42334 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. 93631–97–02]

Developmental Disabilities: Availability

of Financial Assistance for Projects of

National Significance for Fiscal Year

1997

AGENCY: Administration on

Developmental Disabilities (ADD),

Administration for Children and

Families (ACF).

ACTION: Announcement of availability of

financial assistance for Projects of

National Significance for fiscal year

1997.

SUMMARY: The Administration on

Developmental Disabilities,

Administration for Children and

Families, announces that applications

are being accepted for funding of Fiscal

Year 1997 Projects of National

Significance.

This program announcement consists

of five parts. Part I, the Introduction,

discusses the goals and objectives of

ACF and ADD. Part II provides the

necessary background information on

ADD for applicants. Part III describes

the review process. Part IV describes the

priority under which ADD requests

applications for Fiscal Year 1997

funding of projects. Part V describes in

detail how to prepare and submit an

application. All of the forms and

instructions necessary to submit an

application are published as part of this

announcement following Part V.

No separate application kit is either

necessary or available for submitting

Project of National Significance grant

application. If you have a copy of this

announcement, you have all the

information and forms required to

submit an application.

Grants will be awarded under this

program announcement subject to the

availability of funds for support of these

activities.

DATES: The closing date for submittal of

applications under this announcement

is September 5, 1997. Mailed or

handcarried applications received after

4:30 p.m. on the closing date will be

classified as late.

Deadline: Mailed applications shall be

considered as meeting an announced

deadline if they are received on or

before the deadline time and date at the

U.S. Department of Health and Human

Services, ACF/Administration on

Developmental Disabilities, Third Floor,

200 Independence Avenue SW,

Washington, DC 20201, Attention: Joan

Rucker.

Applications handcarried by

applicants, applicant couriers, other

representatives of the applicant, 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., EST,

at the U.S. Department of Health and

Human Services, ACF/Administration

on Developmental Disabilities,

Mailroom, Rm. G644, 330 Independence

Avenue SW, Washington, DC 20201,

between Monday and Friday (excluding

Federal holidays). This address must

appear on the envelope/package

containing the application with the note

‘‘Attention: Joan Rucker’’. Applicants

using express/overnight services should

allow two working days prior to the

deadline date for receipt of applications.

(Applicants are cautioned that express/

overnight mail services do not always

deliver as agreed.) Any applications

received after 4:30 p.m. on the deadline

date will not be considered for

competition.

ADD cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ADD electronically will not be accepted

regardless of date or time of submission

and time of receipt.

Late Applications: Applications

which do not meet the criteria above are

considered late applications. ADD shall

notify each late applicant that its

application will not be considered in

the current competition.

Extension of Deadlines: ADD may

extend the deadline for all applicants

because of acts of God such as floods

and hurricanes, or when there is

widespread disruption of the mails.

However, if ADD does not extend the

deadline for all applicants, it may not

waive or extend the deadline for any

applicants.

FOR FURTHER INFORMATION CONTACT:

Adele Gorelick (202–690–5982) or Pat

Laird (202–690–7447), Program

Development Division, Administration

on Developmental Disabilities.

Notice of Intent to Submit

Application: If you intend to submit an

application, please send a post card

with the number and title of this

announcement, your organization’s

name and address, and your contact

person’s name, phone and fax numbers,

and e-mail address to: Administration

on Developmental Disabilities, 200

Independence Avenue, Rm. 329D,

Washington, DC, 20201, Attn: Projects

of National Significance.

This information will be used to

determine the number of expert

reviewers needed and to update the

mailing list to whom program

announcements are sent.

SUPPLEMENTARY INFORMATION:

Part I. General Information

A. Goals of the Administration on

Developmental Disabilities

The Administration on

Developmental Disabilities (ADD) is

located within the Administration for

Children and Families (ACF),

Department of Health and Human

Services (DHHS). Although different

from the other ACF program

administrations in the specific

populations it serves, ADD shares a

common set of goals that promote the

economic and social well-being of

families, children, individuals and

communities. Through national

leadership, ACF and ADD envision:

• Families and individuals

empowered to increase their own

economic independence and

productivity;

• Strong, healthy, supportive

communities having a positive impact

on the quality of life and the

development of children;

• Partnerships with individuals,

front-line service providers,

communities, States and Congress that

enable solutions which transcend

traditional agency boundaries;

• Services planned and integrated to

improve client access;

• A strong commitment to working

with Native Americans, persons with

developmental disabilities, refugees and

migrants to address their needs,

strengths and abilities; and

• A community-based approach that

recognizes and expands on the

resources and benefits of diversity.

Emphasis on these goals and progress

toward them will help more

individuals, including people with

developmental disabilities, to live

productive and independent lives

integrated into their communities. The

Projects of National Significance

Program is one means through which

ADD promotes the achievement of these

goals.

B. Purpose of the Administration on

Developmental Disabilities

The Administration on

Developmental Disabilities (ADD) is the

lead agency within ACF and DHHS

responsible for planning and

administering programs which promote

the self-sufficiency and protect the

rights of persons with developmental

disabilities.
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42335

The Developmental Disabilities

Assistance and Bill of Rights Act (42

U.S.C. 6000, et seq.) (the Act) supports

and provides assistance to States and

public and private nonprofit agencies

and organizations to assure that

individuals with developmental

disabilities and their families participate

in the design of and have access to

culturally competent services, supports,

and other assistance and opportunities

that promote independence,

productivity, integration and inclusion

into the community.

In the Act, Congress expressly found

that:

• Disability is a natural part of the

human experience that does not

diminish the right of individuals with

developmental disabilities to enjoy the

opportunity for independence,

productivity, integration and inclusion

into the community;

• Individuals whose disabilities occur

during their developmental period

frequently have severe disabilities that

are likely to continue indefinitely;

• Individuals with developmental

disabilities often require lifelong

specialized services and assistance,

provided in a coordinated and

culturally competent manner by many

agencies, professionals, advocates,

community representatives, and others

to eliminate barriers and to meet the

needs of such individuals and their

families;

The Act further established as the

policy of the United States:

• Individuals with developmental

disabilities, including those with the

most severe developmental disabilities,

are capable of achieving independence,

productivity, integration and inclusion

into the community, and often require

the provision of services, supports and

other assistance to achieve such;

• Individuals with developmental

disabilities have competencies,

capabilities and personal goals that

should be recognized, supported, and

encouraged, and any assistance to such

individuals should be provided in an

individualized manner, consistent with

the unique strengths, resources,

priorities, concerns, abilities, and

capabilities of the individual;

• Individuals with developmental

disabilities and their families are the

primary decision makers regarding the

services and supports such individuals

and their families receive; and play

decision making roles in policies and

programs that affect the lives of such

individuals and their families; and

• It is in the nation’s interest for

people with developmental disabilities

to be employed, and to live

conventional and independent lives as a

part of families and communities.

Toward these ends, ADD seeks to

enhance the capabilities of families in

assisting people with developmental

disabilities to achieve their maximum

potential to support the increasing

ability of people with developmental

disabilities to exercise greater choice

and self-determination; to engage in

leadership activities in their

communities; as well as to ensure the

protection of their legal and human

rights.

The four programs funded under the

Act are:

• Federal assistance to State

developmental disabilities councils;

• State system for the protection and

advocacy of individuals rights;

• Grants to University Affiliated

Programs for interdisciplinary training,

exemplary services, technical

assistance, and information

disssemination; and

• Grants for Projects of National

Significance.

C. Statutory Authorities Covered Under

This Announcement

The Developmental Disabilities

Assistance and Bill of Rights Act of

1996, 42 U.S.C. 6000, et.seq. The

Projects of National Significance is Part

E of the Developmental Disabilities

Assistance and Bill of Rights Act of

1996, 42 U.S.C. 6081, et.seq.

Part II. Background Information For

Applicants

A. Description of Projects of National

Significance

Under Part E of the Act, grants and

contracts are awarded for projects of

national significance that support the

development of national and State

policy to enhance the independence,

productivity, and integration and

inclusion of individuals with

developmental disabilities through:

• Data collection and analysis;

• Technical assistance to enhance the

quality of State developmental

disabilities councils, protection and

advocacy systems, and university

affiliated programs; and

• Other projects of sufficient size and

scope that hold promise to expand or

improve opportunities for people with

developmental disabilities, including:

—Technical assistance for the

development of information and

referral systems;

—Educating policy makers;

—Federal interagency initiatives;

—The enhancement of participation of

minority and ethnic groups in public

and private sector initiatives in

developmental disabilities;

—Transition of youth with

developmental disabilities from

school to adult life; and

—Special pilots and evaluation studies

to explore the expansion of programs

under part B (State developmental

disabilities councils) to individuals

with severe disabilities other than

developmental disabilities.

B. Comments on FY 1997 Proposed

Priority Areas

The notice requesting comments on

the FY 1997 proposed priority areas was

published in the Federal Register on

April 16, 1997 (62 FR 18633). A 60-day

period was required to allow the public

to comment on the proposed areas. After

review and analysis of these comments,

ADD is publishing its final priority in

this announcement.

The public comment notice requested

specific comments and suggestions on

the proposed funding priorities and

recommendations for additional priority

areas to help bring about the increased

independence, productivity, and

integration into the community of

people with developmental disabilities.

ADD received 34 letters by the closing

date in response to the public comment

notice. Commentary was from the

following sources:

• Advocacy agencies, including

national organizations and associations,

national advocacy groups and State/

local advocacy groups;

• Service organizations, including

agencies that provide services for

individuals with developmental

disabilities as well as providing

advocacy services on behalf of a

particular disability, including

developmental disabilities councils;

• Educational systems, including

schools, colleges, and universities,

programs located within a university

setting and University Affiliated

Programs;

• Private agencies, including

national, State, and local nonprofit

organizations;

• Government agencies, including

Federal, State, county, and local

government agencies; and

• Private individuals.

Comments ranged from requests for

copies of the final application

solicitation, to general support, to

informative, clarifying responses for this

year’s proposed funding priorities and

recommendations for other priority

areas. The vast majority supported and

expanded upon what we proposed in

the announcement, in addition to

relating specifically to the program goals

and priorities of the particular agencies

submitting the comments.
42336 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

The comments helped highlight the

concerns of the developmental

disabilities field and have been used in

refining the final priority areas.

After careful review of comments on

‘‘Priority Area 1: Managed Care and

Disability’’, ADD has decided to defer

funding a project in this area. ADD

received little specific guidance on what

should be the critical activities

conducted in this area. This may be due

to the fact that this is still an unknown

area where much activity is taking place

but no results or best practices have

been identified as yet as it relates to

people with developmental disabilities

and families of children with

developmental disabilities. Many of the

activities taking place are projects

supported by federal agencies such as

the Office of Planning and Evaluation

and the Health Care Financing

Administration/ Department of Health

and Human Services, and the National

Institute on Disability and

Rehabilitation Research/Department of

Education. ADD has also supported

various activities in managed care

through funding of a national

clearinghouse on managed care and

long-term support and services for

adults with developmental disabilities

and their families; a joint task force of

the American Association of University

Affiliated Programs and the Center for

the Health Professions (Univ. of

California/ San Francisco) which is

studying the implications of managed

care on professional education, service

delivery, and research issues; and video

and training materials for individuals

with developmental disabilities and

families. ADD realizes this is a critical

area for the constituency it represents

and will re-examine this topic again

when it is developing its priorities for

next fiscal year.

In some of the proposed priority areas

ADD used the phrase ‘‘people with

developmental disabilities and families

of children with developmental

disabilities’’; it became apparent that a

point of clarification is needed

regarding the latter part of the phrase as

it relates to the role of families of adults

with developmental disabilities. ADD

believes that the individual with a

developmental disability should be

afforded both the opportunity and

necessary assistance to express and

make decisions over their own lives but

understands that under certain

circumstances it may be appropriate and

necessary for parents or guardians of

such individuals to be consulted as

primary decision-makers. However,

even when some form of surrogate

decision making is deemed necessary,

adults with developmental disabilities

should be provided the opportunities

and supports to express personal

preferences and choices affecting their

own lives and futures to the maximum

extent feasible. Applicants are

encouraged to give this due

consideration in their proposals.

ADD further recognizes issues around

surrogate decision making and decision

making supports for people with

developmental disabilities to be critical

and timely ones and will also reexamine these topics again when it is

developing its priorities for the next

fiscal year.

Part III. The Review Process

A. Eligible Applicants

Before applications under this

Announcement are reviewed, each will

be screened to determine that the

applicant is eligible for funding as

specified under the selected priority

area. Applications from organizations

which do not meet the eligibility

requirements for the priority area will

not be considered or reviewed in the

competition, and the applicant will be

so informed.

Only public or non-profit private

entities, not individuals, are eligible to

apply under any of the priority areas.

All applications developed jointly by

more than one agency or organization

must identify only one organization as

the lead organization and official

applicant. The other participating

agencies and organizations can be

included as co-participants, subgrantees

or subcontractors.

Nonprofit organizations must submit

proof of nonprofit status in their

applications at the time of submission.

One means of accomplishing this is by

providing a copy of the applicant’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 by providing

a copy of the currently valid IRS tax

exemption certificate, or by providing a

copy of the articles of incorporation

bearing the seal of the State in which

the corporation or association is

domiciled.

ADD cannot fund a nonprofit

applicant without acceptable proof of its

nonprofit status.

B. Review Process and Funding

Decisions

Timely applications under this

Announcement from eligible applicants

received by the deadline date will be

reviewed and scored competitively.

Experts in the field, generally persons

from outside of the Federal Government,

will use the appropriate evaluation

criteria listed later in this Part to review

and score the applications. The results

of this review are a primary factor in

making funding decisions.

ADD reserves the option of discussing

applications with, or referring them to,

other Federal or non-Federal funding

sources when this is determined to be

in the best interest of the Federal

Government or the applicant. It may

also solicit comments from ADD

Regional Office staff, other Federal

agencies, interested foundations,

national organizations, specialists,

experts, States and the general public.

These comments, along with those of

the expert reviewers, will be considered

by ADD in making funding decisions.

In making decisions on awards, ADD

will consider whether applications

focus on or feature: services to

culturally diverse or ethnic populations

among others; a substantially innovative

strategy with the potential to improve

theory or practice in the field of human

services; a model practice or set of

procedures that holds the potential for

replication by organizations

administering or delivering of human

services; substantial involvement of

volunteers; substantial involvement

(either financial or programmatic) of the

private sector; a favorable balance

between Federal and non-Federal funds

available for the proposed project; the

potential for high benefit for low

Federal investment; a programmatic

focus on those most in need; and/or

substantial involvement in the proposed

project by national or community

foundations.

To the greatest extent possible, efforts

will be made to ensure that funding

decisions reflect an equitable

distribution of assistance among the

States and geographical regions of the

country, rural and urban areas, and

ethnic populations. In making these

decisions, ADD may also take into

account the need to avoid unnecessary

duplication of effort.

C. Evaluation Criteria

Using the evaluation criteria below, a

panel of at least three reviewers

(primarily experts from outside the

Federal Government) will review the

applications. To facilitate this review,

applicants should ensure that they

address each minimum requirement in

the priority area description under the

appropriate section of the Program

Narrative Statement.

Reviewers will determine the

strengths and weaknesses of each

application in terms of the evaluation

criteria, provide comments, and assign

numerical scores. The point value

following each criterion heading
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42337

indicates the maximum numerical

weight that each section may be given

in the review process.

All applications will be evaluated

against the following criteria:

1. Objectives and Need for Assistance

(20 points)

The extent to which the application

pinpoints any relevant physical,

economic, social, financial, institutional

or other problems requiring a solution;

demonstrates the need for the

assistance; states the principal and

subordinate objectives of the project;

provides supporting documentation or

other testimonies from concerned

interests other than the applicant; and

includes and/or footnotes relevant data

based on the results of planning studies.

The application must identify the

precise location of the project and area

to be served by the proposed project.

Maps and other graphic aids should be

attached.

2. Results or Benefits Expected (20

points)

The extent to which the application

identifies the results and benefits to be

derived, the extent to which they are

consistent with the objectives of the

application, and the extent to which the

application indicates the anticipated

contributions to policy, practice, theory

and/or research. The extent to which the

proposed project costs are reasonable in

view of the expected results.

3. Approach (35 points)

The extent to which the application

outlines a sound and workable plan of

action pertaining to the scope of the

project, and details how the proposed

work will be accomplished; cites factors

which might accelerate or decelerate the

work, giving acceptable reasons for

taking this approach as opposed to

others; describes and supports any

unusual features of the project, such as

design or technological innovations,

reductions in cost or time, or

extraordinary social and community

involvements; and provides for

projections of the accomplishments to

be achieved. Activities to be carried out

should be listed in chronological order,

showing a reasonable schedule of

accomplishments and target dates.

The extent to which, when applicable,

the application identifies the kinds of

data to be collected and maintained, and

discusses the criteria to be used to

evaluate the results and successes of the

project. The extent to which the

application describes the evaluation

methodology that will be used to

determine if the needs identified and

discussed are being met and if the

results and benefits identified are being

achieved. The application also lists each

organization, agency, consultant, or

other key individuals or groups who

will work on the project, along with a

description of the activities and nature

of their effort or contribution.

4. Staff Background and Organization’s

Experience (25 points)

The application identifies the

background of the project director/

principal investigator and key project

staff (including name, address, training,

educational background and other

qualifying experience) and the

experience of the organization to

demonstrate the applicant’s ability to

effectively and efficiently administer

this project. The application describes

the relationship between this project

and other work planned, anticipated or

under way by the applicant which is

being supported by Federal assistance.

D. Structure of Priority Area

Descriptions

The priority area description is

composed of the following sections:

• Eligible Applicants: This section

specifies the type of organization which

is eligible to apply under the particular

priority area. Specific restrictions are

also noted, where applicable.

• Purpose: This section presents the

basic focus and/or broad goal(s) of the

priority area.

• Background Information: This

section briefly discusses the legislative

background as well as the current stateof-the-art and/or current state-ofpractice that supports the need for the

particular priority area activity.

Relevant information on projects

previously funded by ACF and/or other

State models are noted, where

applicable.

• Minimum Requirements for Project

Design: This section presents the basic

set of issues that must be addressed in

the application. Typically, they relate to

project design, evaluation, and

community involvement. This section

also asks for specific information on the

proposed project. Inclusion and

discussion of these items is important

since they will be used by the reviewers

to evaluate the applications against the

evaluation criteria. Project products,

continuation of the project after Federal

support ceases, and dissemination/

utilization activities, if appropriate, are

also addressed.

• Project Duration: This section

specifies the maximum allowable length

of the project period; it refers to the

amount of time for which Federal

funding is available.

• Federal Share of Project Costs: This

section specifies the maximum amount

of Federal support for the project.

• Matching Requirement: This section

specifies the minimum non-Federal

contribution, either cash or in-kind

match, required.

• Anticipated Number of Projects To

Be Funded: This section specifies the

number of projects ADD anticipates

funding under the priority area.

• CFDA: This section identifies the

Catalog of Federal Domestic Assistance

(CFDA) number and title of the program

under which applications in this

priority area will be funded. This

information is needed to complete item

10 on the SF 424.

Please note that applications under

this Announcement that do not comply

with the specific priority area

requirements in the section on ‘‘Eligible

Applicants’’ will not be reviewed.

Applicants under this Announcement

must clearly identify the specific

priority area under which they wish to

have their applications considered, and

tailor their applications accordingly.

Experience has shown that an

application which is broader and more

general in concept than outlined in the

priority area description is less likely to

score as well as an application more

clearly focused on, and directly

responsive to, the concerns of that

specific priority area.

E. Available Funds

ADD intends to award new grants

resulting from this announcement

during the fourth quarter of fiscal year

1997, subject to the availability of

funding. The size of the awards will

vary. Each priority area description

includes information on the maximum

Federal share of the project costs and

the anticipated number of projects to be

funded.

The term ‘‘budget period’’ refers to the

interval of time (usually 12 months) into

which a multi-year period of assistance

(project period) is divided for budgetary

and funding purposes. The term

‘‘project period’’ refers to the total time

a project is approved for support,

including any extensions.

Where appropriate, applicants may

propose shorter project periods than the

maximums specified in the various

priority areas. Non-Federal share

contributions may exceed the

minimums specified in the various

priority areas.

For multi-year projects, continued

Federal funding beyond the first budget

period, but within the approved project

period, is subject to the availability of

funds, satisfactory progress of the

grantee and a determination that
42338 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

continued funding would be in the best

interest of the Government.

F. Grantee Share of Project Costs

Grantees must provide at least 25%

percent of the total approved cost of the

project. The total approved cost of the

project is the sum of the ACF share and

the non-Federal share. The non-Federal

share may be met by cash or in-kind

contributions, although applicants are

encouraged to meet their match

requirements through cash

contributions. Therefore, a project

requesting $100,000 in Federal funds

(based on an award of $100,000 per

budget period) must include a match of

at least $33,333 (25% total project cost).

An exception to the grantee costsharing requirement relates to

applications originating from American

Samoa, Guam, the Virgin Islands, and

the Commonwealth of the Northern

Mariana Islands. Applications from

these areas are covered under Section

501(d) of Pub. L. 95–134, which requires

that the Department waive ‘‘any

requirement for local matching funds for

grants under $200,000.’’

The applicant contribution must

generally be secured from non-Federal

sources. Except as provided by Federal

statute, a cost-sharing or matching

requirement may not be met by costs

borne by another Federal grant.

However, funds from some Federal

programs benefitting Tribes and Native

American organizations have been used

to provide valid sources of matching

funds. If this is the case for a Tribe or

Native American organization

submitting an application to ADD, that

organization should identify the

programs which will be providing the

funds for the match in its application.

If the application successfully competes

for PNS grant funds, ADD will

determine whether there is statutory

authority for this use of the funds. The

Administration for Native Americans

and the DHHS Office of General Counsel

will assist ADD in making this

determination.

G. Cooperation in Evaluation Efforts

Grantees funded by ADD may be

requested to cooperate in evaluation

efforts funded by ADD. The purpose of

these evaluation activities is to learn

from the combined experience of

multiple projects funded under a

particular priority area.

H. Closed Captioning for Audiovisual

Efforts

Applicants are encouraged to include

‘‘closed captioning’’ in the development

of any audiovisual products.

Part IV. Fiscal Year 1997 Priority Areas

for Projects of National Significance—

Description and Requirements

The following section presents the

final priority areas for Fiscal Year 1997

Projects of National Significance (PNS)

and solicits the appropriate

applications.

Fiscal Year 1997 Priority Area 1:

Technical Assistance and Knowledge

Transfer on Welfare Reform and

Individuals with Developmental

Disabilities and their Families

• Eligible Applicants: State agencies,

public or private nonprofit

organizations, institutions or agencies,

including a consortia of some or all of

the above

• Purpose: Under this priority area,

ADD will issue a Financial Assistance

Award through the instrument of a

cooperative agreement that will outline

the terms of ADD’s involvement as well

as the responsibilities of the recipient

organization or agency in the

development of a national technical

assistance and knowledge transfer

center on effective Welfare Reform for

people with developmental disabilities

and their families.

• Background Information: ADD

finds its mission of promoting the

independence, productivity, inclusion,

and integration of individuals with

developmental disabilities into their

communities to be strikingly similar in

many ways to the goals of welfare

reform.

When we view welfare reform as an

effort not only to assist people to leave

welfare rolls and poverty, the

empowerment of individuals and

families is very much like the outcomes

ADD hopes to see from its efforts at

partnerships to achieve communitybased and consumer-driven programs

and services.

Over a million children and adults

with disabilities and their families will

be directly affected by the

implementation of all aspects of the

Personal Responsibility and Work

Opportunity Reconciliation Act of 1996.

Such individuals and families should

have an equal opportunity to realize the

full promise of Welfare Reform,

including the chance to work their way

out of poverty, while keeping their

families healthy, safe and intact.

• Minimum Requirements for Project

Design: Significant research, best

practices and lessons learned exist in

regard to assisting children and adults

with the full range of developmental

disabilities to live, work and become

contributing members of their families,

communities and nation. States,

communities, businesses, disability

constituencies and others can benefit

from technical assistance aimed at

assisting them to transfer, adapt and

apply such knowledge and practice to

Welfare Reform activities.

Such technical assistance should seek

to better equip these major stakeholders

with the skills, knowledge and expertise

necessary to apply what is already

known to work for persons with

developmental disabilities and their

families to the Welfare Reform context

with respect to:

(1) Assuring the basic civil rights of,

and equal opportunity for, individuals

with developmental disabilities and

their families on the Temporary

Assistance for Needy Families (TANF)

Program;

(2) Making work pay for low-income

parents with disabilities and parents of

children with developmental

disabilities on TANF;

(3) Encouraging job/business creation

by and for low-income families and

individuals with developmental

disabilities;

(4) Increasing the access and

responsiveness of Head Start and Child

Care Programs to families of children

with developmental disabilities and

parents with disabilities;

(5) Supporting and strengthening poor

families experiencing issues

surrounding the challenges of living

with developmental disabilities;

(6) Promoting the safety, healthy

development, permanency and wellbeing of children with developmental

disabilities and their families;

(7) Making welfare reform work for

teen parents and other at-risk young

people with developmental disabilities;

(8) Making tribal welfare reform work

for Native Americans with

developmental disabilities and their

families;

(9) Making welfare reform work for

‘‘Qualified Aliens’’ (as defined in 8

U.S.C. § 1612) with developmental

disabilities and their families; and

(10) Enhancing child support

enforcement.

The mission of a national technical

assistance and knowledge transfer

center on effective Welfare Reform for

people with developmental disabilities

and their families would be to work

with States, the disability community,

businesses and others to enhance the

likelihood that adults and children with

developmental disabilities as well as

their families on TANF would have an

opportunity to benefit from all aspects

of Welfare Reform.

Specifically, the center would

establish partnerships with a number of

states each year to develop plans for
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42339

targeted knowledge transfer strategies

and work with all relevant stakeholders

to:

• Track and report on trends and

practices in welfare reform affecting

children and adults with developmental

disabilities and their families;

• Convene working conferences to

develop and share strategies for

responding to opportunities and risks in

Welfare Reform for such individuals

and families;

• Disseminate relevant research

findings pertaining to: (i) the effects of

Welfare Reform on persons with

developmental disabilities and their

families; and, (ii) relationships between

disability, poverty, gender, ethnicity

and dependency on Aid For Dependent

Children (AFDC) and Temporary Aid to

Needy Families (TANF);

• Function as a clearinghouse on all

relevant information, emerging

knowledge, policy, best practices and

research;

• Broker technical assistance,

especially peer-to-peer consultations,

designed to assist such stakeholders to

work together to apply to Welfare

Reform research and best practices

regarding what works for persons with

developmental disabilities and their

families;

• Assist researchers conducting

evaluations of Welfare Reform to assure

that such studies are designed and

carried out with sensitivity to a wide

range of disability policy concerns;

• Track, synthesize, disseminate,

facilitate the adaptation and/or

replication of best or promising

approaches, as well as lessons learned,

especially those supported by

investments of ADD in DD Councils,

Protection and Advocacy Systems,

University Affiliated Programs, Projects

of National Significance and other

Federal or State agencies or foundations;

• Expand leadership development

opportunities among individuals and

families experiencing developmental

disabilities in economically

disadvantaged communities; and,

• Sponsor forums, on-line

conferences and other ongoing

exchanges to facilitate a greater

understanding of the impacts of Welfare

Reform on individuals with

developmental disabilities and their

families on the part of States, the

disability community, foundations,

researchers and others.

There are a number of agencies

engaged in projects or the design of

projects involving research into welfare

reform. ADD award recipients will be

expected to track these electronically

and consolidate information on findings

and contact persons. In particular,

awardees will coordinate with two

projects of the Administration for

Children and Families: Welfare Reform

Studies and Analyses, funded by the

Office of Planning, Research, and

Evaluation; and the Child Care

Inclusion Technical Assistance Project

for Children with Disabilities, funded by

the Child Care Bureau.

In addition, ADD will be funding two

other national center priorities in the

areas of self-determination and

responsible leadership by and for

individuals with developmental

disabilities and families of children

with developmental disabilities and of

analysis of major trends and outcomes

data regarding individuals with

developmental disabilities and their

families. To avoid redundancy in

inevitable areas of overlap as we focus

on capacity building and to facilitate

consistency, it is expected that all

awardees will meet with ADD to share

their approaches and methodology.

ADD will be actively involved in the

design of the project, with details of the

relationship with the awardee and any

subcontractors to be set forth in the

cooperative agreement. Proposals

should include provisions for travel by

key personnel for this purpose.

As a general guide, ADD will expect

to fund only those applications for

projects that incorporate the following

elements:

• Consumer/self-advocate orientation

and participation;

• Key project personnel with direct

life, parental, or familial experience

with living with a disability;

• Strong advisory components that

consist of a majority of individuals with

disabilities and a structure where

individuals with disabilities make real

decisions that determine the outcome of

the project;

• Research reflecting the principles of

participatory action;

• Cultural competency;

• A description of how individuals

with disabilities and their families will

be involved in all aspects of the design,

implementation, and evaluation of the

project;

• Attention to unserved and

inadequately served individuals, having

a range of disabilities from mild to

severe, from diverse backgrounds, rural

and inner-city areas, and migrant,

homeless, and legal immigrant and

refugee families;

• Attention to individuals with

learning disabilities, which in many

instances may meet the definition of

developmental disabilities;

• Attention to issues of mental health,

which may require work flexibility;

• Compliance with the Americans

with Disabilities Act and section 504 of

the Rehabilitation Act of 1973 as

amended (29 U.S.C. 794);

• Collaboration through partnerships

and coalitions;

• Development of the capacity to

communicate and disseminate

information through electronic and

other effective, affordable, and

accessible formats;

• A community-based approach;

• Identification of barriers and

strategies for overcoming barriers;

• An outcome orientation;

• Measurement and ongoing

evaluation, including the participation

of individuals with disabilities in

formulation and implementation;

• Development and establishment of

practices and programs beyond the

project period.

Applications should also include

provisions for the travel of two key

personnel during the first and last year

of the project to Washington, DC for a

one day meeting with ADD staff.

As noted earlier, the award will be

made as a cooperative agreement. While

an organization receiving an award will

not be conducting its project on behalf

of ADD, ADD and the awardee will

work cooperatively in the development

and implementation of the project’s

agenda as described below.

Under the cooperative agreement

mechanism, ADD and the awardee will

share the responsibility for planning the

objectives of the project. The awardee

will have the primary responsibility for

developing and implementing the

activities of the project. ADD will jointly

participate with the awardee in such

activities as clarifying the specific issue

areas to be addressed through periodic

briefings and ongoing consultation,

sharing with awardee its knowledge of

the issues being addressed by past and

current projects, and providing feedback

to awardee about the usefulness to the

field of written products and

information sharing activities. The

details of the relationship between ADD

and awardee will be set forth in the

cooperative agreement to be developed

and signed prior to issuance of the

award.

• Project Duration: This

announcement is requesting

applications for project periods up to

three years under this priority area.

Awards, on a competitive basis, will be

for a one-year budget period, although

project periods may be for three years.

Applications for continuation grants

funded under this priority area beyond

the one-year budget period, but within

the three-year project period, will be

entertained in subsequent years on a
42340 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

non-competitive basis, subject to the

availability of funds, satisfactory

progress of the grantee, and

determination that continued funding

would be in the best interest of the

Government.

• Federal Share of Project Costs: The

Federal share is a range of $300,000–

$400,000 for the first 12-month budget

period or a minimum of $900,000 for a

three-year project period. There is a

possibility of increased funding in year

two and three contingent on additional

funds.

• Matching Requirement: Grantees

must provide at least 25 percent of the

total approved cost of the project. The

total approved cost of the project is the

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

may be met by cash or in-kind

contributions, although applicants are

encouraged to meet their match

requirements through cash

contributions. Therefore, a project

requesting $300,000 in Federal funds

(based on an award of $300,000 per

budget period) must include a match of

at least $100,000 (25% total project

cost).

• Anticipated Number of Projects to

be Funded: It is anticipated that one (1)

project will be funded. Subject to

availability of additional resources in

FY 1998 and the number of acceptable

applications received as a result of this

program announcement, the ADD

Commissioner may elect to select

recipients for the FY 1998 cohort of

programs out of the pool of applications

submitted for FY 1997 funds.

• CFDA: ADD’s CFDA (Code of

Federal Domestic Assistance) number is

93.631—Developmental Disabilities—

Projects of National Significance. This

information is needed to complete item

10 on the SF 424.

Fiscal Year 1997 Priority Area 2:

Technical Assistance and Knowledge

Transfer on Self-Determination and

Responsible Leadership by and for

Individuals with Developmental

Disabilities and Families of Children

with Developmental Disabilities

• Eligible Applicants: State agencies,

public or private nonprofit

organizations, institutions or agencies,

including a consortia of some or all of

the above.

• Purpose: Under this priority area,

ADD will award a grant through a

cooperative agreement to establish a

national technical assistance and

knowledge transfer center on selfdetermination and 21st Century

leadership development. The mission of

such a center would be to work with all

relevant stakeholders to expand and

sustain responsible leadership by and

for people with developmental

disabilities and families of children

with developmental disabilities in

shaping and guiding the

implementation of policies, practices

and approaches which enhance their

own self-determination and selfefficacy.

• Background Information: All

Americans, including people with

developmental and other disabilities,

should experience opportunities and a

sense of community and responsibility

in their lives. One of the central tasks

facing us is to devise ways we as

individuals, families, communities and

a nation can actively promote the

responsibility people with disabilities

have for their own and our collective

lives and futures. Federal legislation

such as the Developmental Disabilities

Act, the Individuals with Disabilities

Education Act and the Americans with

Disabilities Act are all grounded in the

fundamental principle that persons with

disabilities and their families have a

critical need to be, and as a matter of

right ought to be, primary decisionmakers in decisions affecting their lives

and futures.

The majority of the progress we have

made as a society in this regard in the

past quarter century has shown us that

responsible leadership for and by

people with developmental and other

disabilities and their families is a

prerequisite to increasing

independence, productivity, integration

and inclusion of such individuals and

their families. ADD and individual DD

Councils, Protection and Advocacy

Systems and University Affiliated

Programs have found that developing,

nurturing and sustaining strategic,

creative and responsible leadership on

the part of individuals with

developmental and other disabilities

and their families have been among the

most high-yielding long-term

investments made.

Through Projects of National

Significance, ADD has assisted its

grantees to develop and replicate a

variety of innovative, successful

approaches to develop leadership and

self-determination among people with

developmental disabilities and their

families. Most notably, this has taken

the form of early and formative support

of such endeavors as Partners in Policy,

the active participation of families of

children with developmental

disabilities in designing and

implementing of State family support

policies and programs, the Home of

Your Own initiative, personal assistance

system change projects, and targeted

leadership efforts among people of color

with developmental disabilities.

Now more than ever, the States, the

disability community and others require

support and assistance in strategically

working through the cumulative effects

of such issues as Welfare Reform, SSI

changes, managed care and Medicaid

restructuring might have on adults and

children with developmental

disabilities as well as their families.

Responsible leadership by people with

developmental and other disabilities

and their families, is value driven and

recognizes the new and emerging

realities facing State and local

governments today. Such leadership is

critical to finding responsible and cost

effective ways to strengthen the abilities

and opportunities of individuals with

developmental disabilities and families

of children with developmental

disabilities to exercise choice and selfdetermination throughout their daily

lives. This is true in respect to most

people with developmental disabilities

and families of children with

developmental disabilities, but is

particularly the case in regard to those

living in poverty.

ADD is particularly interested in

applications from organizations or

coalitions that have a strong selfadvocacy/consumer base. Such

applicants should demonstrate

significant involvement by people with

developmental disabilities in the

governance, management, and operation

of the center; that is, not just as advisors

but in management and other key staff

positions as well as any subgrantees that

may have a critical role in the project.

• Minimum Requirements for Project

Design: ADD will support a project that

seeks to strengthen and expand

leadership for the 21st Century by and

for people with developmental

disabilities and families of children

with developmental disabilities

through:

• Building, expanding and

strengthening what works in this regard.

• Brokering technical assistance,

especially peer-to-peer consultations,

designed to assist such stakeholders to

work together to apply research and best

practices to enhance the selfdetermination and self-efficacy of

persons with developmental disabilities

and families of children with

developmental disabilities (especially in

States and communities and tribal

governments that have not taken part in

similar initiatives relating to Partners in

Policy, family support, home

ownership, personal assistance, selfdetermination, etc.)

• Expanding self-determination

opportunities and roles for young
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42341

people with and without developmental

disabilities (ages 12–25) as well as

individuals with significant

developmental disabilities and families

of children with developmental

disabilities from economically

disadvantaged communities.

• Convening working conferences to

develop and share strategies for

enhancing self-determination in the

context of the changing roles of the State

and Federal Governments, governmental

reinvention activities, a heightened

focus on achieving results and cost

effectiveness in such areas as welfare

reform, changes in SSI, managed care

and proposals for Medicaid

restructuring.

• Assisting in and disseminating

relevant research findings pertaining to

the prospects for enhancing selfdetermination and supporting the

development of national and State

policy in the changing Federal and State

context described above.

• Functioning as a clearinghouse on

all relevant information, emerging

knowledge, policy, best practices and

research.

• Tracking, synthesizing,

disseminating, facilitating the

adaptation and/or replication of best or

promising approaches, and lessons

learned, especially those supported by

investments of ADD in DD Councils,

Protection and Advocacy Systems,

University Affiliated Programs, Projects

of National Significance and other

Federal or State agencies or foundations.

• Sponsoring forums, on-line

conferences and other ongoing

exchanges to facilitate a greater

understanding of the impacts of welfare

reform, managed care, and other critical

issues on individuals with

developmental disabilities and their

families on the part of States, tribal

governments, the disability community,

foundations, researchers and others.

As a general guide, ADD will expect

to fund only those applications for

projects that incorporate the following

elements:

• Consumer/self-advocate orientation

and participation.

• Key project personnel with direct

life, parental, or familial experience

with living with a disability.

• Strong advisory components that

consist of a majority of individuals with

disabilities and a structure where

individuals with disabilities make real

decisions that determine the outcome of

the grant.

• Research reflecting the principles of

participatory action.

• Cultural competency.

• A description of how individuals

with disabilities and their families will

be involved in all aspects of the design,

implementation, and evaluation of the

project.

• Attention to unserved and

inadequately served individuals, having

a range of disabilities from mild to

severe, from diverse backgrounds, rural

and inner-city areas, migrant, homeless,

and refugee families, with severe

disabilities.

• Compliance with the Americans

with Disabilities Act and Section 504 of

the Rehabilitation Act of 1973 as

amended (29 U.S.C. 794);

• Collaboration through partnerships

and coalitions.

• Development of the capacity to

communicate and disseminate

information and technical assistance

through e-mail and other effective,

affordable, and accessible forms of

electronic communication.

• A community-based approach.

• Responsiveness through systems

change.

• Identification of barriers and

strategies for overcoming barriers.

• Outcome orientation.

• Measurement and ongoing

evaluation, including the participation

of individuals with disabilities in

formulation and implementation.

• Development and establishment of

practices and programs beyond project

period.

• Dissemination of models, products,

best practices, and strategies for

distribution between the networks and

beyond. A plan describing initial

activities is needed between funded

projects as well as at the end of the

project period. These activities should

maintain and share ongoing

information, existing resources of

consultants/experts, and curriculum/

materials with funded projects and

within the network.

Applications should also include

provisions for the travel of two key

personnel during the first and last year

of the project to Washington, DC for a

one day meeting with ADD staff.

As noted earlier, the award will be

made as a cooperative agreement. While

an organization receiving an award will

not be conducting its project on behalf

of ADD, ADD and the awardee will

work cooperatively in the development

and implementation of the project’s

agenda as described below.

Under the cooperative agreement

mechanism, ADD and the awardee will

share the responsibility for planning the

objectives of the project. The awardee

will have the primary responsibility for

developing and implementing the

activities of the project. ADD will jointly

participate with the awardee in such

activities as clarifying the specific issue

areas to be addressed through periodic

briefings and ongoing consultation,

sharing with awardee its knowledge of

the issues being addressed by past and

current projects, and providing feedback

to awardee about the usefulness to the

field of written products and

information sharing activities. The

details of the relationship between ADD

and awardee will be set forth in the

cooperative agreement to be developed

and signed prior to issuance of the

award.

• Project Duration: This

announcement is requesting

applications for project periods up to

three years under this priority area.

Awards, on a competitive basis, will be

for a one-year budget period, although

project periods may be for three years.

Applications for continuation grants

funded under this priority area beyond

the one-year budget period, but within

the three-year project period, will be

entertained in subsequent years on a

non-competitive basis, subject to the

availability of funds, satisfactory

progress of the grantee, and

determination that continued funding

would be in the best interest of the

Government.

• Federal Share of Project Costs: The

Federal share is a range of $300,000–

$400,000 for the first 12-month budget

period or a minimum of $900,000 for a

three-year project period. There is a

possibility of increased funding in year

two and three contingent on additional

funds.

• Matching Requirement: Grantees

must provide at least 25 percent of the

total approved cost of the project. The

total approved cost of the project is the

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

may be met by cash or in-kind

contributions, although applicants are

encouraged to meet their match

requirements through cash

contributions. Therefore, a project

requesting $300,000 in Federal funds

(based on an award of $300,000 per

budget period) must include a match of

at least $100,000 (25% total project

cost).

• Anticipated Number of Projects to

be Funded: It is anticipated that one (1)

project will be funded. Subject to

availability of additional resources in

FY 1998 and the number of acceptable

applications received as a result of this

program announcement, the ADD

Commissioner may elect to select

recipients for the FY 1998 cohort of

programs out of the pool of applications

submitted for FY 1997 funds.

• CFDA: ADD’s CFDA (Code of

Federal Domestic Assistance) number is

93.631—Developmental Disabilities—
42342 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

Projects of National Significance. This

information is needed to complete item

10 on the SF 424.

Fiscal Year 1997 Priority Area 3: The

National Center for the Analysis of

Major Trends and Outcomes Data

Regarding Individuals with

Developmental Disabilities and Their

Families

• Eligible Applicants: State agencies,

public or private nonprofit

organizations, institutions or agencies,

including a consortia of some or all of

the above.

• Purpose: ADD is interested in

awarding a grant through a cooperative

agreement that would accurately

measure, track and report on the extent

to which our society is progressing

toward the goals of strengthening the

capabilities and expanding the

opportunities of individuals with

developmental disabilities and families

of children with developmental

disabilities to exercise choice and selfdetermination throughout their daily

lives. This is crucial to assessing both

the overall effectiveness of the ADD

programs and that of the Nation as a

whole in carrying on this endeavor.

• Background Information: ADD has

supported a number of initiatives

particularly through PNS, and ongoing

projects designed to strengthen, expand

and sustain our collective

understanding of the changing status of

Americans with developmental

disabilities. Most notably was the state

consumer surveys conducted in

preparation for the 1990 Report. This

support has also taken the form of both

the formative and ongoing support for

such endeavors as:

• ADD’s three national data collection

and dissemination projects;

• The development of the ADD

Management Information System;

• The Data Trends Conference

cosponsored with the National Institute

on Disability and Rehabilitation

Research;

• The AAUAP data collection project;

and

• The disability supplement to the

National Health Interview Survey.

• Minimum Requirements for Project

Design: To build on these and other

efforts and to further foster the pursuit

of excellence through its leadership and

that of its programs, ADD proposes to

fund a National Center for the Analysis

of Major Trends and Outcomes Data

Regarding Individuals with

Developmental Disabilities and Their

Families. The mission of such a center

would be to work with all relevant

stakeholders around a number of tasks

that could include the following:

(1) Build and expand upon current

and past efforts undertaken by ADD and

others in this area;

(2) Identify, synthesize, and report on

major data sources on major trends

affecting the lives, well being and

futures of all Americans, including

those with developmental and other

disabilities as well as their families;

(3) Identify, synthesize, and report on

major data sources on major trends

specific to the lives, well being and

futures of individuals with

developmental disabilities and their

prospects for their increased

independence, productivity, integration

and inclusion as well as greater choice

and self determination throughout their

everyday lives;

(4) Develop, continually improve, and

work with ADD, its programs and all

other relevant Federal, State and private

entities to infuse outcome measures and

other indicators which accurately reflect

the status of persons with

developmental disabilities and the

families of children with developmental

disabilities into major surveys and

studies;

(5) Develop in close consultation and

collaboration with individuals with

developmental disabilities and families

of children with developmental

disabilities a prototypical survey

instrument to assess the extent to which

such individuals and families believe

they have opportunities to exercise

meaningful choice and self

determination as well as to carry out

personal responsibilities in life, and

which: (a) Is compatible with the state

consumer survey used in preparation for

the 1990 Report, (b) can be reliably and

cost effectively administered to a

representative national sample, (c) can

be easily adapted and used for a variety

of related purposes, and (d) accurately

assesses the status of individuals with

developmental disabilities and families

of children with developmental

disabilities who are members of racial,

cultural or ethnic minority groups;

(6) Develop a prototypical public

opinion survey instrument which can be

reliably and cost effectively

administered to a representative

national sample of the general public at

least once every five years to assess the

extent to which the public (a) perceives

individuals with developmental

disabilities and families with children

with developmental disabilities as

having opportunities to exercise choice

and self determination as well as to

carry out personal responsibilities; and

(b) values the exercise of self

determination and personal

responsibilities both in their own lives

and in the lives of persons with

developmental disabilities and their

families;

(7) Develop, in close consultation and

collaboration with ADD, its programs

and all other relevant Federal, State and

private entities, cost effective and

readily implementable strategies for,

and providing technical assistance in,

carrying out activities related to the

survey instruments described above;

(8) Produce, in close consultation and

collaboration with ADD, its programs

and all other relevant Federal, State and

private entities, a State of Americans

with developmental disabilities and

their families report which then could

be replicated at least once every five

years;

(9) Function as a clearinghouse on all

relevant information, emerging

knowledge, and research concerning the

status of individuals with

developmental disabilities and the

families of children with developmental

disabilities in American society; and,

(10) Sponsor forums, on line

conferences and other on-going

exchanges relative to activities or

strategies for continually improving

efforts to accurately measure, track and

report on the extent to which our

society is making progress toward

achieving its goals of increasing the self

determination, personal responsibility,

independence, productivity, integration

and inclusion of Americans with

developmental disabilities in everyday

life.

As a general guide, ADD will expect

to fund only those applications for

projects that incorporate the following

elements:

• Consumer/self-advocate orientation

and participation.

• Key project personnel with direct

life, parental, or familial experience

with living with a disability.

• Strong advisory components that

consist of a majority of individuals with

disabilities and a structure where

individuals with disabilities make real

decisions that determine the outcome of

the grant.

• Research reflecting the principles of

participatory action.

• Cultural competency.

• A description of how individuals

with disabilities and their families will

be involved in all aspects of the design,

implementation, and evaluation of the

project.

• Attention to unserved and

inadequately served individuals, having

a range of disabilities from mild to

severe, from diverse backgrounds, rural

and inner-city areas, migrant, homeless,

and refugee families, with severe

disabilities.
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42343

• Compliance with the Americans

with Disabilities Act and Section 504 of

the Rehabilitation Act of 1973 as

amended (29 U.S.C. 794);

• Collaboration through partnerships

and coalitions.

• Development of the capacity to

communicate and disseminate

information and technical assistance

through e-mail and other effective,

affordable, and accessible forms of

electronic communication.

Details of the relationship between

ADD and awardee will be set forth in

the cooperative agreement to be

developed and signed prior to issuance

of the award.

• Project Duration: This

announcement is requesting

applications for project periods up to

three years under this priority area.

Awards, on a competitive basis, will be

for a one-year budget period, although

project periods may be for three years.

Applications for continuation grants

funded under this priority area beyond

the one-year budget period, but within

the three-year project period, will be

entertained in subsequent years on a

non-competitive basis, subject to the

availability of funds, satisfactory

progress of the grantee, and

determination that continued funding

would be in the best interest of the

Government.

• Federal Share of Project Costs: The

Federal share is a range of $300,000–

$400,000 for the first 12-month budget

period or a minimum of $900,000 for a

three-year project period. There is a

possibility of increased funding in year

two and three contingent on additional

funds.

• Matching Requirement: Grantees

must provide at least 25 percent of the

total approved cost of the project. The

total approved cost of the project is the

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

may be met by cash or in-kind

contributions, although applicants are

encouraged to meet their match

requirements through cash

contributions. Therefore, a project

requesting $300,000 in Federal funds

(based on an award of $300,000 per

budget period) must include a match of

at least $100,000 (25% total project

cost).

• Anticipated Number of Projects To

Be Funded: It is anticipated that one (1)

project will be funded. Subject to

availability of additional resources in

FY 1998 and the number of acceptable

applications received as a result of this

program announcement, the ADD

Commissioner may elect to select

recipients for the FY 1998 cohort of

programs out of the pool of applications

submitted for FY 1997 funds.

• CFDA: ADD’s CFDA (Code of

Federal Domestic Assistance) number is

93.631—Developmental Disabilities—

Projects of National Significance. This

information is needed to complete item

10 on the SF 424.

Part V. Instructions for the

Development and Submission of

Applications

This part contains information and

instructions for submitting applications

in response to this announcement.

Application forms are provided along

with a checklist for assembling an

application package. Please copy and

use these forms in submitting an

application.

Potential applicants should read this

section carefully in conjunction with

the information contained within the

specific priority area under which the

application is to be submitted. The

priority area descriptions are in part IV.

A. Required Notification of the State

Single Point of Contact

This program is covered under

Executive Order (E.O.) 12372,

‘‘Intergovernmental Review of Federal

Programs,’’ and 45 CFR Part 100,

‘‘Intergovernmental Review of

Department of Health and Human

Services Program and Activities.’’ Under

the Order, States may design their own

processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

Note: State/Territory participation in the

Intergovernmental Review Process does

not signify applicant eligibility for

financial assistance under a program. A

potential applicant must meet the

eligibility requirements of the program

for which it is applying prior to

submitting an application to its SPOC,

if applicable, or to ACF.

As of June 1997, the following

jurisdictions have elected not to

participate in the Executive Order

process. Applicants from these

jurisdictions or for projects

administered by Federally-recognized

Indian Tribes need take no action in

regard to E.O. 12372:

Alabama

Alaska

Colorado

Connecticut

Hawaii

Idaho

Kansas

Louisiana

Massachusetts

Minnesota

Montana

Nebraska

New Jersey

Oklahoma

Oregon

Pennsylvania

South Dakota

Tennessee

Vermont

Virginia

Washington

American Samoa

Palau

All remaining jurisdictions participate

in the Executive Order process and have

established Single Point of Contact

(SPOCs). Applicants from participating

jurisdictions should contact their SPOCs

as soon as possible to alert them of the

prospective applications and receive

instructions. Applicants must submit

any required material to the SPOCs as

soon as possible so that the program

office can obtain and review SPOC

comments as part of the award process.

The applicant must submit all required

materials, if any, to the SPOC and

indicate the date of this submittal (or

the date of contact if no submittal is

required) on the Standard Form 424,

item 16a.

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 ADD, they should be

addressed to: Department of Health and

Human Services, ACF/Administration

on Developmental Disabilities, Third

Floor, 200 Independence Avenue SW,

Washington, DC 20201, Attn: 93.631

ADD—Projects of National Significance.

A list of the Single Points of Contact

for each State and Territory is included

at the end of this Part.

B. Notification of State Developmental

Disabilities Planning Councils

A copy of the application must also be

submitted for review and comment to

the State Developmental Disabilities

Council in each State in which the

applicant’s project will be conducted. A

list of the State Developmental

Disabilities Councils is included at the

end of this announcement.

C. Instructions for Preparing the

Application and Completing

Application Forms

The SF 424, SF 424A, SF 424A, Page

2 and Certifications have been reprinted

for your convenience in preparing the

application. You should reproduce

single-sided copies of these forms from
42344 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

the reprinted forms in the

announcement, typing your information

onto the copies. Please do not use forms

directly from the Federal Register

announcement, as they are printed on

both sides of the page.

Please prepare your application in

accordance with the following

instructions:

1. SF 424 Page 1, Application Cover

Sheet

Please read the following instructions

before completing the application cover

sheet. An explanation of each item is

included. Complete only the items

specified.

Top of Page. Enter the single priority

area number under which the

application is being submitted under the

Announcement. An application under

this Announcement should be

submitted under only one priority area.

Item 1. ‘‘Type of Submission’’—

Preprinted on the form.

Item 2. ‘‘Date Submitted’’ and

‘‘Applicant Identifier’’ —Date

application is submitted to ACF and

applicant’s own internal control

number, if applicable.

Item 3. ‘‘Date Received By State’’—

State use only (if applicable).

Item 4. ‘‘Date Received by Federal

Agency’’—Leave blank.

Item 5. ‘‘Applicant Information’’.

‘‘Legal Name’’—Enter the legal name

of applicant organization. For

applications developed jointly, enter the

name of the lead organization only.

There must be a single applicant for

each application.

‘‘Organizational Unit’’—Enter the

name of the primary unit within the

applicant organization which will

actually carry out the project activity.

Do not use the name of an individual as

the applicant. If this is the same as the

applicant organization, leave the

organizational unit blank.

‘‘Address’’—Enter the complete

address that the organization actually

uses to receive mail, since this is the

address to which all correspondence

will be sent. Do not include both street

address and P.O. box number unless

both must be used in mailing.

‘‘Name and telephone number of the

person to be contacted on matters

involving this application (give area

code)’’—Enter the full name (including

academic degree, if applicable) and

telephone number of a person who can

respond to questions about the

application. This person should be

accessible at the address given here and

will receive all correspondence

regarding the application.

Item 6. ‘‘Employer Identification

Number (EIN)’’—Enter the employer

identification number of the applicant

organization, as assigned by the Internal

Revenue Service, including, if known,

the Central Registry System suffix.

Item 7. ‘‘Type of Applicant’’—Selfexplanatory.

Item 8. ‘‘Type of Application’’—

Preprinted on the form.

Item 9. ‘‘Name of Federal Agency’’—

Preprinted on the form.

Item 10. ‘‘Catalog of Federal Domestic

Assistance Number and Title’’—Enter

the Catalog of Federal Domestic

Assistance (CFDA) number assigned to

the program under which assistance is

requested and its title. For all

applications for PNS funding, the

following should be entered, ‘‘93.631—

Developmental Disabilities: Projects of

National Significance.’’

Item 11. ‘‘Descriptive Title of

Applicant’s Project’’—Enter the project

title. The title is generally short and is

descriptive of the project, not the

priority area title.

Item 12. ‘‘Areas Affected by

Project’’—Enter the governmental unit

where significant and meaningful

impact could be observed. List only the

largest unit or units affected, such as

State, county, or city. If an entire unit

is affected, list it rather than subunits.

Item 13. ‘‘Proposed Project’’—Enter

the desired start date for the project and

projected completion date.

Item 14. ‘‘Congressional District of

Applicant/Project’’—Enter the number

of the Congressional district where the

applicant’s principal office is located

and the number of the Congressional

district(s) where the project will be

located. If Statewide, a multi-State

effort, or nationwide, enter ‘‘00.’’

Items 15. Estimated Funding Levels

In completing 15a through 15f, the

dollar amounts entered should reflect,

for a 17-month or less project period,

the total amount requested. If the

proposed project period exceeds 17

months, enter only those dollar amounts

needed for the first 12 months of the

proposed project.

Item 15a. Enter the amount of Federal

funds requested in accordance with the

preceding paragraph. This amount

should be no greater than the maximum

amount specified in the priority area

description.

Items 15b–e. Enter the amount(s) of

funds from non-Federal sources that

will be contributed to the proposed

project. Items b–e are considered costsharing or ‘‘matching funds.’’ The value

of third party in-kind contributions

should be included on appropriate lines

as applicable. For more information

regarding funding as well as exceptions

to these rules, see Part III, Sections E

and F, and the specific priority area

description.

Item 15f. Enter the estimated amount

of program income, if any, expected to

be generated from the proposed project.

Do not add or subtract this amount from

the total project amount entered under

item 15g. Describe the nature, source

and anticipated use of this program

income in the Project Narrative

Statement.

Item 15g. Enter the sum of items 15a–

15e.

Item 16a. ‘‘Is Application Subject to

Review By State Executive Order 12372

Process? Yes.’’—Enter the date the

applicant contacted the SPOC regarding

this application. Select the appropriate

SPOC from the listing provided at the

end of Part IV. The review of the

application is at the discretion of the

SPOC. The SPOC will verify the date

noted on the application.

Item 16b. ‘‘Is Application Subject to

Review By State Executive Order 12372

Process? No.’’—Check the appropriate

box if the application is not covered by

E.O. 12372 or if the program has not

been selected by the State for review.

Item 17. ‘‘Is the Applicant Delinquent

on any Federal Debt?’’—Check the

appropriate box. This question applies

to the applicant organization, not the

person who signs as the authorized

representative. Categories of debt

include audit disallowances, loans and

taxes.

Item 18. ‘‘To the best of my

knowledge and belief, all data in this

application/preapplication are true and

correct. The document has been duly

authorized by the governing body of the

applicant and the applicant will comply

with the attached assurances if the

assistance is awarded.’’—To be signed

by the authorized representative of the

applicant. A copy of the governing

body’s authorization for signature of this

application by this individual as the

official representative must be on file in

the applicant’s office, and may be

requested from the applicant.

Item 18a–c. ‘‘Typed Name of

Authorized Representative, Title,

Telephone Number’’—Enter the name,

title and telephone number of the

authorized representative of the

applicant organization.

Item 18d. ‘‘Signature of Authorized

Representative’’ —Signature of the

authorized representative named in Item

18a. At least one copy of the application

must have an original signature. Use

colored ink (not black) so that the

original signature is easily identified.

Item 18e. ‘‘Date Signed’’—Enter the

date the application was signed by the

authorized representative.
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42345

2. SF 424A—Budget Information—NonConstruction Programs

This is a form used by many Federal

agencies. For this application, Sections

A, B, C, E and F are to be completed.

Section D does not need to be

completed.

Sections A and B should include the

Federal as well as the non-Federal

funding for the proposed project

covering (1) the total project period of

17 months or less or (2) the first year

budget period, if the proposed project

period exceeds 15 months.

Section A—Budget Summary. This

section includes a summary of the

budget. On line 5, enter total Federal

costs in column (e) and total nonFederal costs, including third party inkind contributions, but not program

income, in column (f). Enter the total of

(e) and (f) in column (g).

Section B—Budget Categories. This

budget, which includes the Federal as

well as non-Federal funding for the

proposed project, covers (1) the total

project period of 17 months or less or

(2) the first-year budget period if the

proposed project period exceeds 17

months. It should relate to item 15g,

total funding, on the SF 424. Under

column (5), enter the total requirements

for funds (Federal and non-Federal) by

object class category.

A separate budget justification should

be included to explain fully and justify

major items, as indicated below. The

types of information to be included in

the justification are indicated under

each category. For multiple year

projects, it is desirable to provide this

information for each year of the project.

The budget justification should

immediately follow the second page of

the SF 424A.

Personnel—Line 6a. Enter the total

costs of salaries and wages of applicant/

grantee staff. Do not include the costs of

consultants, which should be included

on line 6h, ‘‘Other.’’

Justification: Identify the principal

investigator or project director, if

known. Specify by title or name the

percentage of time allocated to the

project, the individual annual salaries,

and the cost to the project (both Federal

and non-Federal) of the organization’s

staff who will be working on the project.

Fringe Benefits—Line 6b. Enter the

total costs of fringe benefits, unless

treated as part of an approved indirect

cost rate.

Justification: Provide a break-down of

amounts and percentages that comprise

fringe benefit costs, such as health

insurance, FICA, retirement insurance,

etc.

Travel—6c. Enter total costs of out-oftown travel (travel requiring per diem)

for staff of the project. Do not enter costs

for consultant’s travel or local

transportation, which should be

included on Line 6h, ‘‘Other.’’

Justification: Include the name(s) of

traveler(s), total number of trips,

destinations, length of stay,

transportation costs and subsistence

allowances.

Equipment—Line 6d. Enter the total

costs of all equipment to be acquired by

the project. For State and local

governments, non-profit organizations,

including Federally recognized Indian

Tribes, ‘‘equipment’’ is tangible

personal property having a useful life of

more than one year and acquisition cost

of $5,000 or more per unit. Grantees

may use their own definitions if it does

not exceed these limits. (45 CFR 74.2

and 92.3)

Justification: Equipment to be

purchased with Federal funds must be

justified. The equipment must be

required to conduct the project, and the

applicant organization or its subgrantees

must not have the equipment or a

reasonable facsimile available to the

project. The justification also must

contain plans for future use or disposal

of the equipment after the project ends.

Supplies—Line 6e. Enter the total

costs of all tangible expendable personal

property (supplies) other than those

included on Line 6d.

Justification: Specify general

categories of supplies and their costs.

Contractual—Line 6f. Enter the total

costs of all contracts, including (1)

procurement contracts (except those

which belong on other lines such as

equipment, supplies, etc.) and (2)

contracts with secondary recipient

organizations, including delegate

agencies. Also include any contracts

with organizations for the provision of

technical assistance. Do not include

payments to individuals on this line. If

the name of the contractor, scope of

work, and estimated total costs are not

available or have not been negotiated,

include on Line 6h, ‘‘Other.’’

Justification: Attach a list of

contractors, indicating the names of the

organizations, the purposes of the

contracts, and the estimated dollar

amounts of the awards as part of the

budget justification. Whenever the

applicant/grantee intends to delegate

part or all of the program to another

agency, the applicant/grantee must

complete this section (Section B, Budget

Categories) for each delegate agency by

agency title, along with the supporting

information. The total cost of all such

agencies will be part of the amount

shown on Line 6f. Provide backup

documentation identifying the name of

contractor, purpose of contract, and

major cost elements.

Construction—Line 6g. Not

applicable. New construction is not

allowable.

Other—Line 6h. Enter the total of all

other costs. Where applicable, such

costs may include, but are not limited

to: insurance; medical and dental costs;

noncontractual fees and travel paid

directly to individual consultants; local

transportation (all travel which does not

require per diem is considered local

travel); space and equipment rentals;

printing and publication; computer use;

training costs, including tuition and

stipends; training service costs,

including wage payments to individuals

and supportive service payments; and

staff development costs. Note that costs

identified as ‘‘miscellaneous’’ and

‘‘honoraria’’ are not allowable.

Justification: Specify the costs

included.

Total Direct Charges—Line 6i. Enter

the total of Lines 6a through 6h.

Indirect Charges—6j. Enter the total

amount of indirect charges (costs). If no

indirect costs are requested, enter

‘‘none.’’ Generally, this line should be

used when the applicant (except local

governments) has a current indirect cost

rate agreement approved by the

Department of Health and Human

Services or another Federal agency.

Local and State governments should

enter the amount of indirect costs

determined in accordance with HHS

requirements. When an indirect cost

rate is requested, these costs are

included in the indirect cost pool and

should not be charged again as direct

costs to the grant.

In the case of training grants to other

than State or local governments (as

defined in title 45, Code of Federal

Regulations, part 74), the Federal

reimbursement of indirect costs will be

limited to the lesser of the negotiated (or

actual) indirect cost rate or 8 percent of

the amount allowed for direct costs,

exclusive of any equipment charges,

rental of space, tuition and fees, postdoctoral training allowances,

contractual items, and alterations and

renovations.

For training grant applications, the

entry under line 6j should be the total

indirect costs being charged to the

project. The Federal share of indirect

costs is calculated as shown above. The

applicant’s share is calculated as

follows:

(a) Calculate total project indirect

costs (a*) by applying the applicant’s

approved indirect cost rate to the total

project (Federal and non-Federal) direct

costs.
42346 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

(b) Calculate the Federal share of

indirect costs (b*) at 8 percent of the

amount allowed for total project

(Federal and non-Federal) direct costs

exclusive of any equipment charges,

rental of space, tuition and fees, postdoctoral training allowances,

contractual items, and alterations and

renovations.

(c) Subtract (b*) from (a*). The

remainder is what the applicant can

claim as part of its matching cost

contribution.

Justification: Enclose a copy of the

indirect cost rate agreement. Applicants

subject to the limitation on the Federal

reimbursement of indirect costs for

training grants should specify this.

Total—Line 6k. Enter the total

amounts of lines 6i and 6j.

Program Income—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.

Please cite the page numbers where

program income is discussed.

Justification: Describe the nature,

source, and anticipated use of program

income in the Program Narrative

Statement.

Section C—Non-Federal Resources.

This section summarizes the amounts of

non-Federal resources that will be

applied to the grant. Enter this

information on line 12 entitled ‘‘Totals.’’

Third Party In-kind contributions are

defined in title 45 of the Code of Federal

Regulations, Parts 74.2 and 92.3, 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.’’

Justification: Describe third party inkind contributions, if included.

Section D—Forecasted Cash Needs.

Not applicable.

Section E—Budget Estimate of Federal

Funds Needed For Balance of the

Project. This section should only be

completed if the total project period

exceeds 17 months.

Totals—Line 20. For projects that will

have more than one budget period, enter

the estimated required Federal funds for

the second budget period (months 13

through 24) under column ‘‘(b) First.’’ If

a third budget period will be necessary,

enter the Federal funds needed for

months 25 through 36 under ‘‘(c)

Second.’’ Columns (d) and (e) are not

applicable in most instances, since ACF

funding is almost always limited to a

three-year maximum project period.

They should remain blank.

Section F—Other Budget Information.

Direct Charges—Line 21. Not

applicable.

Indirect Charges—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.

Remarks—Line 23. If the total project

period exceeds 17 months, you must

enter your proposed non-Federal share

of the project budget for each of the

remaining years of the project.

3. Project Summary Description

Clearly mark this separate page with

the applicant name as shown in item 5

of the SF 424, the priority area number

as shown at the top of the SF 424, and

the title of the project as shown in item

11 of the SF 424. The summary

description should not exceed 300

words. These 300 words become part of

the computer database on each project.

Care should be taken to produce a

summary description which accurately

and concisely reflects the proposal. It

should describe the objectives of the

project, the approaches to be used and

the outcomes expected. The description

should also include a list of major

products that will result from the

proposed project, such as software

packages, materials, management

procedures, data collection instruments,

training packages, or videos (please note

that audiovisuals should be closed

captioned). The project summary

description, together with the

information on the SF 424, will

constitute the project ‘‘abstract.’’ It is the

major source of information about the

proposed project and is usually the first

part of the application that the

reviewers read in evaluating the

application.

4. Program Narrative Statement

The Program Narrative Statement is a

very important part of an application. It

should be clear, concise, and address

the specific requirements mentioned

under the priority area description in

Part IV. The narrative should also

provide information concerning how the

application meets the evaluation

criteria, using the following headings:

(a) Objectives and Need for

Assistance;

(b) Results and Benefits Expected;

(c) Approach; and

(d) Staff Background and

Organization’s Experience.

The specific information to be

included under each of these headings

is described in Section C of Part III,

Evaluation Criteria.

The narrative should be typed doublespaced on a single-side of an 81⁄2′′ x 11′′

plain white paper, with 1′′ margins on

all sides. All pages of the narrative

(including charts, references/footnotes,

tables, maps, exhibits, etc.) must be

sequentially numbered, beginning with

‘‘Objectives and Need for Assistance’’ as

page number one. Applicants should

not submit reproductions of larger size

paper, reduced to meet the size

requirement.

The length of the application,

including the application forms and all

attachments, should not exceed 60

pages. This will be strictly enforced. A

page is a single side of an 81⁄2 x 11′′

sheet of paper. Applicants are requested

not to send pamphlets, brochures or

other printed material along with their

application as these pose xeroxing

difficulties. These materials, if

submitted, will not be included in the

review process if they exceed the 60-

page limit. Each page of the application

will be counted to determine the total

length.

5. Organizational Capability Statement

The Organizational Capability

Statement should consist of a brief (two

to three pages) background description

of how the applicant organization (or

the unit within the organization that

will have responsibility for the project)

is organized, the types and quantity of

services it provides, and/or the research

and management capabilities it

possesses. This description should

cover capabilities not included in the

Program Narrative Statement. It may

include descriptions of any current or

previous relevant experience, or

describe the competence of the project

team and its demonstrated ability to

produce a final product that is readily

comprehensible and usable. An

organization chart showing the

relationship of the project to the current

organization should be included.

6. Part V—Assurances/Certifications

Applicants requesting financial

assistance for non-construction projects

must file the Standard Form 424B,

‘‘Assurances: Non-Construction

Programs.’’ Applicants must sign and

return the Standard Form 424B with

their applications.

Applicants must provide a

certification regarding lobbying when

applying for an award in excess of

$100,000. Applicants must sign and

return the certification with their

application.

Applicants must disclose lobbying

activities on the Standard Form LLL
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42347

when applying for an award in excess

of $100,000. Applicants who have used

non-Federal funds for lobbying

activities in connection with receiving

assistance under this announcement

shall complete a disclosure form to

report lobbbying. Applicants must sign

and return the disclosure form, if

applicable, with their applications.

Applicants must make the appropriate

certification that they are not presently

debarred, suspended or otherwise

ineligible for an award. By signing and

submitting the application, the

applicant is providing the certification

regarding environmental tobacco smoke

and need not mail back the certification

with the applications.

Applicants must make the appropriate

certification of their compliance with

the Drug Free Workplace Act of 1988.

By signing and submitting the

application, the applicant is providing

the certification and need not mail back

the certification with the application.

Applicants must make the appropriate

certification of their compliance with

the Pro-Children Act of 1994. By signing

and submitting the application, the

applicant is providing the certification

and need not mail back the certification

with the application.

In addition, applicants are required

under Section 162(c)(3) of the Act to

provide assurances that the human

rights of all individuals with

developmental disabilities (especially

those individuals without familial

protection) who will receive services

under projects assisted under Part E will

be protected consistent with section 110

of the Act (relating to the rights of

individuals with developmental

disabilities). Each application must

include a statement providing this

assurance.

For research projects in which human

subjects may be at risk, a Protection of

Human Subjects Assurance may be

required. If there is a question regarding

the applicability of this assurance,

contact the Office for Research Risks of

the National Institutes of Health at (301)

496–7041.

Copies of the certifications and

assurances are located at the end of this

announcement.

E. Checklist for a Complete Application

The checklist below is for your use to

ensure that your application package

has been properly prepared.

ll One original, signed and dated

application, plus two copies.

Applications for different priority

areas are packaged separately;

ll Application is from an organization

which is eligible under the

eligibility requirements defined in

the priority area description

(screening requirement);

ll Application length does not exceed

60 pages, unless otherwise specified

in the priority area description. A

complete application consists of the

following items in this order:

ll Application for Federal

Assistance (SF 424, REV 4–88);

ll A completed SPOC certification

with the date of SPOC contact

entered in line 16, page 1 of the SF

424 if applicable.

ll Budget Information—NonConstruction Programs (SF 424A,

REV 4–88);

ll Budget justification for Section

B—Budget Categories;

ll Table of Contents;

ll Letter from the Internal Revenue

Service, etc. to prove non-profit

status, if necessary;

llCopy of the applicant’s approved

indirect cost rate agreement, if

appropriate;

llProject summary description and

listing of key words;

llProgram Narrative Statement (See

Part III, Section C);

llOrganizational capability

statement, including an

organization chart;

llAny appendices/attachments;

llAssurances—Non-Construction

Programs (Standard Form 424B,

REV 4–88);

llCertification Regarding Lobbying;

and

llCertification of Protection of

Human Subjects, if necessary.

llCertification Regarding

Environmental Tobacco Smoke;

signature on the application

represents certification.

llCertification Regarding Drug-Free

Workplace; signature on the

application represents certification.

llCertification Regarding

Debarment/Suspension; signature

on the application represents

certification.

F. The Application Package

Each application package must

include an original and two copies of

the complete application. Each copy

should be stapled securely (front and

back if necessary) in the upper left-hand

corner. All pages of the narrative

(including charts, tables, maps, exhibits,

etc.) must be sequentially numbered,

beginning with page one. In order to

facilitate handling, please do not use

covers, binders or tabs. Do not include

extraneous materials as attachments,

such as agency promotion brochures,

slides, tapes, film clips, minutes of

meetings, survey instruments or articles

of incorporation.

G. Paper Reduction Act

Under the Paperwork Reduction Act

of 1995 (Pub. L. 104–13), the

Department is required to submit to

OMB for review and approval any

reporting and record keeping

requirements or program

announcements. This program

announcement meets all information

collection requirements approved for

ACF grant applications under OMB

Control Number 0970–0139.

(Federal Catalog of Domestic Assistance

Number 93.631 Developmental Disabilities—

Projects of National Significance)

Dated: July 29, 1997.

Bob Williams,

Commissioner, Administration on

Developmental Disabilities.

Executive Order 12372—State Single Points

of Contact

Arizona

Joni Saad, Arizona State Clearinghouse, 3800

N. Central Avenue Fourteenth Floor,

Phoenix, Arizona 85012, Telephone (602)

280–1315, FAX # (602) 280–1305

Arkansas

Mr. Tracy L. Copeland, Manager, State

Clearinghouse Office of Intergovernmental

Services, Department of Finance and

Administration, 1515 W. 7th St., Room

412, Little Rock, Arkansas 72203,

Telephone: (501) 682–1074, FAX # (501)

682–5206

California

Grants Coordinator, Office of Planning and

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814, Telephone

(916) 323–7480, FAX # (916) 323–3018

Delaware

Francine Booth, State Single Point of Contact

Executive Department, Thomas Collins

Building, Dover, Delaware 19903,

Telephone: (302) 739–3326, FAX # (302)

739–5661

District of Columbia

Charles Nichols, State Single Point of Contact

Office of Grants Management and

Development, 717 14th Street, N.W.—Suite

500, Washington, D.C. 20005, Telephone:

(202) 727–6551, 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, Coordinator, Georgia State

Clearinghouse, 270 Washington Street,

S.W.—8th Floor, Atlanta, Georgia 30334,

Telephone: (404) 656–3855, FAX # (404)

656–3828

Illinois

Virginia Bova, State Single Point of Contact,

James R. Thompson Center, 100 West

Randolph, Suite 3–400, Chicago, Illinois
42348 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

60601, Telephone: (312) 814–6028, FAX #

(312) 814–1800

Indiana

Frances E. Williams, State Budget Agency,

212 State House, Indianapolis, Indiana

46204, Telephone: (317) 232–2972, 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, Plan and Project

Review, Maryland Office of Planning, 301

W. Preston Street—Room 1104, Baltimore,

Maryland 21201–2365, Staff Contact: Linda

Janey, Telephone: (410) 767–4490, FAX #

(410) 767–4480

Michigan

Richard Pfaff, Southeast Michigan Council of

Governments, 660 Plaza Drive—Suite 1900,

Detroit, Michigan 48226, Telephone: (313)

961–4266, FAX # (313) 961–4869

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, James

E. Bieber, 21⁄2 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

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

Texas

Tom Adams, Governors Office, Director,

Intergovernmental Coordination, P.O. Box

12428, Austin, Texas 78711, Telephone:

(512) 463–1771, FAX # (512) 463–1880

Utah

Carolyn Wright, Utah State Clearinghouse,

Office of Planning and Budget, Room 116

State Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538–1535, FAX # (801)

538–1547

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 (SPOC)

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

Northern Mariana Islands

Mr. Alvaro A. Santos, Executive Officer,

Office of Management and Budget, Office

of the Governor, Saipan, MP 96950,

Telephone: (670) 664–2256, FAX: # (670)

664–2272

Contact person:

Ms. Jacoba T. Seman, Federal Programs

Coordinator, Telephone: (670) 664–2289,

FAX # (670) 664–2272

Virgin Islands

Nellon 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

State Developmental Disabilities Planning

Councils

Alabama

Joan B. Hannah, Ed.D., Executive Director,

Alabama Developmental Disabilities

Planning Council, RSA Union Building,

PIPA, 100 North Union Street, Post Office

Box 301410, Montgomery, Alabama 36130–

1210, Phone: (334) 242–3973; 1–800–232–

2158; 1–800–846–3735, FAX # (334) 242–

0797

Alaska

David Maltman, Exec. Director, Governor’s

Council on Disabilities and Special

Education, DavidlM@hss.state.ak.us, P.O.

Box 240249, Anchorage, Alaska 99524–

0249, Phone: (907) 269–8990, FAX # (907)

269–8995

American Samoa

Henry Sesepasara, Executive Director,

American Samoa Developmental

Disabilities Council, P.O. Box 194, Pago

Pago, American Samoa 96799, Phone: 011

(684) 633–2919, FAX same as phone, call

first
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42349

Arizona

Bill Hixon, Acting Executive Director,

Governor’s Council on Developmental

Disabilities, 1717 West Jefferson Street,

Rm. 112, Site Code 074Z, Phoenix, Arizona

85007, Phone: (602) 542–4049, TDD (602)

542–4000, FAX #(602) 542–5320

Arkansas

Wilma Stewart, Director, Arkansas

Governor’s Developmental Disabilities

Council, Freeway Medical Tower, Suite

805, 5800 West 10th Street, Little Rock,

Arkansas 72204, Phone: (501) 661–2589,

TDD (501–661–2736, FAX #(501) 661–2399

California

Judy McDonald, Executive Director, CA State

Council on Developmental Disabilities,

2000 ‘‘O’’ Street, Suite 100, Sacramento,

California 95814, Phone: (916) 322–8481,

TDD (916) 324–8420, FAX #(916) 443–4957

Colorado

Donald St. Louis, Executive Director,

Colorado Developmental Disabilities

Council, 777 Grant Street, Suite 304,

EMail-CDDPC@aol.com, Denver, Colorado

80203, Phone: (303) 894–2345, also TDD,

FAX (303) 894–2880

Commonwealth of the Northern Mariana

Island

Thomas J. Camacho, Executive Director,

CNMI Governor’s D.D. Council, Capitol

Hill, Bldg. #1312, P.O. Box 2565,

dd.council@saipan.com, Saipan, MP

96950, Phone: (011) 670–322–3014 (Voice/

TDD), FAX (011) 670–322–4168

Connecticut

Edward T. Preneta, Executive Director,

Council on D.D., 460 Capitol Avenue,

EMail-72322.2915@compuserve.com,

Hartford, Connecticut 06106–1308, Phone:

(860) 418–6160, TTD (860) 418–6172, FAX

#(860) 418–6003

Delaware

James F. Linehan, Ex. Director,

Developmental Disabilities Council,

Townsend Building, Lower Level, Box

1401, Dover, Delaware 19903, FAX #(302)

739–2015, EMail-jlinehan@state.de.us,

Phone: (302) 739–3333, TDD 302–739–

4894

District of Columbia

Mary Brown, Acting Ex. Dir., Developmental

Disabilities Council, St. Elizabeth Campus,

2700 Martin Luther King Ave., S.E., Bldg.

801 East, Room 1301, Washington, D.C.

20032, (202) 279–6085, FAX (202) 279–

6090

Gov’t of Federated States of Micronesia,

Yosiro Suta, Director, Gov’t of Federated

States of Micronesia, Dept of Ed., Palikir,

Pohnpei, FM 96941, (691) 320–2609, FAX

#(691) 320–5500

Florida

Joseph Krieger, Director, Florida

Developmental Disabilities Council, 124

Marriott Drive, Suite 203, Tallahassee,

Florida 32301–2981, fddc@nettally.com,

(904) 488–4180; 800–580–7801, TDD (904)

488–0956, FAX #(904) 922–6702

Georgia

John E. Crews, DPA, Executive Director,

Governor’s Council on Developmental

Disabilities for Georgia, 2 Peachtree St.,

NW, 3rd Floor, Suite 210, Atlanta, Georgia

30303 (404) 657–2126, FAX #(404) 657–

2132, TDD 657–2133

Guam

Thomas J. Paulino, Executive Director, Guam

Developmental Disabilities Council, 104 E

Street, Tiyan, Guam 96913, 011 (671) 475–

9127/8, FAX #011 (671) 475–9128

Hawaii

Diana C. Tizard, Executive Director, State

Planning Council on Developmental

Disabilities, 919 Ala Moana Blvd., Suite

#113, Honolulu, Hawaii 96814, (808) 586–

8100, FAX # (808) 586–7543,

tiza100w@wonder.em.cdc.gov

Idaho

Russ Spearman, Executive Director, Idaho

State Council on Developmental

Disabilities, 280 North Eighth Street, Suite

208, Boise, Idaho 83720–0280,

rspearman@dhw.state.id.us, W (208) 334–

2178, FAX (208) 334–3417, TDD (208) 334–

2179, 800–544–2433

Illinois

Rene Christensen-Leininger, Director, Illinois

Planning Council on Developmental

Disabilities, 830 S. Spring Street,

Springfield, IL 62704, W (217) 782–9696,

100 West Randolph, S.10–600, Chicago,

Illinois 60601, W (312) 814–2080, FAX #

(217) 524–5339, lisa@cencom.net, Fax

(312) 814–7141, TDD 312–814–7151

Indiana

Suellen Jackson-Boner, Director, Governor’s

Council for People with Disabilities, 143

W. Market Street, Harrison Building, Suite

404, Indianapolis, Indiana 46204, W (317)

232–7770, FAX # (317) 233–3712,

suellen@in.net, pauls@in.net,

hummel@in.net

Iowa

Jay W. Brewer, Executive Director, Iowa

Governor’s Council for Developmental

Disabilities, 617 E. Second Street, Des

Moines, Iowa 50309, W (515) 281–9083,

FAX (515) 281–9087, 1–800–452–1936, Email one ex dir@aol.com

Kansas

Jane Rhys, Executive Director, Kansas

Council on Developmental Disabilities,

Docking State Office Bldg., 915 S.W.

Harrison, Room 141, Topeka, Kansas

66612–1570, (913) 296–2608, FAX # (913)

296–2861, glen@ka.net

Kentucky

Bob Glass, Executive Director, Kentucky

Developmental Disabilities Planning

Council, Dept. of MH/MR Services, 275

East Main Street, Frankfort, Kentucky

40621, (502) 564–7841, 1–800–928–6583,

FAX # (502) 564–9826

Louisiana

Clarice Eichelberger, Executive Director,

Louisiana State Planning Council on

Developmental Disabilities, Post Office Box

3455, Mail Bin #14, Baton Rouge,

Louisiana 70821–3455, W (504) 342–6804,

FAX # (504) 342–1970

Maine

Peter R. Stowell, Executive Director,

Developmental Disabilities Council, 139

State House Station, Nash Building,

Augusta, Maine 04333–0139, W (207) 287–

4213, FAX # (207) 287–8001,

peter.stowell@mmp.org

Maryland

Ms. Mindy Morrell, Executive Director,

Maryland Developmental Disabilities

Council, 300 West Lexington Street, One

Market Center, Box 10, Baltimore,

Maryland 21201, mg44@umail.umd.edu,

(410) 333–3688, FAX # (410) 333–3686

Massachusetts

Daniel M. Shannon, Executive Director,

Administering Agency for Dev. Disab., 174

Portland Street, 5th Floor, Boston,

Massachusetts 02114,

DWhelan@MDDC.state.ma.us,

dshannon@MDDC.state.ma.us, (617) 727–

6374–ext.108, TDD (617) 727–1885, FAX #

(617) 727–1174

Michigan

Ms. Vendella Collins, Executive Director,

Michigan D.D. Council, Lewis Cass

Building 6th Floor, Lansing, Michigan

48933, (517) 334–7298, 6123, 7240 (Secy.),

FAX # (517) 334–7353, TDD (517) 334–

7354

Minnesota

Colleen Wieck, Ph.D., Executive Director,

Governor’s Council on Dev. Disabilities,

Minnesota Dept. of Administration, 300

Centennial Office Building, 658 Cedar

Street, St. Paul, Minnesota 55155, W (612)

296–4018, TDD 612–296–9962, FAX #

(612) 297–7200, admin.dd@state.mn.us

Mississippi

Edwin L. Butler, Director, Mississippi

Developmental Disabilities Council, 1002

Robert E. Lee Building, 239 North Lamar

Street, Jackson, Mississippi 39201, (601)

359–1288, TDD 601–359–6230, FAX #

(601) 359–6295

Missouri

Kay Conklin, Director, Missouri Council for

Developmental Disabilities, P.O. Box 687,

1706 East Elm Street, Jefferson City,

Missouri 65102, (314) 751–8611 (Voice/

TTD), FAX # (573) 526–2755, 800–500–

7878, kconklin@services.state.mo.us

Montana

Greg A. Olsen, Ex. Director, Developmental

Disabilities Planning and Advisory

Council, 111 N. Last Chance Gulch, Unit

1C, P.O. Box 526, Helena, Montana 59624,

(406) 444–1334, FAX # (406) 444–5999

Nebraska

Mary Gordon, Director, Governor’s Council

on DD, 301 Centennial Mall, South, P.O.

Box 95007, Lincoln, Nebraska 68509, (402)

471–2330, TDD (402)–471–6421, FAX #

(402) 471–0180,

oh7111@vmhost.cdp.state.ne.us

Nevada

Paul Haugen, Director, Governor’s Council on

DD, 711 S. Stewart Street, Carson City,
42350 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

Nevada 89710, W (702) 687–4452, TDD

702–687–3388, FAX # (702) 687–3292

New Hampshire

Alan Robichaud, Director, New Hampshire

Developmental Disabilities Council, The

Concord Center, Unit 315, 10 Ferry Street,

Concord, New Hampshire 03301–5004,

(603) 271–3236, TDD/Voice Relay 800–

735–2964, FAX # (603) 271–1156,

thslay@aol.com, NHDDCNCL@aol.com

New Jersey

Ethan B. Ellis, Executive Director, NJ

Developmental Disabilities Council, 20

West State Street, CN 700, Trenton, New

Jersey 08625–0700, (609) 292–3745, FAX #

(609) 292–7114

New Mexico

Chris Isengard, Director, NM Developmental

Disabilities Planning Council, 435 St.

Michael’s Drive, Building D, Santa Fe, New

Mexico 87505, (505) 827–7590, FAX #

(505) 827–7589

New York

Sheila M. Carey, Executive Director, New

York State Developmental Disabilities

Council, 155 Washington Avenue, 2nd.

Floor, Albany, New York 12210, W (518)

432–8233; (800) 395–3372, TDD 518–432–

8245, FAX # 518–432–8238,

nashca@nysomr.emi.com

North Carolina

Holly Riddle, Executive Director, North

Carolina Council on Developmental

Disabilities, 1508 Western Blvd., Raleigh,

North Carolina 27606, (919) 733–6566,

FAX # (919) 733–1863,

hriddle@ddc.dhr.state.nc.us

North Dakota

Tom Wallner, Director, North Dakota State

Council on Developmental Disabilities,

Dept. of Human Services, 600 East

Boulevard Avenue, Bismarck, North

Dakota 58505–0250, W (701) 328–8953,

FAX # (701) 328–8969,

cdps.sowalt@ranch.state.nd.us

Ohio

Ken Campbell, Executive Director, Ohio

Developmental Disabilities Planning

Council, 8 East Long Street, 6th Floor,

Columbus, Ohio 43215–0415, W (614) 466–

5205, TDD 614–644–5530, FAX # (614)

466–0298, mrlddclkmc@ohio.gov

Oklahoma

Ann Trudgeon, Executive Director, Council

for Dev. Disabilities, P.O. Box 25352,

Oklahoma City, OK 73125, 3033 N.

Walnut, Suite 105–E, Oklahoma City,

Oklahoma 73105, W (405) 528–4984, FAX

# (405) 528–0956, E-mail—

OPCDD@aol.com, 1–800–836–4470 (tollfree)

Oregon

Charlotte Duncan, Executive Director, Oregon

Developmental Disabilities Council, 540

24th Place, NE, Salem, Oregon 97301–

4517, (503) 945–9942; 1–800–292–4154,

FAX # (503) 945–9947, ODDC@aol.com

Pennsylvania

Graham Mulholland, Executive Director,

Developmental Disabilities Council, Room

569 Forum Building, Commonwealth

Avenue, Harrisburg, Pennsylvania 17120,

W (717) 787–6057, FAX 717–772–0738

Puerto Rico

Ms. Ethel M. Torres, Acting Executive

Director, Developmental Disabilities

Council, Apartado 9543, Santurce, Puerto

Rico 00908–0543, Pda. 18, Ponce de Leon

Ave., Caso Building #1225 Santurce, PR

00908, 809 722–8850 (direct line), W (809)

722–0595, FAX (809) 721–3622

Rhode Island

Marie V. Citrone, Executive Director, Rhode

Island Developmental Disabilities Council,

600 New London Avenue, Cranston, Rhode

Island 02920–3028, (401) 464–3191, FAX #

(401) 464–3570, ac808@osfn.rhilinet.gov

South Carolina

Charles B. Lang, Executive Director, South

Carolina Developmental Disabilities

Council, Office of the Governor, 1205

Pendleton Street, Suite 372, Edgar Brown

Building, Columbia, South Carolina

29201–3731, (803) 734–0465, FAX # (803)

734–0241

South Dakota

Charlie A. Anderson, Executive Director

South Dakota Council on Developmental

Disabilities, Hills View Plaza, East

Highway 34, c/o 500 East Capitol, Pierre,

South Dakota 57501–5070, (605) 773–6415,

TDD 605–773–5990, FAX (605) 773–5483

Tennessee

Wanda Willis, Ex. Director, Developmental

Disabilities Council, Gateway Plaza, 11th

Floor, 710 James Robertson Parkway,

Nashville, Tennessee 37243–0675, (615)

532–6615, TTY 615–741–4562, FAX #

(615) 532–6964, Kwright@mail.state.tn.us

Texas

Roger A. Webb, Executive Director, Texas

Planning Council for Developmental

Disabilities, 4900 North Lamar Blvd.,

Austin, Texas 78751–2399, (512) 424–

4080, TDD 512–424–4099, FAX 512–424–

4097, E-Mail:TXDDC@rehab.state.tx.us,

(800) 262–0334

Utah

Catherine E. Chambless, Executive Director,

Utah Governor’s Council for People with

Disabilities, 555 East 300 South, Suite 201,

Salt Lake City, Utah 84102, (801) 533–4128

(V/TDD), FAX # (801) 533–5305,

cchamble@email.state.ut.us,

jsimkins@email.state.ut.us

Vermont

Thomas A. Pombar, Exec. Director, Vermont

Developmental Disabilities Council, 103

South Main Street, Waterbury, Vermont

05671–0206, (802) 241–2612, FAX # (802)

241–2979, tomp@wpgate1.ahs.state.vt.us

Virginia

Mr. Brian S. Parsons, Director, Virginia Board

for People with Disabilities, Ninth Street

Office Building, 202 North 9th Street, 9th

Floor, Richmond, Virginia 23219, (804)

786–0016, FAX # (804) 786–1118, TDD 1–

800–846–4464

Virgin Islands

Mark Vinzant, Director, VI Developmental

Disabilities Council, P.O. Box 2671, Kings

Hill, St. Croix, Virgin Islands 00851, (809)

778–9681, FAX 809–778–9250

Washington

Edward M. Holen, Executive Director,

Developmental Disabilities Council, P.O.

Box 48314, 906 Columbia Street, S.W.,

Olympia, Washington 98504–8314, (360)

753–3908, TDD 1–800–634–4473, FAX

(360) 586–2424, edh@cted.wa.gov,

cathyt@cted.wa.gov

West Virginia

Donna Heuneman, Exective Director, West

Virginia Developmental Disabilities

Council, 110 Stockton Street, Charleston,

West Virginia 25312–2521, (304) 558–0416

(Voice), (304) 558–2376 (TDD), FAX # (304)

558–0941

Western Carolina Islands (Trust Territories of

the Pacific)

Dr. Minoru Ueki, MD, Trust Terr. Hlth. Cncl.,

MacDonald Mem. Hosp. KOROR, Palau,

WCI 96940

Wisconsin

Jayn Wittenmyer, Executive Director, Council

on Developmental Disabilities, (722

Williamson Street, 2nd Floor), Office Box

7851, Madison, Wisconsin 53707–7851,

(608) 266–7826, FAX (608) 267–3906,

CTC@mailbag.com

Wyoming

Lynn Achter, Executive Director, Council on

Developmental Disabilities, 122 West 25th

Street, Hersch Bldg., 1st Floor, West,

Cheyenne, Wyoming 82002, (307) 777–

7230, 1–800–438–5791 (in-state-only), FAX

# (307) 777–5690

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42351

BILLING CODE 4184–01–C
42352 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

Instructions for the SF 424

Public reporting burden for this collection

of information is estimated to average 45

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget. Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget,

send it to the address provided by the

sponsoring agency.

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State, if applicable) & applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

appropriate letter(s) in the space(s) provided:

—‘‘New’’ means a new assistance award.

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

on a separate sheet. If appropriate (e.g.,

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

affected (e.g., State, counties, cities.)

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

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
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42353
42354 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42355

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 in 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 of

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
42356 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

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 nonFederal share of project costs) to ensure

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of the United States, and

if appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will

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. §§ 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. §§ 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. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. § 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)

§§ 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. § 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.

§§ 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.

§§ 276a to 276a–7), the Copeland Act (40

U.S.C. §§ 276c and 18 U.S.C. §§ 874), and the

Contract Work Hours and Safety Standards

Act (40 U.S.C. §§ 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. §§ 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. §§ 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. §§ 1271 et seq.)

related to protecting components or potential

components of the national wild and scenic

rivers system.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593

(identification and protection of historic

properties), and the Archaeological and

Historic Preservation Act of 1974 (16 U.S.C.

469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award of

assistance.

15. Will comply with the Laboratory

Animal Welfare Act of 1966 (P.L. 89–544, as

amended, 7 U.S.C. 2131 et seq.) pertaining to

the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

Poisoning Prevention Act (42 U.S.C. §§ 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.

lllllllllllllllllllll

Signature of Authorized Certifying Official

lllllllllllllllllllll

Applicant Organization

lllllllllllllllllllll

Title

lllllllllllllllllllll

Date submitted

Appendix B

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
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42357

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

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.

Appendix C

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 in this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

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 the

person to which this proposal is submitted

for assistance in obtaining a copy of those

regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

[[Page 33043]] should the proposed covered

transaction be entered into, it shall not

knowingly enter into any lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in

this covered transaction, unless authorized

by the department or agency with which this

transaction originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that 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 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

remedies available to the Federal

Government, the department or agency with

which this transaction originated may pursue

available remedies, including suspension

and/or debarment.

* * * * *
42358 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

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.

Appendix D

This certification is required by the

regulations implementing the Drug-Free

Workplace Act of 1988: 45 CFR Part 76,

Subpart, F. Sections 76.630(c) and (d)(2) and

76.645(a)(1) and (b) provide that a federal

agency may designate a central receipt point

for STATE-WIDE AND STATE AGENCYWIDE certifications, and for notification of

criminal drug convictions. For the

Department of Health and Human Services,

the central point is: Division of Grants

Management and Oversight, Office of

Management and Acquisition, Department of

Health and Human Services, Room 517–D,

200 Independence Avenue, SW Washington,

DC 20201.

Certification Regarding Drug-Free Workplace

Requirements (Instructions for Certification)

1. By signing and/or submitting this

application or grant agreement, the grantee is

providing the certification set out below.

2. The certification set out below is a

material representation of fact upon which

reliance is placed when the agency awards

the grant. If it is later determined that the

grantee knowingly rendered a false

certification, or otherwise violates the

requirements of the Drug-Free Workplace

Act, the agency, in addition to any other

remedies available to the Federal

Government, may take action authorized

under the Drug-Free Workplace Act.

3. For grantees other than individuals,

Alternate I applies.

4. For grantees who are individuals,

Alternate II applies.

5. Workplaces under grants, for grantees

other than individuals, need not be identified

on the certification. If known, they may be

identified in the grant application. If the

grantee does not identify the workplaces at

the time of application, or upon award, if

there is no application, the grantee must keep

the identity of the workplace(s) on file in its

office and make the information available for

Federal Inspection. Failure to identify all

known workplaces constitutes a violation of

the grantee’s drug-free workplace

requirements

6. Workplace identifications must include

the actual address of buildings (or parts of

buildings) or other sites where work under

the grant takes place. Categorical descriptions

may be used (e.g., all vehicles of a mass

transit authority or State highway department

while in operation, State employees in each

local unemployment office, performers in

concert halls or radio studios).

7. If the workplace identified to the agency

changes during the performance of the grant,

the grantee shall inform the agency of the

change(s), if it previously identified the

workplaces in question (see paragraph five).

8. Definitions of terms in the

Nonprocurement Suspension and Debarment

common rule and Drug-Free Workplace

common rule apply to this certification.

Grantees’ attention is called, in particular, to

the following definitions from these rules:

Controlled substance: means a controlled

substance in Schedules I through V of the

Controlled Substances Act (21 U.S.C. 812)

and as further defined by regulation (21 CFR

1308.11 through 1308.15);

Conviction: means a finding of guilt

(including a plea of nolo contendere) or

imposition of sentence, or both, by any

judicial body charged with the responsibility

to determine violations of the Federal or

State criminal drug statutes;

Criminal drug statute: means a Federal or

non-Federal criminal statute involving the

manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee: means the employee of a grantee

directly engaged in the performance of work

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

employees; (ii) All indirect charge employees

unless their impact or involvement is

insignificant to the performance of the grant;

and, (iii) Temporary personnel and

consultants who are directly engaged in the

performance of work under the grant and

who are on the grantee’s payroll. This

definition does not include workers not on

the payroll of the grantee (e.g., volunteers,

even if used to meet a matching requirement;

consultants or independent contractors not

on the grantee’s payroll; or employees of

subrecipients or subcontractors in covered

workplaces).

Certification Regarding Drug-Free Workplace

Requirements

Alternate I. (Grantees Other Than

Individuals)

The grantee certifies that it will or will

continue to provide a drug-free workplace by:

(a) Publishing a statement notifying

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in the

grantee’s workplace and specifying the

actions that will be taken against employees

for violation of such prohibition;

(b) Establishing an ongoing drug-free

awareness program to inform employees

about—

(1) The dangers of drug abuse in the

workplace;

(2) The grantee’s policy of maintaining a

drug-free workplace; (3) Any available drug

counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed

upon employees for drug abuse violations

occurring in the workplace;

(c) Making it a requirement that each

employee to be engaged in the performance

of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement

required by paragraph (a) that, as a condition

of employment under the grant, the employee

will—

(1) Abide by the terms of the statement;

and

(2) Notify the employer in writing of his or

her conviction for a violation of a criminal

drug statute occurring in the workplace no

later than five calendar days after such

conviction;

(e) Notifying the agency in writing, within

ten calendar days after receiving notice under

paragraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers of convicted

employees must provide notice, including

position title, to every grant officer or other

designee on whose grant activity the

convicted employee was working, unless the

Federal agency has designated a central point

for the receipt of such notices. Notice shall

include the identification number(s) of each

affected grant;

(f) Taking one of the following actions,

within 30 calendar days of receiving notice

under paragraph (d)(2), with respect to any

employee who is so convicted—

(1) Taking appropriate personnel action

against such an employee, up to and

including termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(2) Requiring such employee to participate

satisfactorily in a drug abuse assistance or

rehabilitation program approved for such

purposes by a Federal, State, or local health,

law enforcement, or other appropriate

agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (a), (b), (c), (d),

(e) and (f).

(B) The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant:

Place of Performance (Street address, city,

county, state, zip code)

lllllllllllllllllllll

lllllllllllllllllllll

Check b if there are workplaces on file that

are not identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition

of the grant, he or she will not engage in the

unlawful manufacture, distribution,

dispensing, possession, or use of a controlled

substance in conducting any activity with the

grant;

(b) If convicted of a criminal drug offense

resulting from a violation occurring during

the conduct of any grant activity, he or she

will report the conviction, in writing, within

10 calendar days of the conviction, to every

grant officer or other designee, unless the

Federal agency designates a central point for

the receipt of such notices. When notice is

made to such a central point, it shall include

the identification number(s) of each affected

grant.

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

Appendix E

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:
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42359

(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.

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Title

lllllllllllllllllllll

Organization

lllllllllllllllllllll

Date

BILLING CODE 4184–01–P
42360 Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 151 / Wednesday, August 6, 1997 / Notices 42361

Appendix F

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 solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1,000 per day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

[FR Doc. 97–20519 Filed 8–5–97; 8:45 am]

BILLING CODE 4184–01–P