

Government.

D. Intergovernmental Review of Federal Programs

This program is not covered by Executive Order 12372.

E. Application Process

(1) Application Submission by Mail:

Each application should include one signed original and two (2)

copies of the grant application, including all attachments. Assurances

and certifications must be completed. Submission of the application

constitutes certification by the applicant that it is in compliance

with Drug-Free Workplace and Debarment and these forms do not have to

be submitted. The application must be hand delivered or mailed by the

closing date to: U.S. Department of Health and Human Services,

Administration for Children and Families, ACYF/Office of Grants

Management, 370 L'Enfant Promenade, S.W., Mail Stop HHH 326-F,

Washington, D.C. 20447-0002, Attention: Lois B. Hodge--ANA No 93612-

993.

(2) Application Submission by Courier:

Hand delivered applications are accepted during the normal working

hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to

the established closing date at: Administration for Children and

Families, ACYF/Office of Grants Managment, ACF Mail Room, Second Floor

Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C.

20024, Attention: Lois B. Hodge, ANA No. 93612-993.

The application must be signed by an individual authorized: (1) to

act for the applicant tribe, village or organization, and (2) to assume

the applicant's obligations under the terms and conditions of the grant

award.

(3) Application Consideration:

The Commissioner of the Administration for Native Americans

determines the final action to be taken

[[Page 3601]]

with respect to each grant application received under this

announcement.

The following points should be taken into consideration by all

applicants:

Incomplete applications and applications that do not

otherwise conform to this announcement will not be accepted for review.

Applicants will be notified in writing of any such determination by

ANA.

Complete applications that conform to all the requirements

of this program announcement are subjected to a competitive review and

evaluation process. An independent review panel consisting of reviewers

familiar with environmental problems of Indian tribes and Alaska Native

villages will evaluate each application against the published criteria

in this announcement. The results of this review will assist the

Commissioner in making final funding decisions.

The Commissioner's decision will also take into account

the comments of ANA staff, state and Federal agencies having

performance related information, and other interested parties.

As a matter of policy the Commissioner will make grant

awards consistent with the stated purpose of the announcement and all

relevant statutory and regulatory requirements under 45 CFR Parts 74

and 92 applicable to grants under this announcement.

After the Commissioner has made decisions on all

applications, unsuccessful applicants will be notified in writing

within approximately 120 days of the closing date. Successful

applicants are notified through an official Financial Assistance Award

(FAA) document. The Administration for Native Americans staff cannot

respond to requests for funding decisions prior to the official

notification to the applicants. The FAA will state the amount of

Federal funds awarded, the purpose of the grant, the terms and

conditions of the grant award, the effective date of the award, the

project period, the budget period, and the amount of the non-Federal

matching share requirement.

(Catalog of Federal Domestic Assistance Program Number 93.612

Native American Programs)

Dated: January 13, 1999.

Gary N. Kimble,

Commissioner, Administration for Native Americans.

[FR Doc. 99-1208 Filed 1-21-99; 8:45 am]

BILLING CODE 4184-01-P