64856 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

1 In addition to persons who meet all

requirements of 45 CFR 400.43, ‘‘Requirements for

documentation of refugee status,’’ eligibility for

refugee social services also includes: (1) Cuban and

Haitian entrants, under section 501 of the Refugee

Education Assistance Act of 1980 (Pub. L. No. 96–

422); (2) certain Amerasians from Vietnam who are

admitted to the U.S. as immigrants under section

584 of the Foreign Operations, Export Financing,

and Related Programs Appropriations Act, 1988, as

included in the FY 1988 Continuing Resolution

(Pub. L. No. 100–202); and (3) certain Amerasians

from Vietnam, including U.S. citizens, under title

II of the Foreign Operations, Export Financing, and

Related Programs Appropriations Acts, 1989 (Pub.

L. No. 100–461), 1990 (Pub. L. No. 101–167), and

1991 (Pub. L. No. 101–513). For convenience, the

term ‘‘refugee’’ is used in this notice to encompass

all such eligible persons unless the specific context

indicates otherwise.

Refugees admitted to the U.S. under admissions

numbers set aside for private-sector-initiative

admissions are not eligible to be served under the

social service program (or under other programs

supported by Federal refugee funds) during their

period of coverage under their sponsoring agency’s

agreement with the Department of State—usually

two years from their date of arrival or until they

obtain permanent resident alien status, whichever

comes first.

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

Availability of Discretionary Grants for

Services to Newly Arriving Refugees,

Including: Promoting Increased

Placement of Newly Arrived Refugees 1

In Preferred Communities; Responding

to Unanticipated Arrivals or Significant

Increases in Arrivals of Refugees to

Communities Where Adequate or

Appropriate Services do not Exist;

Providing Orientation Services in Local

Communities; Providing Mental Health

Services on Behalf of Refugees in

Local Communities; Supporting Ethnic

Community Self-Help

AGENCY: Office of Refugee Resettlement,

ACF, DHHS.

SUMMARY: This ORR standing

announcement invites submission of

grant applications for funding, on a

competitive basis, in six categories: (1)

to promote the increase of refugee

placements in communities where they

have ample opportunities for early

employment and sustained economic

independence; (2) to provide services to

unanticipated arrivals, i.e., refugees who

have arrived without prior notice in

communities where adequate or

appropriate services for these refugees

do not exist; (3) to provide ethnicallyand linguistically-matched orientation

services to newly arriving refugees in

the local communities; (4) to provide

technical assistance to the grantees

including those funded under Category

3, orientation; (5) to provide mental

health orientation, staff development,

and technical expertise to improve

services for newly arriving refugee

populations, and (6) to assist ethnic

organizations to build bridges among

newcomer communities and community

resources.

This notice revises previous

publications. The programs numbered

(1) and (2) above were first published as

Categories 1 and 2 of the notice

published in the Federal Register on

May 18, 1994 (59 FR 25929). The notice

was revised January 17, 1995 (60 FR

3416). A Category 3, Ethnic Community

Organizations, added in the revision of

January 17, 1995, was canceled as

published in the Federal Register on

February 15, 1996 (61 FR 6018). The

next revision was published in the

Federal Register on June 25, 1996 (61

FR 32833) with new categories,

numbered 3, Orientation, 4, Orientation

Technical Assistance, and 5, Mental

Health Services. This notice retains the

five categories in the June 25, 1996

announcement, and restores and revises

the Ethnic Community Organization

program as Category 6.

This announcement supersedes all

prior announcements of the same name.

The categories are summarized as

follows:

Category 1—Preferred Communities:

To increase placement of arriving

refugees in preferred communities

where refugees have opportunities to

attain early employment and sustained

economic independence without public

assistance. Eligible applicants are

agencies which resettle refugees under a

Reception and Placement Cooperative

Agreement with the Department of State

or the Department of Justice. Preferred

communities awards will be

Cooperative Agreements. ORR’s

involvement will include: review and

approval of preferred community sites

and review and approval of the design

of program reports on progress toward

project goals and outcomes.

Category 2—Unanticipated Arrivals:

To provide services for significant

numbers of, or increases in, the number

of unanticipated refugees who have

arrived in communities that are unable

to provide adequate or appropriate

services. The arrivals may be new

populations to the U.S., or new to the

location requesting additional resources.

The arrivals may also be a significant

and unanticipated additional number of

a particular ethnic group in a

community. Awards in this category

will be grants.

Category 3—Orientation: To provide

funds for grantees to serve newly

arriving refugees through orientation

services that are ethnically-and

linguistically-matched to the targeted

refugee population.

Under Category 3, applications will be

accepted for orientation programs

designed to provide newly arriving

refugees with information on local

resources, community services and

institutions, American mores, customs,

laws, responsibilities associated with

being new residents of their

communities, and other appropriate

topics.

Applications will be accepted from

prospective grantees to provide services

in communities where new refugees are

arriving and where available orientation

materials are not appropriate or

adequate. Awards in this category will

be made as grants.

Category 4—Technical Assistance to

Orientation Grantees: To provide

technical assistance to orientation

projects awarded under Category 3 and

other orientation programs serving

refugees.

Category 5—Mental Health Services:

To improve services to newly arrived

populations who have been made

vulnerable in their resettlement by

having suffered mental and/or physical

torture prior to or during their escape.

Applications are encouraged from

agencies that support resettlement

services by providing staff development

consultation to staff who work directly

with traumatized populations and

orientation activities for the new

populations and for the mainstream

mental health providers. In addition,

and if appropriate to the newly arriving

refugee populations, projects may be

funded to develop technical knowledge

concerning particular groups and the

clinical interventions that effectively

treat them. The knowledge and

experience gained by these projects will

be made available throughout the

refugee resettlement program.

Category 6—Ethnic Community

Organizations Program. This program is

to provide assistance to ethnic

organizations comprised of and

representative of newly arrived refugee

populations to build bridges among

newcomer refugee communities and

community resources. The applications

will be accepted from a national,

regional (multi-state), or local level and

may include efforts to address

community building, community and

family strengthening, cultural

adjustment orientation, and mutually

supportive functions such as

information exchange, leadership

training, and resource development.

Categories 1, 3, 4, and 5 solicit

applications for project periods up to

three years. Category 6 solicits

applications for project periods up to
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64857

five years. Awards, on a competitive

basis, will be for one-year budget

periods. Applications for continuation

grants, to extend activities beyond the

one-year budget period, will be

entertained on a noncompetitive basis

in subsequent years within the project

period, subject to the availability of

funds, timely and successful completion

of activities during the budget period,

and determination that such

continuations would be in the best

interest of the Government.

Awards for Category 2 will be for a

single 17-month budget period.

Applicants should view these resources

as a temporary solution to an emergency

created by unanticipated arrivals. ORR

expects that by the end of the project

period, States will have incorporated

services for these particular refugees

into their refugee services network

funded by ORR social service formula

allocations.

Projects and services allowed under

this announcement for each category are

described below. Each application will

be considered for one category only and

must state specifically for which

category the application is being

submitted. An applicant may apply for

more than one category; however, each

category must be applied for in a

separate application.

Available Funds: In FY 1998, ORR

expects to make individual new grant

awards in amounts ranging from

approximately $100,000 to $300,000.

Amounts in subsequent years will

depend upon the availability of funding,

need, and the best interests of the

Government. Approximately $800,000

will be available for awards under

Preferred Communities; $500,000 under

Unanticipated Arrivals; $400,000 for

Orientation; $400,000 under Orientation

Technical Assistance; $400,000 for

Mental Health; and $1,000,000 for

Ethnic Community Organizations.

The Director reserves the right to

award more or less than the funds

described above depending upon the

quality of the applications, or such other

circumstances as may be deemed to be

in the best interest of the Government.

Applicants may be required to reduce

the scope of selected projects to

accommodate the amount of the

approved grant award.

Authorization: Authority for this

activity is contained in Section

412(c)(1)(A) of the Immigration and

Nationality Act, which authorizes the

Director ‘‘to make grants to, and enter

into contracts with, public or private

nonprofit agencies for projects

specifically designed— * * * (iii) to

provide where specific needs have been

shown and recognized by the Director,

health (including mental health)

services, social services, educational

and other services.’’ In addition, section

412(a)(2)(B)–(C) gives the Director the

responsibility to promote and encourage

refugee resettlement in communities

where the prospects for early selfsufficiency are good and the history of

welfare utilization is low.

Application Submission: This

announcement contains forms and

instructions for submitting an

application. Applications must stipulate

the category for which funding is being

sought. Applicants may submit

applications for more than one category;

however, each category must be applied

for in a separate application.

Standing Announcement: This is a

standing announcement, effective until

canceled or modified by the Director of

the Office of Refugee Resettlement. The

Director will observe the following

closing dates for all categories: January

31 and June 30, of FY 1998, and each

subsequent year.

Organization of this Announcement:

This standing announcement consists of

two parts: Part I. the program categories

under which grants will be awarded and

Part II. general application information

and guidance.

Eligible Applicants: For Categories 2,

3, 4, 5 and 6, eligible applicants are

public and private nonprofit

organizations.

Refugee serving organizations,

especially local ethnic communities

when applying under category 6, are

encouraged to build coalitions in

applying under this announcement. The

activities funded by these grants are

intended to serve as a catalyst to bring

the community together to address the

economic and social problems of

refugee families and the refugee

community. The goal in all cases should

be to build and strengthen the

community’s capacity to serve its

members in improving the quality of life

and standard of living for refugee

families. If an application represents a

consortium (that is, the applicant

includes other types of agencies among

its membership), the single organization

identified as applicant by the

Authorized Representative’s signature

on the SF–424, Box 18.d, will be the

grant recipient and will have primary

administrative and fiscal

responsibilities. An applicant entity

must be a nonprofit organization.

For Category 1, eligible applicants are

public and private non-profit agencies

which currently resettle newly arriving

refugees under a Reception and

Placement cooperative agreement with

the Department of State or with the

Department of Justice. This

announcement is restricted to these

agencies because placements of new

arrivals occur under the terms of the

cooperative agreements, and no other

agencies place new arrivals or

participate in determining their

resettlement sites. Applications shall

include documentation that the

applicant is a recipient of a Reception

and Placement Grant. Applications

lacking this documentation will not be

considered.

For Further Information:

Concerning Categories 1, Preferred

Communities, and 5, Mental Health

Services, contact: Ms. Marta Brenden,

Program Officer, Administration for

Children and Families, Office of Refugee

Resettlement, 370 L’Enfant Promenade,

SW 6th Floor, Washington, DC 20447,

Tel: (202) 205–3589, E-mail:

mbrenden@acf.dhhs.gov.

Concerning Category 2, Unanticipated

Arrivals, contact: Ms. Sue Benjamin,

Administration for Children and

Families, Office of Refugee

Resettlement, 370 L’Enfant Promenade,

SW 6th Floor, Washington, DC 20447,

Tel: (202) 401–4851, E-mail:

sbenjamin@acf.dhhs.gov.

Concerning Category 3, Orientation,

and 4, Orientation Technical

Assistance, contact:

Ms. Kathy Do, Administration for

Children and Families, Office of Refugee

Resettlement, 370 L’Enfant Promenade,

SW 6th Floor, Washington, DC 20447,

(202) 401–4579, E-mail:

kdo@acf.dhhs.gov.

Concerning Category 6, Ethnic

Community Organizations, contact: Ms.

Anna Mary Portz, Administration for

Children and Families, Office of Refugee

Resettlement, 370 L’Enfant Promenade,

SW 6th Floor, Washington, DC 20447,

(202) 401–1196, E-mail:

aportz@acf.dhhs.gov.

Part I. Program Categories Under

Which Grants Will be Awarded

Category 1: Preferred Communities:

Grants to Support Preferred

Communities

A. Purpose and Scope

The purpose is to provide funds to be

applied toward the costs associated with

increasing the numbers of refugees

placed in preferred communities and

with reducing the numbers of refugees

placed in high impact sites.

A proposed preferred community

should have the following: (1) favorable

circumstances described below, (2)

services that meet the needs of arriving

refugees for achieving self-sufficiency,

and (3) reception of a minimum of 100

new refugees annually. ORR will

consider exceptions to the annual
64858 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

standard where the applicant provides

substantial justification for the request

and documents the community’s history

of arrivals, the period of time needed to

reach a level of 100 new refugees, and

the record of outcomes for achieving

self-sufficiency soon after arrival.

Applicants must plan within their

own network for improved placements.

They may also consider planning

cooperatively with other prospective

applicants to create cost-effective, colocated resettlement services where, for

example, the pool of newly arriving

refugees for each network is too small to

warrant individual offices.

Preferred Community sites refer to

those localities where refugees have the

best opportunities to achieve early

employment and sustained economic

independence without public

assistance. Preferred communities

should have a history of low welfare

utilization by refugees. In addition,

refugees should have the potential for

earned income at a favorable level

relative to the cost of living and to

public assistance benefits in such

communities. These communities

should also have a moderate cost of

living; good employment opportunities

in a strong, entry-level labor market;

affordable housing; low out-migration

rates for refugees; religious facilities, if

important to the refugees; local

community support; receptive school

environments; and other related

community features that contribute to a

favorable quality of life for arriving

refugees.

Applicants may wish to consider the

following ‘‘arrival’’ categories of

refugees for preferred community sites:

Free cases: Those refugees who are

determined in the allocation process to

be ‘‘free cases,’’ that is, unrelated or

without family ties to persons already

living in the communities.

New refugee populations: Refugees

who have no or few existing

communities in the United States.

Other refugees: The applicant may

identify refugees in the reception

process who would accept the

opportunity for resettlement in a

preferred community: e.g., refugees who

would otherwise be resettled under the

rubric of ‘‘family reunification,’’ but

who in fact are distant relatives and

friends. These refugees may elect

placement in a preferred community

where there are opportunities described

above.

B. Preferred Community Site Selection

ORR recognizes that changes in the

selection of resettlement sites of

refugees may result in changes to an

applicant agency’s network and should

be preceded by careful attention and

planning. Thus, as part of the

application preparation, it will be

incumbent upon the applicant to: (1)

consult with ORR about prospective

preferred sites; (2) propose sites that are

either already listed within the

applicant’s Cooperative Agreement with

the Department of State (DOS) or that

will be proposed for DOS approval; (3)

coordinate with other voluntary

agencies whose local affiliates place

refugees in the same sites; (4) inform

and coordinate with State governments

for site selection, adequate services, and

program strategies to be developed; and

(5) plan and coordinate locally with

community resources, such as schools

and public health agencies.

The application must, for the first

budget year, specify the sites selected

with a description of each site and the

rationale for its selection. Applicants are

encouraged to include planning

activities in their application. The

application should specify one or more

preferred communities and should also

propose to include one or more

unspecified sites to be determined

following planning activities during the

course of each budget year. There

should also be a description of

coordination activities that occurred

prior to the selection, and the ongoing

evaluation and planning for placement

in preferred communities. Additional

sites proposed under approved

applications during the period of the

project will require ORR’s concurrence

under the terms of the Cooperative

Agreement.

Preferably, the selected sites should

be those that have had successful

refugee placements and have the

capacity for additional successful

placements. However, the sites may be

ones where refugees have not previously

been placed, but which have all the

elements of a successful refugee

resettlement community, listed in

Section D. 2, below.

Allowable activities for the preferred

communities include services that

would otherwise be provided through

the State formula social services. ORR

formula social services funding is

awarded to States proportionate to the

number of refugee arrivals during the

previous three years and does not take

into account newly arrived refugees.

Grantees should view Preferred

Communities award as a temporary

solution to the increase in refugee

placements in preferred communities.

Therefore, planning for the

application and implementing the

program must be done in concert with

State Refugee Coordinators to assure an

orderly transition and complement of

services. The applicant shall describe

and document this coordination and

planning in the application. ORR

anticipates that ORR formula social

service funds provided to the States will

reflect, over time, the increase in

arrivals.

C. Allowable Activities

ORR will accept applications for the

following activities:

(1) services needed for the increased

placements in the preferred

communities, (2) project planning and

coordination activities, and (3) national

and local project management costs

associated with these activities.

D. Application Content

The application must include the

following:

1. Description of the proposed

program. Include the rationale for

meeting the goals of this

Announcement: i.e., the increased

placement of refugees in preferred

communities and the diversion of

refugees from communities with

histories of extended use of welfare.

Descriptions should include anticipated

improved resettlement opportunities;

the employment services available in

the new location, including those to be

funded under this grant, if awarded; and

the cost implications in both the

impacted and preferred sites for the

population shifts in local resettlement

services.

2. A description and rationale for sites

from which placements will be diverted.

A list of the designated and potential

sites and the rationale for each site with

respect to the following criteria: o Local

community support (e.g., letters,

financial and in-kind donations, news

clippings that the community supports

the placement of these refugees in their

area); o State consultation (e.g., copies

of letters; notes of planning/

coordination meetings);

• Local community support (e.g.,

letters, financial and inkind donations,

news clippings that the community

supports the placement of these refugees

in their area);

• State consultation (e.g., copies of

letters; notes of planning/coordination

meetings);

• Evidence of availability of entry

level and other appropriate employment

opportunities (e.g., letters from current

and repeating employers of refugees);

• History of low out-migration rates

for proposed sites, with documentation

for the last two years;

• Moderate cost of living (e.g., needs

and payment standards from TANF

programs from the State, statements of
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64859

voluntary agency affiliates, statements

from refugees);

• Low welfare benefit levels relative

to earnings potential;

• Qualified staff—give job

descriptions and resumes, as available,

and show how staff will be

linguistically and culturally suited to

assist the prospective refugees;

• Affordable housing—provide

average rental costs for apartments of a

specified number of bedrooms and

describe access to and distance from

services and potential employment.

3. A description of the caseload: e.g.,

free cases, ethnicity, new or existing

ethnic group, interventions to be used to

promote stability of placements,

proposed numbers, proposed placement

schedule, and back-up strategy should

the proposed placement schedule fail.

4. A description of national and local

project management. A statement of

expected outcomes, e.g., refugee arrivals

and participants in social services, such

as, employment. Number expected to

enter employment; 90 day retention

rates and/or welfare avoidance,

reductions, and terminations; expected

hourly wage and the number of jobs

with health benefits. Projected outcomes

must include the increase in placements

in Preferred Communities and the

diversion of placements from

communities where there is a history of

extended welfare use.

5. A description of the national and

local planning process, of coalitions

formed to support the new placements,

and the consultative process used to

support the implementation. If several

local agencies are planning a

coordinated project, e.g., placing

refugees from the same ethnic groups in

the same designated sites, describe the

coordination of these plans. Include

discussion of anticipated outcomes of

the placement strategy for new arrivals.

6. Budget, including line items and a

narrative justification for each line.

Clearly state the costs for national and

local planning and project coordination.

Discuss relationship between costs

proposed for this grant and costs (e.g.,

for services) which will be covered by

existing refugee or mainstream funding.

E. Application Review Criteria

Preferred Communities applications

will be reviewed, scored and ranked

utilizing the following criteria:

1. Clarity of description of proposed

program and soundness of rationale for

achieving the goals of the

Announcement. Reasonableness of cost

implications in both the impacted and

preferred communities. Adequacy of the

anticipated improved resettlement

opportunities as well as the diversion of

placements from sites with histories of

extended welfare usage. Soundness of

refugee social services in the new

community and choice of services to be

funded by this grant. (20 Points)

2. Clear and comprehensive

description of the preferred sites

proposed in terms of community

support, Federal, State, and local

government consultation, and linkages,

cost-of-living, out-migration history,

housing, and employment availability,

welfare benefit levels relative to

potential earnings, and quality of life

features, such as school environment

and available religious facilities.

Adequacy of description of sites from

which refugees will be diverted and the

rationale for diverting cases from them.

(25 Points)

3. Appropriateness to the targeted

population of the proposed diversion,

and strategies to be used to promote

stability of placements. (15 Points)

4. Adequacy of national and local

management, including objectives and

outcomes, reporting procedures,

outcome measures, data collection and

monitoring. (10 Points)

5. Adequacy of planning process and

reasonableness of anticipated outcomes.

(15 Points)

6. Reasonableness of the budget and

adequacy of line item narrative;

coordination of these grant funds with

other funds. (15 Points)

Category 2—Unanticipated Arrivals or

Increases in Arrivals of Refugees to

Communities Where Adequate or

Appropriate Services Do Not Exist

A. Purpose and Scope

This program is intended to provide

communities with the capability to

respond to the social services needs of

refugees whose resettlement in the

applicant’s community is unanticipated

and who are not included in ORR’s

social service formula allocation to the

State in which they are placed. The

funds may be used to enable

communities to establish or expand

existing services in situations, where:

(1) the existing service system does not

have culturally and linguistically

compatible staff; or (2) where refugee

services do not presently exist; or (3)

where the service capacity is not

sufficient to accommodate significant

increases in arrivals.

Examples of situations for which

applicants may compete for a grant

under this program include: (1) the

unexpected arrival of more than 100

refugees in the community where the

formula services funds are committed to

social services for the current refugee

population, but there are no available

resources to fund culturally and

linguistically appropriate services for

the unanticipated number of arrivals, or

(2) the State formula social service

dollars are sufficient for most services,

but the unanticipated population has

unusual social service needs; and the

services currently funded will not be

sufficient for the new arrivals.

Applications will be accepted only for

proposals for services in communities

which have received, or expect to

receive, minimally 100 or more persons

within a one year period as an

unanticipated population to a single

local community. This is a minimum,

not a standard. The reasonableness of

the proposal will depend, in part, on the

ratio of unanticipated arrivals to the

anticipated resettlement caseload in the

applicant’s community. The applicant

must establish that the unanticipated

number is significant relative to the

resident population by documenting

arrivals, both anticipated and

unanticipated. The application must

describe the time period of

unanticipated arrivals, i.e., the start date

when the unanticipated arrivals began

and the length of time over which the

arrivals are expected to continue.

Applications which do not satisfy the

requirement for documentation will not

be considered.

ORR encourages the formation of

coalitions of organizations which

propose to serve the new population(s)

jointly, with one agency designated as

grantee, responsible for administration

of the project. ORR will only support

the establishment of services that are

culturally and linguistically appropriate

to the new arrivals.

This grant program is intended to

supplement a State’s existing refugee

services network by responding to

unmet needs of new refugee populations

shortly after arrival in the community.

Grantees should view these resources,

therefore, as a temporary solution to

insufficient services necessitating

program adjustment due to the

unanticipated arrival of a refugee

population in a specific community.

ORR’s expectation is that the State will

have incorporated services for these

new populations into its refugee

services network, funded by formula

social service dollars, by the end of the

grant project period. In the grantee’s

final report, the transition of the

services should be discussed indicating

whether the services are now supported

by the State, other public or private

resources, or are no longer needed, with

supporting information on the target

population.
64860 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

B. Allowable Services

ORR will accept applications under

this announcement for projects

specifically providing unanticipated

arrivals the type of activities generally

funded by States under their social

services formula allocation, in

accordance with section 412(c)(1) of the

Immigration and Nationality Act for

refugee social services. In general, such

service categories are defined as

employment services, language training,

and other support services, such as

orientation activities. Applications

under this section should indicate

appropriate bilingual and bicultural

services will be provided. Services

provided by all grantees, whether

private or public, must comport with

the regulations at 45 CFR sections

400.147, 400.150, and 400.154–.156

regarding eligibility for services, scope

of services and priorities for services.

C. Application Content

1. Statement of purpose and need. A

description of the target population(s);

presence, or absence of prior presence,

of an ethnic population in the

community(ies); documentation of the

arrivals of the population(s), including

first date of admission; expected

duration of the arriving population;

number (at least 100 refugees per year)

of unanticipated arrivals relative to the

expected admissions; identification and

description of the need(s) for social

services; discussion of the relative

significance of the unanticipated

arrivals to the expected arrivals and the

impact on available services; letter from

the national voluntary agency(ies)

substantiating that there will be an

unanticipated arrival of at least 100 or

more refugees or entrants of the target

population or secondary migrants.

2. Description of the planning

process. A list of organizations by name

and their role in the project activities,

and a list of all organizations in the

community(ies) providing services to

the unanticipated refugees. Summary of

the planning activities with lists of

participants, dates of meetings and

summary and results of the discussions.

Letters of support from the resettlement

network agencies who either participate

in the project or whose work with

refugees will be affected by the

proposed grant activities.

3. Organizational qualifications.

Demonstration of organizational

qualifications of the agency proposed to

act as fiscal agent for the project. For

each organization proposed for project

activities, include staff and position

information with biographical sketch of

known staff or summary of desired

qualifications and position activities.

4. Project goals. Statement of

outcomes and performance measures

that will demonstrate impact of the

project on the arriving refugees. Plan for

continuation of services following the

period of grant support. Letter from

State Coordinator acknowledging the

presence of unanticipated arrivals and

stating their openness to discuss

continuation of support at the close of

the project.

5. Project line item budget and budget

justification. A line item budget and

narrative justification which conform to

Block 15 of the SF 424 object class

categories. The justification must

include estimation methods, unit costs,

and whatever quantitative detail is

sufficient for the calculation to be

replicated.

D. Application Review Criteria

1. Quality of the description of the

target population; the justification of the

significance of the unanticipated arrival

population relative to the expected

arrivals; their need for services; and a

letter from the national voluntary

agency(ies). (15 points)

2. Quality and appropriateness of the

planning process and the resulting

project strategy; evidence of appropriate

collaboration with other refugee service

providers and public and private

organizations serving the unanticipated

refugees; and adequacy and

reasonableness of the strategy and

proposed activities to achieve the

projected outcomes. (35 points)

3. Qualifications of the organization(s)

proposed to carry out the project

activities; evidence of collaboration;

capability in acting as fiscal agent, if

applicable. (15 points)

4. Quality of the project goals;

appropriateness of the performance

measures to the project activities;

appropriateness of the performance

outcomes in demonstrating desirable

impact on the target population of

arriving refugees. (20 points)

5. Appropriateness and

reasonableness of the costs in the

budget; clarity and reasonableness of the

line item narrative justification.

Evidence that the budget items reflect

the project activities. (15 points)

Category 3—Community Orientation

Activities and Assistance Program

Grants for Local Communities

A. Purpose and Scope

Since 1992, the majority of refugee

arrivals in the United States represent

ethnically diverse populations from

such countries as Russia, Somalia,

Bosnia, Croatia, and Iraq. Compared to

the pre-1992 refugees, mainly Southeast

Asians who were provided overseas

classroom orientation training, the

majority of the post-1992 refugees have

not attended a pre-departure formal

cultural orientation program in

preparation for their new life in the

United States.

Funding constraints and restrictive

conditions at some transit and departure

locations, where refugees are processed

for entry into the U.S., contribute to the

lack of preparation for life in a new

country. This is particularly evident

where new refugee arrivals do not have

access to pre-departure orientation

organized by resettlement agencies

funded under the auspices of the U.S.

Department of State, Bureau for

Population, Refugees, and Migration.

In addition to scarce, pre-arrival

orientation, there are few communities

in the U.S. where new arrivals can join

members of their own ethnic group.

Notwithstanding, information about

American life and resources are usually

provided through friends or through

word-of-mouth. Service providers who

come into contact with new arrivals

may not be sufficiently knowledgeable

of the culture and values of the new

arrivals. Furthermore, limited bilingual

and bicultural resources further

exacerbate the assistance effort as well

as the new arrivals’ process of

integration into their communities.

ORR is aware that to assist these new

arrivals to become economically selfsufficient and self-reliant within their

newly resettled communities, a

comprehensive, culturally and

linguistically appropriate orientation

program is key. Additionally, a crosscultural training and orientation

program for local refugee and

mainstream service providers may

enhance their assistance efforts with

newly arriving refugees and reduce the

conflict or friction of cultural and social

misunderstandings.

B. Objectives of ORR

1. To provide comprehensive

culturally and linguistically appropriate

orientation training to newly arrived

refugee families through bilingual, bicultural staff representative of the new

arrivals’ cultural and linguistic makeup.

2. To identify sub-groups (e.g., homebound women, the elderly, and youth)

of new arrivals who are more likely to

face significant cultural obstacles to

their transition to a new life and to

provide them specialized orientation

training customized to their specific

needs.
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64861

3. To provide orientation and crosscultural training to refugee and

mainstream service providers on new

refugee populations.

4. To provide training to refugee

caseworkers and interpreters to improve

their ability to deliver culturally and

linguistically appropriate services to

new refugee populations.

5. To provide the mainstream

community with information about new

refugee populations resettled in their

community.

6. To provide new ethnic

communities with small amounts of

funds to form advisory groups for the

purpose of community and grass roots

organizing.

C. Allowable Orientation Activities for

1. Newly Arriving Refugee

Populations. Conducting outreach (for

example, home visits and ethnic group

meetings) to new arrivals to determine

needs.

Convening a local work group/task

force on orientation. The composition of

the group must include representatives

of the ethnic composition of new

arrivals. The primary purpose of the

orientation work group is to plan and

consult with local new arrivals and

ethnic communities on the type of

orientation materials, services, and

training design which best fit their

needs.

Adapting, if necessary, existing

orientation materials to ensure that

materials are culturally appropriate for

the target population.

Designing and implementing an

orientation and cross-cultural training

program by bilingual and bicultural staff

for the newly arriving refugee

population, taking into consideration

training customized to the specific

informational needs of each group, for

example, heads of households, homebound women, youth, and the elderly.

Designing and implementing a

mechanism of ensuring customer

feedback and assessment of each

training session. Customers’ feedback

must be incorporated for improvement

of future training.

Compiling records and materials of

training activities into a training

package for replication with other new

arrivals.

2. Refugee and Mainstream Service

Providers and the Community-at-Large.

Planning and consulting with refugee

and mainstream service providers on

their need for information on new

arrivals, and providing training to

service providers, caseworkers, and

interpreters to improve their ability to

deliver culturally and linguistically

appropriate services to new refugee

populations.

Designing a mechanism of ensuring

customer feedback and conducting

assessment of each training session.

Customers’ feedback will be

incorporated into future training.

Compiling records and materials of

training activities into a training

package for future replication with other

new arrivals.

Conducting public relations activities,

such as providing information via a

newsletter, informational brochures or

video, and attending community

meetings to provide to the communityat-large information about new refugee

arrivals resettled in their community.

3. Ethnic Community Groups.

Convening or assisting in convening,

members of newly arriving ethnic

communities to form their own advisory

board for self-help purposes.

Recording all community assistance

activities in the form of reports and case

studies for future use by other ethnic

communities in community organizing

and development.

D. Application Content. Applications

for the Community Orientation and

Assistance Program should contain a

detailed description of proposed

activities and a plan of action, including

a timetable for implementation, and

anticipated measurable outcomes and

benefits which directly meet the needs

of the target population to be served.

These areas should be addressed:

1. An understanding and knowledge

of the unique characteristics, cultural

background, and needs of the target

groups to be served, including

discussion of the service methodology

that would be linguistically and

culturally appropriate for each target

group.

2. An understanding of the domestic

and overseas orientation services as well

as how linkage and coordination can be

established between the overseas and

domestic service providers to maintain

continuity of services to meet the

orientation needs of the new arrivals.

3. Planning and consultation with the

target population, e.g., new arrivals and

refugee and mainstream service

providers, to design and implement an

orientation program that best fits their

needs. How the applicant proposes to

provide a comprehensive and

coordinated project design,

implementation timelines, and

achieving measurable outcomes.

4. Convening, or assist in convening,

members of the newly arriving ethnic

groups in their effort toward organizing

for self-help. Description of how the

proposed advisory groups are to be

established.

5. Public relations activities with the

community-at-large focusing on mutual

understanding and good will between

the refugees and local communities.

6. Customer feedback and assessment

of the training as well as the project’s

progress, and how the results of

customers’ feedback will be used.

E. Application Review Criteria

1. Demonstrated knowledge of the

unique characteristics of the various

populations to be served; demonstrated

experience in the provision of

orientation service and/or training; and

knowledge of which service modality

best fits each target population. (25

points)

2. Demonstrated understanding of

overseas and domestic orientation

services, and the appropriateness of the

proposed plan for linkage and

coordination. (10 points)

3. Adequacy and applicability of the

project management plan in the areas of

planning, designing, implementing,

timelines, and proposed measurable

outcomes. Qualifications of the

applicant to carry out all the proposed

activities successfully. (25 points)

4. Demonstrated reasonableness and

cost effectiveness in the budget with

reference to the use of bilingual and

bicultural staff in all professional

capacities, the staffing plan, and

qualifications of key personnel. (15

points)

5. Demonstrated knowledge of refugee

ethnic communities, and experience in

community organizing and

development. (10 points)

6. Appropriateness of proposed

project’s measurable outcomes. (15

points)

Category 4—National Technical

Assistance Project in Refugee

Orientation, Cross-cultural Training and

Alliance Building

A. Purpose and Availability of Funds:

This section announces the

availability of Fiscal Year 1998 funds for

a national technical assistance project

for refugee orientation, cross-cultural

training, and alliance building in

communities heavily impacted by

recent refugee arrivals. The purpose of

this category is to respond to the

immediate needs of States, refugee and/

or local service agencies, and

mainstream agencies: for training and

technical assistance in cross-cultural

awareness and knowledge; for skills

enhancement in resolving and

mediating cross-cultural conflict

between and among refugee and nonrefugee groups; and for providing

culturally and linguistically appropriate
64862 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

service methodologies to refugee

communities.

The successful applicant will provide

group training and technical assistance

in approximately twelve (12) sites

identified as impacted by new refugee

arrivals, and may include the grantees

funded under Category 3 of this

announcement. Partnerships with ORR

customers, e.g., States, other grantees,

community-based organizations (CBOs),

and other Federal agencies, will be

initiated to coordinate nationally in the

areas of conflict resolution and

mediation and to enhance knowledge of

cross-cultural understanding and

alliance building.

ORR anticipates funding one project

through the mechanism of a cooperative

agreement. ORR will be closely involved

in the review and approval of the

following: site selection criteria, sites

and recipients of the technical

assistance and training, training

curricula, assessment tools, on-site

training and technical assistance

sessions and materials, and all projectrelated reports.

B. Allowable Activities

Proposed activities should be tailored

to reflect the orientation, cross-cultural

and mediation needs of local

communities. The types of activities

which ORR may fund include, but are

not limited to, the following:

1. Convening a national training and

technical assistance work group for

project consultation and design, to

identify expert trainers, and to develop

strategies for dissemination of project

outcomes;

2. Identifying proven best practices in

cross-cultural conflict resolution and

alliance building for the purpose of

adapting them to the training and

technical assistance needs of the project

participants;

3. Identifying the needs of State and

local agencies for assistance in

orientation, conflict resolution and

mediation strategies, and culturally and

linguistically appropriate service

delivery;

4. Developing a training plan of

orientation, conflict resolution and

mediation for local communities which

includes expanding the involvement

and participation of non-refugee local

agencies through such activities as

group training and on-site

individualized sessions for all agencies

which interface with newly arrived

refugees;

5. Developing assessment and

evaluation tools, and conducting

assessment of project activities;

6. Developing a list of training and

technical resources, and devising a

system for updating and transferring

training technology for future use;

7. Establishing an electronic medium

for dissemination of information and

refugee training resources for use by

other practitioners.

C. Application Content

1. A discussion of the purpose of the

technical assistance and training

activities to be conducted under the

scope of the grant.

2. A comprehensive description of the

plan for providing coordination of

project activities at the local, state, and

regional levels.

3. A comprehensive list of proposed

sites for the technical assistance OR a

comprehensive list of criteria for site

selection.

4. A discussion of the proposed plan

for technical assistance and training for

each site and target group.

5. A description of the process to form

a national training and technical

assistance workgroup. A list of the

criteria for selection of the task force

members.

6. A description of the management of

the plan for implementation of all

project activities.

7. A description of the expected

measurable outcomes for each project

activity.

8. A list of the proposed project’s key

personnel and/or consultants.

9. A proposed budget with narrative

justifying each line item.

D. Application Review Criteria

Applications will be reviewed and

scored on a competitive basis against

the following evaluative criteria. Points

are awarded only to applications which

respond to this competitive area and to

these criteria:

1. The extent to which the purpose of

the project is met, including how the

training and technical assistance needs

of local sites are identified and

proposed to be met, and the benefits

(measurable outcomes vs. process

outcomes) to be gained by each target

group. (15 points)

2. The comprehensiveness of the

proposed plan for coordination of

project services at the local, state, and

regional level. The extent to which the

proposed sites (or site characteristics, if

specific sites have not been selected) are

appropriate and directly related to the

objectives of the project. (10 points)

3. The criteria for selection (e.g.,

qualifications and experience in

working with refugees, and in fields

related to the objectives of the project)

of proposed members of the national

training and technical assistance

workgroup. (5 points)

4. The quality of the plan of operation

and management. The extent to which

the plan of management ensures

implementation of project activities and

customer feedback, the adequacy of

proposed resources, and the ability of

the applicant to deliver the services in

a timely manner. (20 points)

5. The quality of the proposed

training and technical assistance plan

for each site and target group, the

appropriateness of training and

personnel resources, and the degree to

which the training will increase the

capacity of the trainees to provide

quality services to their refugee clients

and/or increase the capability of the

trainees to design and implement crosscultural and conflict resolution

strategies. (20 points)

6. The qualifications and experiences

of key personnel and/or consultants in

working with the target population and

in fields related to the objectives of the

project. (10 points)

7. The quality of the proposed plan of

assessment of project activities, and

appropriateness of proposed project

measurable outcomes (versus process

outcomes). (10 points)

8. The cost-effectiveness and

reasonableness of the proposed budget,

and budget narrative. (10 points)

Category 5—Mental Health Services

A. Purpose and Scope

The condition of a refugee’s physical

and mental health is a major factor

affecting resettlement and socioeconomic adjustment. The most serious

mental health conditions, such as

depression, anxiety-related disorders,

and post traumatic stress disorders are

often seen in refugees who have

experienced severe trauma, physical

abuse, and torture.

Most refugees receive pre- and postarrival health screening at the time of

their entry into the United States. It is

through screenings that physical health

conditions are diagnosed and treated.

Serious mental health conditions are

sometimes identified by health

screeners and service providers, but

more frequently they are not diagnosed

until much later in the resettlement

process. These mental health conditions

interfere with a refugee’s progress

toward economic self-sufficiency.

Especially vulnerable are refugees who

have experienced traumatic events, such

as the death of relatives, loss of home,

and witnessing of atrocities, either

before they leave their country of origin

and/or during migration. Some have

experienced physical and psychological

torture, deprivation, hunger, isolation,

and violence. In addition, refugees are
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64863

often further traumatized during the

resettlement process because their

cultural backgrounds are in sharp

contrast with mainstream American

social and cultural practices.

For many, resettlement means

mastering a new language and adjusting

to U.S. society and its economy, its

expectations, customs, and cultural

values, which may be significantly

different from their own. These

challenges confront all refugees, but are

more difficult for those who suffered

major physical, social, economic and

political losses.

Less serious, but also a barrier to

economic self-sufficiency, are transitory

emotional difficulties which can be

characterized as social adjustment

problems. If not adequately addressed,

these may accumulate over time and

hamper the resettlement process. Often

these problems are handled by

supportive bilingual resettlement staff

and ESL teachers who have an

understanding of the refugees’ plight

and are sensitive to the challenges and

difficulties refugees face. This support

often facilitates the refugees’ transition

to their adoptive country and lessens

the impact of migration-related

stressors, contributing to the refugees’

progress towards self-sufficiency.

Beyond the support from resettlement

staff, volunteers, and ESL teachers,

refugees frequently do not receive

mental health services. Most community

mental health services do not have

bilingual staff who match the local

refugee groups. Also, refugees are often

not receptive to mental health services

because of the stigma attached to mental

illness. Direct service workers can

become overwhelmed by working with

individuals who have experienced

torture and other trauma. Regular

consultation for direct case workers

from experienced mental health

professionals can provide useful

feedback to improve services to refugees

disabled by trauma and supportive

professional relationships.

B. Objectives of ORR

ORR seeks to provide resources to

local community organizations to

address the need for mental health

interventions in the refugees’

communities in the following ways:

staff development training for bilingual

caseworkers, ESL teachers, and

volunteers; orientation of refugees to

promote understanding and utilization

of supportive assistance; and orientation

of mainstream mental health providers

to the refugee program, to arriving

refugee populations, and to multicultural perspectives for effective

treatment of refugees. It is ORR’s intent

that direct service workers, such as

bilingual case managers, ESL teachers,

and volunteers who often provide

important support to refugees, have the

benefit of regular consultation for the

purpose of increasing their effectiveness

in working with refugees who are

experiencing the results of torture and

social adjustment issues due to

migration.

Also, ORR seeks to promote an

increase in the level of awareness of

available mental health services among

newly arriving refugee populations that

have experienced significant trauma. In

addition to staff development and

orientation, it is permissible as part of

this project to provide direct clinical

services to refugee patients in order to

expand knowledge and technical

expertise related to refugee groups that

have experienced torture and other

trauma. The technical knowledge of

each group and the effective treatment

strategies gained through each project

shall be made available through written

reports and oral presentations to the

ORR refugee resettlement program at

conferences convened by ORR, to the

mental health community projects

funded by ORR, and to the Community

Mental Health Services, SAMHSA

(PHS). However, the main objective of

this category is the expansion and

dissemination of information on

effective treatment to direct workers

providing services to the particular

refugee group with associated trauma.

C. Allowable Activities

ORR will accept applications under

this Category for the following activities:

(1) ongoing mental health professional

consultation, supervision, and training

for bilingual caseworkers, ESL teachers,

and volunteers in working with refugees

who are in the process of resettlement

and exhibiting extreme behaviors; (2)

orientation to U.S. mental health

services for newly arriving refugees; (3)

orientation of mental health

professionals to newly arriving refugees

and the programs of resettlement; and

(4) development of a body of technical

knowledge and expertise concerning

newly arriving refugees who have

experienced severe trauma and the

clinical interventions that are

therapeutically effective with them.

D. Application Content

1. A description of the target

population(s) and their need for the

proposed project activities: i.e.,

orientation; staff development; or

development of technical assistance.

2. A description of the planning

process used in developing the

application: the names of the

organizations and the roles played in

the planning; a comprehensive list of all

organizations in the community

working with the target population; and

the manner by which all direct service

professional staff will benefit from the

project’s orientation, consultation and

training services.

3. A description of the project

strategy: orientation; staff development;

and development of technical assistance

to address the target populations’ need

for mental health services as listed

under ‘‘allowable activities.’’

4. A statement of the status of need for

services and the projected outcomes

expected from the services provided.

5. A description of the management

plan providing oversight, monitoring,

and program reports, including the

applicant agency’s qualifications to

carry out the proposed activities; and

key personnel, including consultants for

professional mental health services.

6. A line-item budget with narrative

justification for each item.

E. Application Review Criteria

1. Adequacy of the description of the

target population(s) and the need for

proposed activities. (10 points)

2. Demonstration that the planning

process is community-wide and

comprehensive in addressing the needs

of direct service staff for ongoing

professional consultation, supervision,

and training in working with refugees

exhibiting needs for mental health

services. (20 points)

3. Appropriateness and adequacy of

the strategy of services proposed. (30

points)

4. Relevance and appropriateness of

the proposed program outcomes to the

project’s objectives. (20 points)

5. Adequacy of the management plan,

monitoring plan, and proposed program

reports. Appropriateness of key

personnel and consultants

implementing the project. (10 points)

6. Reasonableness of the budget; the

completeness of the line-item narrative.

Cost-effectiveness of the budget in

providing for the services. (10 points)

Category 6—Ethnic Community

Organizations

A. Purpose and Scope

Respondents to this program category

will be of two general types:

(1) Multi-site or national ethnic

organizations which propose to develop

or strengthen local ethnic agencies and/

or a national network of ethnic

community agencies for purposes of

linking refugees to community

resources; or,

(2) Emerging local ethnic

organizations which seek to function as
64864 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

bridges between newly arrived refugee

groups and mainstream local resources

and organizations.

ORR expects to make approximately 4

national and 6 local awards in this

program area.

A community is self-sufficient when

it has the capacity to generate and

control its own resources, determine its

own goals, set priorities, plan and

mobilize community members,

including the elderly, women and

youth, to work together to achieve these

goals, and to create collaborations with

others from within and outside the

community to further these goals.

ORR recognizes that one key to

strengthening communities is the

development of strong community

based organizations (CBOs). A strong

ethnic organization can tap into the

community’s desire for self-help,

improve services, nurture leaders, raise

funds from various sources, explore

housing and economic opportunities,

collaborate with mainstream agencies

and groups, and at the same time,

remain accountable to the community.

Strong CBOs can also facilitate

positive interaction between refugees

and established residents in mainstream

communities. The ability to organize

and to voice their concerns collectively

gives refugees a better sense of identity

and hope for their own and their

community’s future. Refugee self-help

organizations can be important building

blocks for effective resettlement and can

function as bridges between the refugee

community and local resources.

Many refugees who arrived in this

country during the past two decades

have already organized themselves into

self-help groups in order to assist their

own members, to foster long term

community growth, to preserve their

cultural heritage, and to assist

community members in securing

employment and other social services.

More newly arrived refugee groups, who

have come to the United States in recent

years, have not yet organized into selfhelp groups; consequently, they may be

experiencing barriers to accessing

mainstream resources and full

participation in the economic, social,

and political activities of the larger

community. They lack information

about the process of building

community capacity.

Effective program models for self-help

groups result in:

• Creating a shared, dynamic vision

of the community’s future which

inspires members to work together to

secure that future;

• Moving refugees from being

recipients of services and assistance to

being active partners in their integration

into community;

• Linking individual self-sufficiency

to community self-sufficiency;

• Developing effective leadership

within the organization;

• Allowing local communities to

apply their own cultural, political and

socio-economic values to long term

strategies and programs;

• Creating close connections among

community needs, program, and service

delivery systems;

• Providing avenues for resources

that are generated locally (through

service delivery or economic

development) to remain within the

community;

• Fostering collaboration among

refugee and mainstream service

providers, policy makers, and public

and private institutions.

In recognition of the special

vulnerability of newly arrived

populations, ORR proposes through this

announcement to provide funds to

ethnic organizations established among

refugee groups who have arrived in this

country since 1991. Target populations

range from a minimum of 2,000 to a

maximum of 50,000 arrivals from a

single country between FY 1992 and FY

1996. (ORR has dedicated other

resources toward the ethnic populations

experiencing 100,000 or more arrivals

during this period.)

Further, at least 50% of the specific

ethnic population currently in the U.S.

should have arrived during the past five

years. According to ORR’s data, this

includes refugee populations from the

former Yugoslavia, Haiti, Iraq, Somalia,

Sudan, and Liberia. Awards, however,

will not be based solely on population

numbers, but will be based on the

justification and documentation of the

applicant, including such factors as

community service needs and available

resources. If an applicant can

demonstrate that its ethnic arrivals meet

the minimum threshold of 2,000 for the

same period and correlate with the

above description, the organization

representing that refugee population

may submit an application for funds

under this announcement. The

application must provide

documentation that includes the name,

alien number, date of birth, and date of

arrival in the U.S. for each refugee

claimed.

In continuation applications under

this category, for the subsequent second

through fifth budget periods, applicants

must demonstrate adequate progress

toward project goals and outcomes to be

eligible for continuation funding. In

subsequent year continuation

applications, the grantee will be asked

to document receipt of non-ORR funds

from other sources toward cost-sharing

of the project’s activities. The

requirement will be not less than 10%

of the requested funding for the third

year award, 20% for the fourth year

award, and 30% for the fifth year award.

The cost-sharing may be in cash or inkind contributions.

B. Allowable Activities

Successful national organization

applicants to this notice may propose

activities which may include, but are

not limited to, the following:

• Technical assistance and support to

local ethnic organizations

• Ethnic community development

• Leadership training

• Resource development

• Public education and agency

linkage through an Internet site

• Information dissemination on

ethnic-specific issues

• Convening of national or regional

meetings

• Development or translation of

ethnic-specific publications

Successful local self-help organization

applicants to this notice may propose

any of the following activities:

• Public education activities designed

to inform the refugee community about

issues essential to functioning

effectively in the new society;

• Orientation and assistance to

parents in connecting with school

systems and other local public or

private institutions;

• Information services on health

care—information on access to health

care for the uninsured, on health

insurance, on health maintenance

organizations, on the importance of

preventive health, and on available

universal coverage services, e.g.,

immunizations;

• Pairing refugee individuals or

families with community volunteers;

• Leadership training for such

activities as community organizing,

fund raising, non-profit management;

• Education and training to prepare

refugees to become citizens;

• Information and training on the

roles of men and women in the U.S.

culture, and against child abuse, sexual

harassment and coercion, and domestic

violence, including bilingual staff

assistance for women’s shelters and

techniques for protection;

• Activities designed to improve

relations between refugees and the law

enforcement communities;

• Developing and operating

community centers which serve the

designated, newly arrived refugee

population.

The above are examples of services.

Applicants may propose other services,
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64865

to the extent they are consistent with

the goals stated above, and may request

funds to cover core or general operating

expenses. In all instances, however,

activities must be designed to

supplement, rather than to supplant, the

existing array of refugee services

available in the community.

Applicants must give assurance that

their governing bodies, boards of

directors, or advisory bodies are

knowledgeable and responsive to

refugee concerns. This can be

demonstrated through majority refugee

representation on these bodies or

through some other way. Women should

be included on these representative

bodies, as well.

While activities proposed do not have

to be directly employment related,

planning and coalition building should

be guided by the overarching goal of

improving the economic condition of

refugee families and of giving them the

information needed to adjust socially

and economically to their new country

and their new communities.

Non-Allowable Activities: Funds will

not be awarded to applicants for the

purpose of engaging in activities of a

distinctly political nature, activities

designed exclusively to promote the

preservation of a specific cultural

heritage, or activities with an

international objective (i.e., activities

related to events in the refugees’ country

of origin).

C. Application Content

Applications for Ethnic Community

Organizations at the local or national

level (as specified on the SF–424

Application for Federal Assistance,

Boxes 11. and 12.) should contain the

following information:

1. A discussion of the national or

local focus relevant to the refugee

ethnicity which the applicant seeks to

represent or serve including numbers

and dates of arrival, and an analysis of

the need for this project with reference

to the specified population;

2. A description of the applicant’s

expertise (organizational or leadership),

to include a project staffing plan with

staff and consultant (if proposed)

qualifications, evidence of applicant

(but not necessarily the ethnic

organization’s) nonprofit incorporation,

a list of Board of Directors or

representative refugee advisors

indicated with gender, and a discussion

of how directors or advisors were

chosen;

3. A statement of the project goals and

objectives with anticipated outcomes

and results of benefit to the local or

national ethnic community;

4. A description of local or national

ethnic community planning and support

to work collaboratively on the project. If

the project is designed to enhance

ethnic leadership, the application

should describe how these individuals

have been or will be identified and how

the overall community will be brought

into the plan;

5. A proposed plan of action,

including the scope of activities and a

timetable for implementation;

6. An estimated line item budget

narrative with a detailed justification of

how the applicant arrived at estimated

costs.

D. Application Review Criteria

Each project proposal will be rated

individually by an independent review

panel using the criteria described below.

Local level projects and national/multistate projects will be ranked separately.

In making awards, the Director will

exercise some discretion to ensure that

a range of ethnicities are supported in

their self-help efforts under this

program.

1. Degree to which the applicant

understands the focus and need of the

relevant ethnic group, as evidenced by

the discussion presented. (10 points)

2. Applicant’s capacity, including any

enhancement due to proposed partners

or consultants, to implement the

proposed plan of action. (15 points)

3. Appropriateness of goals and the

extent to which outcomes proposed are

measurable. (20 points)

4. Evidence of ethnic community

involvement in the project planning,

suitable identification of project leaders

as appropriate, and support for the plan

of action. (15 points)

5. Clarity and appropriateness of the

project design, plan of action and

timetable for implementation, and

likelihood that proposed activities and

results will benefit the community. (30

points)

6. The budget is reasonable, clearly

presented, sufficiently detailed, and cost

effective. (10 points)

Part II. General Application

Information and Guidance

All applications which meet the

stipulated deadline and other

requirements will be reviewed

competitively and scored by an

independent review panel of experts in

accordance with ACF grants policy and

the criteria stated below. The results of

the independent review panel scores

and explanatory comments will assist

the Director of ORR in considering

competing applications. Reviewers’

scores will weigh heavily in funding

decisions but will not be the only

factors considered. Applications

generally will be considered in order of

the average scores assigned by the

reviewers. Highly ranked applications

are not guaranteed funding since other

factors are taken into consideration,

including: comments of reviewers and

of ACF/ORR officials; previous program

performance of applicants; compliance

with grant terms under previous DHHS

grants; audit reports; and investigative

reports. Final funding decisions will be

made by the Director of ORR.

A. Application Preparation and

Submission

Availability of Forms—Attachments

contain all of the standard forms

necessary for the application for awards

under this announcement. Further,

copies of the Federal Register

containing this announcement are

available at most local libraries and

Congressional District Offices for

reproduction. If copies are not available

at these sources, they may be obtained

by writing or telephoning the following

office: Office of Refugee Resettlement,

370 L’Enfant Promenade S.W.,

Washington, D.C. 20447, Telephone:

(202) 401–9251.

B. Forms, Certifications, Assurances,

and Disclosure

1. Applicants for financial assistance

under this announcement must file the

Standard Form (SF) 424, Application for

Federal Assistance; SF–424A, Budget

Information—Non-Construction

Programs; SF–424B, Assurances—NonConstruction Programs. The instructions

and forms required for submission of

applications are included. The forms

may be reproduced for use in submitting

applications. An application with an

original signature and two copies is

required.

The two letter designations for the

Categories of the Standing

Announcement Discretionary Grants

are: category 1, RP; category 2, RU;

category 3, RO; category 4, RB; category

5, RM; and category 6, RE. The

applicant should identify each

application accordingly on the face page

of the SF 424, item 11.

2. Budget and Budget Justification—

Provide line item detail and detailed

calculations for each budget object class

identified on the Budget Information

form. Detailed calculations must

include estimation methods, quantities,

unit costs, and other similar quantitative

detail sufficient for the calculation to be

duplicated. The detailed budget must

also include a breakout by the funding

sources identified in Block 15 of the SF–

424.
64866 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

Provide a narrative budget

justification that describes how the

categorical costs are derived. Discuss

the necessity, reasonableness, and

allocability of the proposed costs.

The following guidelines are for

preparing the budget and budget

justification. Both Federal and nonFederal resources shall be detailed and

justified in the budget and narrative

justification. According to the

instructions for completing the SF–

424A and the preparation of the budget

and budget justification, ‘‘Federal

resources’’ refers only to the ACF/ORR

grant for which you are applying. NonFederal resources are all other Federal

and non-Federal resources. It is

suggested that budget amounts and

computations be presented in a

columnar format: first column, object

class categories; second column, Federal

budget; next column(s), non-Federal

budget(s), and last column, total budget.

The budget justification should be a

narrative.

Personnel: Costs of employee salaries

and wages. Identify the project director

and for each staff person, provide the

title, time commitment to the project (in

months), time commitment to the

project (as a percentage or full-time

equivalent), annual salary, grant salary,

wage rates, etc. Do not include the costs

of consultants or personnel costs of

delegate agencies.

Fringe Benefits: Costs of employee

fringe benefits unless treated as part of

an approved indirect cost rate.

Provide a breakdown of the amounts

and percentages that comprise fringe

benefit costs such as health insurance,

FICA, retirement insurance, taxes, etc.

Travel: Costs of project-related travel

by employees of the applicant

organization (does not include costs of

consultant travel).

For each trip, show the total number

of traveler(s), travel destination,

duration of trip, per diem, mileage

allowances, if privately owned vehicles

will be used, and other transportation

costs and subsistence allowances.

Travel costs for key staff to attend ACF/

ORR-sponsored workshops should be

detailed in the budget.

Equipment: Costs of tangible, nonexpendable, personal property, having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit.

For each type of equipment requested,

provide a description of the equipment,

the cost per unit, the number of units,

the total cost, and a plan for use on the

project, as well as use or disposal of the

equipment after the project ends.

Supplies: Costs of all tangible

personal property other than that

included under the Equipment category.

Specify general categories of supplies

and their costs. Show computations and

provide other information which

supports the amount requested.

Contractual: Costs of all contracts for

services and goods except for those

which belong under other categories

such as equipment, supplies, etc.

Contracts with secondary recipient

organizations, including delegate

agencies (if applicable), should be

included under this category.

All procurement transactions shall be

conducted in a manner to provide, to

the maximum extent practical, open and

free competition. If procurement

competitions were held or if

procurement without competition is

being proposed, attach a list of proposed

contractors, indicating the names of the

organizations, the purposes of the

contracts, the estimated dollar amounts,

and the award selection process. Justify

any anticipated procurement action that

is expected to be awarded without

competition and exceed the simplified

acquisition threshold fixed at 41 USC

403(11). Recipients might be required to

make available to ACF pre-award review

and procurement documents, such as

request for proposals or invitations for

bids, independent cost estimates, etc.

Note: Whenever the applicant intends to

delegate part of the project to another agency,

the applicant must provide a detailed budget

and budget narrative for each delegate

agency, by agency title, along with the

required supporting information referred to

in these instructions.

Other: Enter the total of all other

costs. Such costs, where applicable and

appropriate, may include but are not

limited to insurance, professional

services costs, space and equipment

rentals, printing and publication,

computer use, training costs, such as

tuition and stipends, staff development

costs, and administrative costs.

Provide computations, a narrative

description and a justification for each

cost under this category.

Indirect Costs: This category should

be used only when the applicant

currently has an indirect cost rate

approved by the Department of Health

and Human Services or another

cognizant Federal agency.

An applicant proposing to charge

indirect costs to the grant must enclose

a copy of the current rate agreement. If

the applicant organization is in the

process of initially developing or

renegotiating a rate, it should

immediately upon notification that an

award will be made, develop a tentative

indirect cost rate proposal based on its

most recently completed fiscal year in

accordance with the principles set forth

in the cognizant agency’s guidelines for

establishing indirect cost rates, and

submit it to the cognizant agency.

Applicants awaiting approval of their

indirect cost proposals may also request

indirect costs. It should be noted that

when an indirect cost rate is requested,

those costs included in the indirect cost

pool should not also be charged as

direct costs to the grant. Also, if the

applicant is requesting a rate which is

less than what is allowed under the

agreement, the authorized

representative of the applicant

organization must submit a signed

acknowledgement that the applicant is

accepting a lower rate than allowed.

Program Income: The estimated

amount of income, if any, expected to be

generated from this project.

Describe the nature, source and

anticipated use of program income in

the budget or refer to the pages in the

application which contain this

information. Program income generated

under any Federal grant resulting from

this announcement shall be used in one

of the following ways: (1) deducted from

the total project costs, (2) under costsharing used for allowable costs to

satisfy this requirement, (3) added to

funds committed to the project and used

to further program objectives. For 1 or

2, the income should be used for current

costs unless the awarding agency

authorizes deferral to a later period. For

3, there is no requirement to request

prior approval to defer use of program

income for a later period.

Non-Federal Resources: Amounts of

non-Federal resources that will be used

to support the project as identified in

Block 15 of the SF–424.

The firm commitment of these

resources must be documented and

submitted with the application in order

to be given credit in the review process.

A detailed budget must be prepared for

each funding source.

3. Applicants must provide the

following certifications. Copies of the

forms and assurances are located at the

end of this announcement.

a. Certification regarding lobbying if

your anticipated award exceeds

$100,000.

b. Certification regarding

environmental tobacco smoke. By

signing and submitting the applications,

applicant provides certification that

they will comply with the requirements

of the Pro-Children Act of 1994 (P.L.

103–227, Part C—Environmental

Tobacco Smoke) and need not mail back

the certification with the application.

c. Certification regarding debarment,

suspension, and other Ineligibility. By

signing and submitting the applications,

applicant provides certification that
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64867

they are not presently debarred,

suspended or otherwise ineligible for

this award and therefore need not mail

back the certification with the

application.

d. Drug-Free Workplace Act of 1988.

C. Deadline

1. Mailed applications shall be

considered as meeting an announced

deadline if they are received on or

before the deadline date or sent on or

before the deadline date and received by

ORR in time for the independent

review. Applications should be mailed

to: Office of Refugee Resettlement,

Administration for Children and

Families, Division of Community

Resettlement, 370 L’Enfant Promenade,

S.W., Sixth Floor, Washington, D.C.

20447, Attention: Standing Competition.

Applicants must ensure that a legibly

dated U.S. Postal Service postmark, or a

legibly dated, machine produced

postmark of a commercial mail service

appears on the envelope/package

containing the application(s). An

acceptable postmark from a commercial

carrier is one which includes the

carrier’s logo/emblem and shows the

date the package was received by the

commercial mail service. Private

metered postmarks shall not be

acceptable as proof of timely mailing.

Applications hand-carried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting an announced

deadline if they are received on or

before the deadline date, between the

hours of 8:00 a.m. and 4:30 p.m., at the

Administration for Children and

Families, Office of Refugee

Resettlement, Aerospace Center, 901 D

Street, S.W., Washington, D.C. 20024,

between Monday and Friday (excluding

Federal holidays). (Applicants are

cautioned that express/overnight mail

services do not always deliver as

agreed.)

ACF cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ACF electronically will not be accepted

regardless of date or time of submission

and time of receipt.

2. Late applications: Applications

which do not meet the criteria above are

considered late applications. ACF shall

notify each late applicant that its

application will not be considered in

the current competition.

3. Extension of deadlines: ACF may

extend the deadline for applicants

affected by acts of God such as floods

and hurricanes, or when there is

widespread disruption of the mails. A

determination to waive or extend

deadline requirements rests with the

Chief Grants Management Officer.

4. Once an application has been

submitted, it is considered as final and

no additional materials will be accepted

by ACF.

D. Nonprofit Status

Applicants other than public agencies

must provide evidence of their

nonprofit status with their applications.

Any of the following is acceptable

evidence: (1) A copy of the applicant

organization’s listing in the Internal

Revenue Service’s most recent list of

tax-exempt organizations described in

section 501(c)(3) of the IRS Code; or (2)

a copy of the currently valid IRS tax

exemption certificate.

E. Intergovernmental Review

This program is covered under

Executive Order 12372,

‘‘Intergovernmental Review of Federal

Programs,’’ and 45 CFR Part 100,

‘‘Intergovernmental Review of

Department of Health and Human

Services Programs and Activities.’’

As of June 15, 1997, the following

jurisdictions have elected not to

participate in the Executive Order

process. Applicants from these

jurisdictions need take no action in

regard to E.O. 12372: Alabama, Alaska,

Colorado, Connecticut, Hawaii, Idaho,

Kansas, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, New

Jersey, Ohio, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee,

Vermont, Virginia, Washington,

American Samoa, and Palau.

All remaining jurisdictions participate

in the E.O. process and have established

Single Points of Contact (SPOCs). A list

of the Single Points of Contact for each

State and Territory is included as

Appendix A of this announcement.

Applicants from participating

jurisdictions should contact their SPOCs

as soon as possible to alert them to the

prospective applications and receive

instructions. Applicants must submit

any required material to the SPOCs as

soon as possible so that ORR can obtain

and review SPOC comments as part of

the award process. The applicant must

submit all required materials, if any, to

the SPOC and indicate the date of this

submittal (or the date of contact if no

submittal is required) on the Standard

Form 424, item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has

60 days from the application deadline to

comment on proposed new or

competing continuation awards. SPOCs

are encouraged to eliminate the

submission of routine endorsements as

official recommendations.

Additionally, SPOCs are requested to

clearly differentiate between mere

advisory comments and those official

State process recommendations which

may trigger the ‘‘accommodate or

explain’’ rule. When comments are

submitted directly to ACF, they should

be addressed to: Department of Health

and Human Services, Administration for

Children and Families, Office of Refugee

Resettlement, Division of Community

Resettlement, 6th Floor, 370 L’Enfant

Promenade, S.W., Washington, D.C.

20447.

F. Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act

of 1995, Pub. Law 104–13, the

Department is required to submit to the

Office of Management and Budget

(OMB) for review and approval any

reporting and record keeping

requirements in regulations, including

program announcements. All

information required by this is covered

under the OMB Approval No. 0970–

0139, ACF Uniform Project Description.

G. Applicable Regulations

Applicable DHHS regulations can be

found in 45 CFR part 74 or 92.

H. Reporting Requirements

Grantees are required to file the

Financial Status Report (SF–269) semiannually and Program Progress Reports

on a quarterly basis. Funds issued under

these awards must be accounted for and

reported upon separately from all other

grant activities.

Although ORR does not expect the

proposed components/projects to

include evaluation activities, it does

expect grantees to maintain adequate

records to track and report on project

outcomes and expenditures by budget

line item.

The official receipt point for all

reports and correspondence is the ORR

Division of Community Resettlement.

An original and one copy of each report

shall be submitted within 30 days of the

end of each reporting period directly to

the Project Officer named in the award

letter. The mailing address is: 370

L’Enfant Promenade S.W., Sixth Floor,

Washington, D.C. 20447.

A final Financial and Program Report

shall be due 90 days after the budget

expiration date or termination of grant

support.

(The Catalog of Federal Domestic Assistance

[CFDA] number assigned to this

announcement is 93.576)
64868 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

Dated: December 1, 1997.

Leonard Glickman,

Acting Director, Office of Refugee

Resettlement.

OMB State Single Point of Contact

Listing

ARIZONA

Joni Saad, Arizona State Clearinghouse,

3800 N. Central Avenue, Fourteenth

Floor, Phoenix, Arizona 85012,

Telephone: (602) 280–1315, FAX:

(602) 280–1305

ARKANSAS

Mr. Tracy L. Copeland, Manager, State

Clearinghouse, Office of

Intergovernmental Services,

Department of Finance and

Administration, 1515 W. 7th St.,

Room 412, Little Rock, Arkansas

72203, Telephone: (501) 682–1074,

FAX: (501) 682–5206

CALIFORNIA

Grants Coordinator, Office of Planning &

Research, 1400 Tenth Street, Room

121, Sacramento, California 95814,

Telephone: (916) 323–7480, FAX:

(916) 323–3018

DELAWARE

Francine Booth, State Single Point of

Contact Executive Department,

Thomas Collins Building, P.O. Box

1401, Dover, Delaware 19903,

Telephone: (302) 739–3326, FAX:

(302) 739–5661

DISTRICT OF COLUMBIA

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. &

Dev., 717 14th Street, N.W.—Suite

500, Washington, D.C. 20005,

Telephone: (202) 727–6554, FAX:

(202) 727–1617

FLORIDA

Florida State Clearinghouse, Department

of Community Affairs, 2740

Centerview Drive, Tallahassee,

Florida 32399–2100, Telephone: (904)

922–5438, FAX: (904) 487–2899

GEORGIA

Tom L. Reid, III, Administrator, Georgia

State Clearinghouse, 254 Washington

Street, S.W.—Room 401J, Atlanta,

Georgia 30334, Telephone: (404) 565–

3855 or (404) 656–3829, FAX: (404)

656–7938

ILLINOIS

Virginia Bova, State Single Point of

Contact, Department of Commerce

and Community Affairs, James R.

Thompson Center, 100 West

Randolph, Suite 3–400, Chicago,

Illinois 60601, Telephone: (312) 814–

6028, FAX: (312) 814–1800

INDIANA

Frances Williams, State Budget Agency,

212 State House, Indianapolis,

Indiana 46204–2796, Telephone: (317)

232–5619, FAX: (317) 233–3323

IOWA

Steven R. McCann, Division for

Community Assistance, Iowa

Department of Economic

Development, 200 East Grand

Avenue, Des Moines, Iowa 50309,

Telephone: (515) 242–4719, FAX:

(515) 242–4859

KENTUCKY

Ronald W. Cook, Office of the Governor,

Department of Local Government,

1024 Capitol Center Drive, Frankfort,

Kentucky 40601–8204, Telephone:

(502) 573–2382, FAX: (502) 573–2512

MAINE

Joyce Benson, State Planning Office,

State House Station #38, Augusta,

Maine 04333, Telephone: (207) 287–

3261, FAX: (207) 287–6489

MARYLAND

William G. Carroll, Manager, State

Clearinghouse for Intergovernmental

Assistance, Maryland Office of

Planning, 301 W. Preston Street—

Room 1104, Baltimore, Maryland

21201–3265, Staff Contact: Linda

Janey, Telephone: (410) 225–4490,

FAX: (410) 225–4480

MICHIGAN

Richard Pfaff, Southeast Michigan

Council of Governments, 1900 Edison

Plaza, 660 Plaza Drive, Detroit,

Michigan 48226, Telephone: (313)

961–4266

MISSISSIPPI

Cathy Malette, Clearinghouse Officer,

Department of Finance and

Administration, 455 North Lamar

Street, Jackson, Mississippi 39202–

3087, Telephone: (601) 359–6762,

FAX: (601) 359–6764

MISSOURI

Lois Pohl, Federal Assistance

Clearinghouse, Office of

Administration, P.O. Box 809, Room

760, Truman Building, Jefferson City,

Missouri 65102, Telephone: (314)

751–4834, FAX: (314) 751–7819

NEVADA

Department of Administration, State

Clearinghouse, Capitol Complex,

Carson City, Nevada 89710,

Telephone: (702) 687–4065, FAX:

(702) 687–3983

NEW HAMPSHIRE

Jeffrey H. Taylor, Director, New

Hampshire Office of State Planning,

Attn: Intergovernmental Review

Process, Mike Blake, 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, FAX: (518) 486–5617

NORTH CAROLINA

Chrys Baggett, Director, N.C. State

Clearinghouse, Office of the Secretary

of Admin., 116 West Jones Street,

Raleigh, North Carolina 27603–8003,

Telephone: (919) 733–7232, FAX:

(919) 733–9571

NORTH DAKOTA

North Dakota Single Point of Contact,

Office of Intergovernmental

Assistance, 600 East Boulevard

Avenue, Bismarck, North Dakota

58505–0170, Telephone: (701) 224–

2094, FAX: (701) 224–2308

OHIO

Larry Weaver, State Single Point of

Contact, State Clearinghouse, Office of

Budget and Management, 30 East

Broad Street, 34th Floor, Columbus,

Ohio 43266–0411, Please direct

correspondence and questions about

intergovernmental review to: Linda

Wise, Telephone: (614) 466–0698,

FAX: (614) 466–5400

RHODE ISLAND

Kevin Nelson, Review Coordinator,

Department of Administration/

Division of Planning, One Capitol

Hill, 4th Floor, Providence, Rhode

Island 02908–5870, Telephone: (401)

277–2656, FAX: (401) 277–2083.

Please direct correspondence and

questions to: Review Coordinator,

Office of Strategic Planning

SOUTH CAROLINA

Rodney Grizzle, State Single Point of

Contact, Grant Services, Office of the

Governor, 1205 Pendleton Street—

Room 331, Columbia, South Carolina

29201, Telephone: (803) 734–0494,

FAX: (803) 734–0356
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64869

TEXAS

Tom Adams, Governor’s Office,

Director, Intergovernmental

Coordination, P.O. Box 12428, Austin,

Texas 78711, Telephone: (512) 463–

1771, FAX: (512) 463–1888

UTAH

Carolyn Wright, Utah State

Clearinghouse, Office of Planning and

Budget, Room 116 State Capitol, Salt

Lake City, Utah 84114, Telephone:

(801) 538–1535, FAX: (801) 538–1547

WEST VIRGINIA

Fred Cutlip, Director, Community

Development Division, W. Virginia

Development Office, Building #6,

Room 553, Charleston, West Virginia

25305, Telephone: (304) 558–4010,

FAX: (304) 558–3248

WISCONSIN

Jeff Smith, Section Chief, State/Federal

Relations, Wisconsin Department of

Administration, 101 East Wilson

Street—6th Floor, P.O. Box 7868,

Madison, Wisconsin 53707,

Telephone: (608) 266–0267, FAX:

(608) 267–6931

WYOMING

Matthew Jones, State Single Point of

Contact, Office of the Governor, 200

West 24th Street, State Capitol, Room

124, Cheyenne, Wyoming 82002,

Telephone: (307) 777–7446, FAX:

(307) 632–3909

TERRITORIES

GUAM

Mr. Giovanni, T. Sgambelluri, Director,

Bureau of Budget and Management

Research, Office of the Governor, P.O.

Box 2950, Agana, Guam 96910,

Telephone: 011–671–472–2285, FAX:

011–671–472–2825

PUERTO RICO

Norma Burgos/Jose E. Caro,

Chairwoman/Director, Puerto Rico

Planning Board, Federal Proposals

Review Office, Minillas Government

Center, P.O. Box 41119, San Juan,

Puerto Rico 00940–1119, Telephone:

(809) 727–4444, (809) 723–6190, FAX:

(809) 724–3270, (809) 724–3103

NORTH MARIANA ISLANDS

Mr. Alvaro A. Santos, Executive Officer,

State Single Point of Contact, Office of

Management and Budget, Office of the

Governor, Saipan, MP, Northern

Mariana Islands 96950, Telephone:

(670) 664–2256, FAX: (670) 664–2272,

Contact Person: Ms. Jacoba T. Seman,

Federal Programs Coordinator,

Telephone: (670) 644–2289, FAX:

(670) 644–2272

VIRGIN ISLANDS

Nelson Bowry, Director, Office of

Management and Budget, #41

Norregade Emancipation Garden

Station, Second Floor, Saint Thomas,

Virgin Islands 00802, Please direct all

questions and correspondence about

intergovernmental review to: Linda

Clarke, Telephone: (809) 774–0750,

FAX: (809) 776–0069

In accordance with Executive Order

#12372, ‘‘Intergovernmental Review of

Federal Programs,’’ this listing

represents the designated State Single

Points of Contact. The jurisdictions not

listed no longer participate in the

process BUT GRANT APPLICANTS

ARE STILL ELIGIBLE TO APPLY FOR

THE GRANT EVEN IF YOUR STATE,

TERRITORY, COMMONWEALTH, ETC

DOES NOT HAVE A ‘‘STATE SINGLE

POINT OF CONTACT.’’ STATES

WITHOUT ‘‘STATE SINGLE POINTS

OF CONTACT’’ INCLUDE: Alabama,

Alaska, American Samoa, Colorado,

Connecticut, Kansas, Hawaii, Idaho,

Louisiana, Massachusetts, Palau,

Minnesota, Montana, Nebraska, New

Jersey, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee,

Vermont, Virginia, and Washington.

This list is based on the most current

information provided by the States.

Information on any changes or apparent

errors should be provided to the Office

of Management and Budget and the

State in question. Changes in the list

will only be made upon formal

question. Changes to the list will only

be made upon formal notification by the

State. Also, this listing is published

biannually in the Catalogue of Federal

Domestic Assistance.

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Instructions For The SF 424

Public reporting burden for this collection

of information is estimated to average 45

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget. Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget,

send it to the Address Provided By The

Sponsoring Agency.

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

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

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

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

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

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

13. Self-explanatory.

14. List of applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit allowances, loans

and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.)

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BILLING CODE 4184–01–C
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Instructions for the SF 424A

Public reporting burden for this collection

of information is estimated to average 180

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget,

send it to the address provided by the

sponsoring agency.

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for the whole project except when

applying for assistance which requires

Federal authorization in annual or other

funding period increments. In the latter case,

Sections A, B, C, and D should provide the

budget for the first budget period (usually a

year) and Section E should present the need

for Federal assistance in the subsequent

budget periods. All applications should

contain a breakdown by the object class

categories shown in Lines a–k of Section B.

Section A. Budget Summary Lines 1–4,

Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the catalog program

title and the catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple function or activities, enter the

name of each activity or function on each

line in Column (a), and enter the catalog

number in Column (b). For applications

pertaining to multiple programs where none

of the programs require a breakdown by

function or activity, enter the catalog

program title on each line in Column (a) and

the respective catalog number of each line in

Column (b).

For applications pertaining to multiple

programs where one or more programs

require a breakdown by function or activity,

prepare a separate sheet for each program

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) through (g)

For new applications, leave Columns (c)

and (d) blank. For each line entry in Columns

(a) and (b), enter in Columns (e), (f), and (g)

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

agency. Enter in Columns (c) and (d) the

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

in Columns (e) and (f) the amounts of funds

needed for the upcoming period. The

amount(s) in Column (g) should be the sum

of amounts in Columns (e) and (f).

For supplemental grants and changes to

existing grants, do not use Columns (c) and

(d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

(e) and (f). The amount(s) in Column (g)

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the total for all columns used.

Section B. Budget Categories

In the column headings (1 ) through (4),

enter the titles of the same programs,

functions, and activities shown on Lines 1–

4, Column (a), Section A. When additional

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

Lines 6a–i—Show the totals of Lines 6a to

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total of amounts on

Lines 6i and 6j. For all applications for new

grants and continuation grants the total

amount in column (5), Line 6k, should be the

same as the total amount shown in Section

A, Column (g), Line 5. For supplemental

grants and changes to grants, the total

amount of the increase or decrease as shown

in Columns (1)–(4), Line 6k, should be the

same as the sum of the amounts in Section

A, Columns (e) and (f) on Line 5.

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8–11 Enter amounts of non-Federal

resources that will be used on the grant. If

in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

Column (e)—Enter totals in Columns (b),

(c), and (d).

Line 12—Enter the total for each of

Columns (b)–(e). The amount in Column (e)

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project.

Lines 16–19—Enter in Column (a) the same

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

Columns (b)–(e). When additional schedules

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individual direct object-class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

Assurances—Non-Construction Programs

Public reporting burden for this collection

of information is estimated to average 15

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64875

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget,

send it to the address provided by the

sponsoring agency.

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance and the institutional,

managerial and financial capability

(including funds sufficient to pay the 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 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 (41 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

Title

lllllllllllllllllllll

Applicant Organization

lllllllllllllllllllll

Date Submitted

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BILLING CODE 4184–01–C
64878 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective lower tier participant is

providing the certification set out below.

2. The certification is this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

3. The prospective lower tier participant

shall provide immediate written notice to the

person to which this proposal is submitted if

at any time the prospective lower tier

participant learns that its certification was

erroneous when submitted or had become

erroneous by reason of changed

circumstances.

4. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meaning set out in the Definitions

and Coverage sections of rules implementing

Executive Order 12549. You may contact that

person to which this proposal is submitted

for assistance in obtaining a copy of those

regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

[[Page 33043]] should the proposed covered

transaction be entered into, it shall not

knowingly enter into any lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in

this covered transaction, unless authorized

by the department or agency with which this

transaction originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4

debarred, suspended, ineligible, or

voluntarily excluded from covered

transactions, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

9. Except for transactions authorized under

paragraph 5 of these instructions, if a

participant in a covered transaction

knowingly enters into a low tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency with

which this transaction originated may pursue

available remedies, including suspension

and/or debarment.

* * * * *

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

(1) The prospective lower tier participant

certifies, by submission of this proposal, that

neither it nor its principals is presently

debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily

excluded from participation in this

transaction by any Federal department or

agency.

(2) Where the prospective lower tier

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective primary participant is

providing the certification set out below.

2. The inability of a person to provide the

certification required below will not

necessarily result in denial of participation in

this covered transaction. The prospective

participant shall submit an explanation of

why it cannot provide the certification set

out below. The certification or explanation

will be considered in connection with the

department or agency’s determination

whether to enter into this transaction.

However, failure of the prospective primary

participant to furnish a certification or an

explanation shall disqualify such person

from participation in this transaction.

3. The certification in this clause is a

material representation of fact upon which

reliance was placed when the department or

agency determined to enter into this

transaction. If it is later determined that the

prospective primary participant knowingly

rendered an erroneous certification, in

addition to other remedies available to the

Federal Government, the department or

agency may terminate this transaction for

cause or default.

4. The prospective primary participant

shall provide immediate written notice to the

department or agency to which this proposal

is submitted if at any time the prospective

primary participant learns that its

certification was erroneous when submitted

or has become erroneous by reason of

changed circumstances.

5. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meanings set out in the Definitions

and Coverage sections of the rules

implementing Executive Order 12549. You

may contact the department or agency to

which this proposal is being submitted for

assistance in obtaining a copy of those

regulations.

6. The prospective primary participant

agrees by submitting this proposal that,

should the proposed covered transaction be

entered into, it shall not knowingly enter into

any lower tier covered transaction with a

person who is proposed for debarment under

48 CFR part 9, subpart 9.4, debarred,

suspended, declared ineligible, or voluntarily

excluded from participation in this covered

transaction, unless authorized by the

department or agency entering into this

transaction.

7. The prospective primary participant

further agrees by submitting this proposal

that it will include the clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

provided by the department or agency

entering into this covered transaction,

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

8. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from the covered

transaction, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

10. Except for transactions authorized

under paragraph 6 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64879

remedies available to the Federal

Government, the department or agency may

terminate this transaction for cause or

default.

* * * * *

Certification Regarding Debarment,

Suspension, and other Responsibility

Matters—Primary Covered transactions

(1) The prospective primary participant

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

BILLING CODE 4184–01–P
64880 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices 64881

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

been paid or will be paid, by or on behalf of

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of an agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan, or cooperative agreement, the

undersigned shall complete and submit

Standard Form—LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

section 1352, title 31, U.S. Code. Any person

who fails to file the required certification

shall be subject to a civil penalty of not less

than $10,000 and not more than $100,000 for

each such failure.

Statement for Loan Guarantees and Loan

Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form—LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions. Submission of this statement is

a prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the

required statement shall be subject to a civil

penalty of not less than $10,000 and not more

than $100,000 for each such failure.

Signature llllllllllllllll

Title llllllllllllllllll

Organization llllllllllllll

Date llllllllllllllllll

BILLING CODE 4184–01–P
64882 Federal Register / Vol. 62, No. 236 / Tuesday, December 9, 1997 / Notices

BILLING CODE 4184–01–C
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Certification Regarding Environmental

Tobacco Smoke

Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

as the Pro-Children Act of 1994 (Act),

requires that smoking not be permitted in any

portion of any indoor routinely owned or

leased or contracted for by an entity and used

routinely or regularly for provision of health,

day care, education, or library services to

children under the age of 18, if the services

are funded by Federal programs either

directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded soley by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1000 per day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

[FR Doc. 97–32073 Filed 12–8–97; 8:45 am]

BILLING CODE 4184–01–P

DEPARTMENT OF THE INTERIOR

Bureau of Land Management

[UTU–62159]

Utah; Propose Reinstatement of

Terminated Oil and Gas Lease

In accordance with Title IV of the

Federal Oil and Gas Royalty

Management Act (Pub. L. 97–451), a

petition for reinstatement of oil and gas

lease VTU–62159 for lands in Duchesne

County, Utah, was timely filed and

required rentals accruing from

November 1, 1997, the date of

termination, have been paid.

The lessee has agreed to new lease

terms for rentals and royalties at rates of

$5 per acre and 162⁄3 percent,

respectively. The $500 administrative

fee has been paid and the lessee has

reimbursed the Bureau of Land

Management for the cost of publishing

this notice.

Having met all the requirements for

reinstatement of the lease as set out in

Section 31 (d) and (e) of the Mineral

Leasing Act of 1920 (30 U.S.C. 188), the

Bureau of Land Management is

proposing to reinstate lease UTU–62159,

effective November 1, 1997, subject to

the original terms and conditions of the

lease and the increased rental and

royalty rates cited above.

Robert Lopez,

Group Leader, Minerals Adjudication Group.

[FR Doc. 97–32153 Filed 12–8–97; 8:45 am]

BILLING CODE 4310–DQ–M

DEPARTMENT OF INTERIOR

National Park Service

Delaware and Lehigh Navigation Canal

National Heritage Corridor

Commission Meeting

AGENCY: National Park Service, Interior.

ACTION: Notice of meeting.

SUMMARY: This notice announces an

upcoming meeting of the Delaware and

Lehigh Navigation Canal National

Heritage Corridor Commission. Notice

of this meeting is required under the

Federal Advisory Committee Act (Pub.

L. 92–463).

Meeting Date and Time: Wednesday,

December 17, 1997; 1:30–4:00 p.m.

Address: Zephyr Park Community

Center, Schadt Avenue, Whitehall, PA

18052.

The agenda for the meeting will focus

on implementation of the Management

Action Plan for the Delaware and

Lehigh Canal National Heritage Corridor

and State Heritage Park. The

Commission was established to assist

the Commonwealth of Pennsylvania and

its political subdivisions in planning

and implementing an integrated strategy

for protecting and promoting cultural,

historic and natural resources. The

Commission reports to the Secretary of

the Interior and to Congress.

SUPPLEMENTARY INFORMATION: The

Delaware and Lehigh Navigation Canal

National Heritage Corridor Commission

was established by Pub. L. 100–692,

November 18, 1988.

FOR FURTHER INFORMATION CONTACT:

Executive Director, Delaware and

Lehigh Navigation Canal, National

Heritage Corridor Commission, 10 E.

Church Street, Room P–208, Bethlehem,

PA 18018, (610) 861–9345.

Dated: December 2, 1997.

Gerald R. Bastoni,

Executive Director, Delaware and Lehigh

Navigation Canal NHC Commission.

[FR Doc. 97–32153 Filed 12–8–97; 8:45 am]

BILLING CODE 6820–PE–M

DEPARTMENT OF THE INTERIOR

National Park Service

National Register of Historic Places;

Notification of Pending Nominations

Nominations for the following

properties being considered for listing

in the National Register were received

by the National Park Service before

November 29, 1997. Pursuant to section

60.13 of 36 CFR Part 60 written

comments concerning the significance

of these properties under the National

Register criteria for evaluation may be

forwarded to the National Register,

National Park Service, P.O. Box 37127,

Washington, D.C. 20013–7127. Written

comments should be submitted by

December 24, 1997.

Carol D. Shull,

Keeper of the National Register.

ALASKA

Sitka Borough-Census Area

Sitka US Post Office and Court House,

100 Lincoln St.,

Sitka, 97001584

Yukon-Koyukuk Borough-Census Area

Sourdough Inn,

Jct. of First and Sled Sts.,

Fort Yukon, 97001585

ARIZONA

Yavapai County

Clarkdale Historic District,

Roughly along Main St., roughly bounded by

Verde R. including industrial smelter site.,

Clarkdale, 97001586

CALIFORNIA

Calaveras County

Copperopolis Armory,

695 Main St.,

Copperopolis, 97001588

Copperopolis Congregational Church,

411 Main St.,

Copperopolis, 97001587

FLORIDA

Leon County

Jacksonville, Pensacola and Mobile Railroad

Company Freight Depot,

918 Railroad Ave.,

Tallahassee, 97001589

MONTANA

Ravalli County

Summers—Quast Farmstead,

1288 Eastside Hwy.,

Corvallis, 97001590

NEW MEXICO

Bernalillo County

Enchanted Mesa Trading Post

(Route 66 Through New Mexico MPS),

9612 Central Ave. SE,

Albuquerque, 97001595

Hilltop Lodge

(Route 66 Through New Mexico MPS),

5410 Central Ave. SW,