[Federal Register Volume 62, Number 236 (Tuesday, December 9, 1997)]
[Notices]
[Pages 64856-64883]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32073]



[[Page 64856]]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Availability of Discretionary Grants for Services to Newly 
Arriving Refugees, Including: Promoting Increased Placement of Newly 
Arrived Refugees <SUP>1</SUP> In Preferred Communities; Responding to 
Unanticipated Arrivals or Significant Increases in Arrivals of Refugees 
to Communities Where Adequate or Appropriate Services do not Exist; 
Providing Orientation Services in Local Communities; Providing Mental 
Health Services on Behalf of Refugees in Local Communities; Supporting 
Ethnic Community Self-Help

AGENCY: Office of Refugee Resettlement, ACF, DHHS.

    \1\ In addition to persons who meet all requirements of 45 CFR 
400.43, ``Requirements for documentation of refugee status,'' 
eligibility for refugee social services also includes: (1) Cuban and 
Haitian entrants, under section 501 of the Refugee Education 
Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain Amerasians 
from Vietnam who are admitted to the U.S. as immigrants under 
section 584 of the Foreign Operations, Export Financing, and Related 
Programs Appropriations Act, 1988, as included in the FY 1988 
Continuing Resolution (Pub. L. No. 100-202); and (3) certain 
Amerasians from Vietnam, including U.S. citizens, under title II of 
the Foreign Operations, Export Financing, and Related Programs 
Appropriations Acts, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No. 
101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term 
``refugee'' is used in this notice to encompass all such eligible 
persons unless the specific context indicates otherwise.
    Refugees admitted to the U.S. under admissions numbers set aside 
for private-sector-initiative admissions are not eligible to be 
served under the social service program (or under other programs 
supported by Federal refugee funds) during their period of coverage 
under their sponsoring agency's agreement with the Department of 
State--usually two years from their date of arrival or until they 
obtain permanent resident alien status, whichever comes first.
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SUMMARY: This ORR standing announcement invites submission of grant 
applications for funding, on a competitive basis, in six categories: 
(1) to promote the increase of refugee placements in communities where 
they have ample opportunities for early employment and sustained 
economic independence; (2) to provide services to unanticipated 
arrivals, i.e., refugees who have arrived without prior notice in 
communities where adequate or appropriate services for these refugees 
do not exist; (3) to provide ethnically-and linguistically-matched 
orientation services to newly arriving refugees in the local 
communities; (4) to provide technical assistance to the grantees 
including those funded under Category 3, orientation; (5) to provide 
mental health orientation, staff development, and technical expertise 
to improve services for newly arriving refugee populations, and (6) to 
assist ethnic organizations to build bridges among newcomer communities 
and community resources.
    This notice revises previous publications. The programs numbered 
(1) and (2) above were first published as Categories 1 and 2 of the 
notice published in the Federal Register on May 18, 1994 (59 FR 25929). 
The notice was revised January 17, 1995 (60 FR 3416). A Category 3, 
Ethnic Community Organizations, added in the revision of January 17, 
1995, was canceled as published in the Federal Register on February 15, 
1996 (61 FR 6018). The next revision was published in the Federal 
Register on June 25, 1996 (61 FR 32833) with new categories, numbered 
3, Orientation, 4, Orientation Technical Assistance, and 5, Mental 
Health Services. This notice retains the five categories in the June 
25, 1996 announcement, and restores and revises the Ethnic Community 
Organization program as Category 6.
    This announcement supersedes all prior announcements of the same 
name.
    The categories are summarized as follows:
    Category 1--Preferred Communities: To increase placement of 
arriving refugees in preferred communities where refugees have 
opportunities to attain early employment and sustained economic 
independence without public assistance. Eligible applicants are 
agencies which resettle refugees under a Reception and Placement 
Cooperative Agreement with the Department of State or the Department of 
Justice. Preferred communities awards will be Cooperative Agreements. 
ORR's involvement will include: review and approval of preferred 
community sites and review and approval of the design of program 
reports on progress toward project goals and outcomes.
    Category 2--Unanticipated Arrivals: To provide services for 
significant numbers of, or increases in, the number of unanticipated 
refugees who have arrived in communities that are unable to provide 
adequate or appropriate services. The arrivals may be new populations 
to the U.S., or new to the location requesting additional resources. 
The arrivals may also be a significant and unanticipated additional 
number of a particular ethnic group in a community. Awards in this 
category will be grants.
    Category 3--Orientation: To provide funds for grantees to serve 
newly arriving refugees through orientation services that are 
ethnically-and linguistically-matched to the targeted refugee 
population.
    Under Category 3, applications will be accepted for orientation 
programs designed to provide newly arriving refugees with information 
on local resources, community services and institutions, American 
mores, customs, laws, responsibilities associated with being new 
residents of their communities, and other appropriate topics.
    Applications will be accepted from prospective grantees to provide 
services in communities where new refugees are arriving and where 
available orientation materials are not appropriate or adequate. Awards 
in this category will be made as grants.
    Category 4--Technical Assistance to Orientation Grantees: To 
provide technical assistance to orientation projects awarded under 
Category 3 and other orientation programs serving refugees.
    Category 5--Mental Health Services: To improve services to newly 
arrived populations who have been made vulnerable in their resettlement 
by having suffered mental and/or physical torture prior to or during 
their escape. Applications are encouraged from agencies that support 
resettlement services by providing staff development consultation to 
staff who work directly with traumatized populations and orientation 
activities for the new populations and for the mainstream mental health 
providers. In addition, and if appropriate to the newly arriving 
refugee populations, projects may be funded to develop technical 
knowledge concerning particular groups and the clinical interventions 
that effectively treat them. The knowledge and experience gained by 
these projects will be made available throughout the refugee 
resettlement program.
    Category 6--Ethnic Community Organizations Program. This program is 
to provide assistance to ethnic organizations comprised of and 
representative of newly arrived refugee populations to build bridges 
among newcomer refugee communities and community resources. The 
applications will be accepted from a national, regional (multi-state), 
or local level and may include efforts to address community building, 
community and family strengthening, cultural adjustment orientation, 
and mutually supportive functions such as information exchange, 
leadership training, and resource development.
    Categories 1, 3, 4, and 5 solicit applications for project periods 
up to three years. Category 6 solicits applications for project periods 
up to

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five years. Awards, on a competitive basis, will be for one-year budget 
periods. Applications for continuation grants, to extend activities 
beyond the one-year budget period, will be entertained on a 
noncompetitive basis in subsequent years within the project period, 
subject to the availability of funds, timely and successful completion 
of activities during the budget period, and determination that such 
continuations would be in the best interest of the Government.
    Awards for Category 2 will be for a single 17-month budget period. 
Applicants should view these resources as a temporary solution to an 
emergency created by unanticipated arrivals. ORR expects that by the 
end of the project period, States will have incorporated services for 
these particular refugees into their refugee services network funded by 
ORR social service formula allocations.
    Projects and services allowed under this announcement for each 
category are described below. Each application will be considered for 
one category only and must state specifically for which category the 
application is being submitted. An applicant may apply for more than 
one category; however, each category must be applied for in a separate 
application.
    Available Funds: In FY 1998, ORR expects to make individual new 
grant awards in amounts ranging from approximately $100,000 to 
$300,000. Amounts in subsequent years will depend upon the availability 
of funding, need, and the best interests of the Government. 
Approximately $800,000 will be available for awards under Preferred 
Communities; $500,000 under Unanticipated Arrivals; $400,000 for 
Orientation; $400,000 under Orientation Technical Assistance; $400,000 
for Mental Health; and $1,000,000 for Ethnic Community Organizations.
    The Director reserves the right to award more or less than the 
funds described above depending upon the quality of the applications, 
or such other circumstances as may be deemed to be in the best interest 
of the Government. Applicants may be required to reduce the scope of 
selected projects to accommodate the amount of the approved grant 
award.
    Authorization: Authority for this activity is contained in Section 
412(c)(1)(A) of the Immigration and Nationality Act, which authorizes 
the Director ``to make grants to, and enter into contracts with, public 
or private nonprofit agencies for projects specifically designed-- * * 
* (iii) to provide where specific needs have been shown and recognized 
by the Director, health (including mental health) services, social 
services, educational and other services.'' In addition, section 
412(a)(2)(B)-(C) gives the Director the responsibility to promote and 
encourage refugee resettlement in communities where the prospects for 
early self-sufficiency are good and the history of welfare utilization 
is low.
    Application Submission: This announcement contains forms and 
instructions for submitting an application. Applications must stipulate 
the category for which funding is being sought. Applicants may submit 
applications for more than one category; however, each category must be 
applied for in a separate application.
    Standing Announcement: This is a standing announcement, effective 
until canceled or modified by the Director of the Office of Refugee 
Resettlement. The Director will observe the following closing dates for 
all categories: January 31 and June 30, of FY 1998, and each subsequent 
year.
    Organization of this Announcement: This standing announcement 
consists of two parts: Part I. the program categories under which 
grants will be awarded and Part II. general application information and 
guidance.
    Eligible Applicants: For Categories 2, 3, 4, 5 and 6, eligible 
applicants are public and private nonprofit organizations.
    Refugee serving organizations, especially local ethnic communities 
when applying under category 6, are encouraged to build coalitions in 
applying under this announcement. The activities funded by these grants 
are intended to serve as a catalyst to bring the community together to 
address the economic and social problems of refugee families and the 
refugee community. The goal in all cases should be to build and 
strengthen the community's capacity to serve its members in improving 
the quality of life and standard of living for refugee families. If an 
application represents a consortium (that is, the applicant includes 
other types of agencies among its membership), the single organization 
identified as applicant by the Authorized Representative's signature on 
the SF-424, Box 18.d, will be the grant recipient and will have primary 
administrative and fiscal responsibilities. An applicant entity must be 
a nonprofit organization.
    For Category 1, eligible applicants are public and private non-
profit agencies which currently resettle newly arriving refugees under 
a Reception and Placement cooperative agreement with the Department of 
State or with the Department of Justice. This announcement is 
restricted to these agencies because placements of new arrivals occur 
under the terms of the cooperative agreements, and no other agencies 
place new arrivals or participate in determining their resettlement 
sites. Applications shall include documentation that the applicant is a 
recipient of a Reception and Placement Grant. Applications lacking this 
documentation will not be considered.

    For Further Information:
    Concerning Categories 1, Preferred Communities, and 5, Mental 
Health Services, contact: Ms. Marta Brenden, Program Officer, 
Administration for Children and Families, Office of Refugee 
Resettlement, 370 L'Enfant Promenade, SW 6th Floor, Washington, DC 
20447, Tel: (202) 205-3589, E-mail: <a href="/cdn-cgi/l/email-protection#e9848b9b8c878d8c87a9888a8fc78d81819ac78e869f"><span class="__cf_email__" data-cfemail="85e8e7f7e0ebe1e0ebc5e4e6e3abe1ededf6abe2eaf3">[email protected]</span></a>.
    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: <a href="/cdn-cgi/l/email-protection#3d4e5f5853575c5054537d5c5e5b135955554e135a524b"><span class="__cf_email__" data-cfemail="394a5b5c57535854505779585a5f175d51514a175e564f">[email protected]</span></a>.
    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: <a href="/cdn-cgi/l/email-protection#3e555a517e5f5d58105a56564d10595148"><span class="__cf_email__" data-cfemail="ed868982ad8c8e8bc38985859ec38a829b">[email protected]</span></a>.
    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: <a href="/cdn-cgi/l/email-protection#385948574a4c4278595b5e165c50504b165f574e"><span class="__cf_email__" data-cfemail="f697869984828cb6979590d8929e9e85d8919980">[email protected]</span></a>.

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

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standard where the applicant provides substantial justification for the 
request and documents the community's history of arrivals, the period 
of time needed to reach a level of 100 new refugees, and the record of 
outcomes for achieving self-sufficiency soon after arrival.
    Applicants must plan within their own network for improved 
placements. They may also consider planning cooperatively with other 
prospective applicants to create cost-effective, co-located 
resettlement services where, for example, the pool of newly arriving 
refugees for each network is too small to warrant individual offices.
    Preferred Community sites refer to those localities where refugees 
have the best opportunities to achieve early employment and sustained 
economic independence without public assistance. Preferred communities 
should have a history of low welfare utilization by refugees. In 
addition, refugees should have the potential for earned income at a 
favorable level relative to the cost of living and to public assistance 
benefits in such communities. These communities should also have a 
moderate cost of living; good employment opportunities in a strong, 
entry-level labor market; affordable housing; low out-migration rates 
for refugees; religious facilities, if important to the refugees; local 
community support; receptive school environments; and other related 
community features that contribute to a favorable quality of life for 
arriving refugees.
    Applicants may wish to consider the following ``arrival'' 
categories of refugees for preferred community sites:
    Free cases: Those refugees who are determined in the allocation 
process to be ``free cases,'' that is, unrelated or without family ties 
to persons already living in the communities.
    New refugee populations: Refugees who have no or few existing 
communities in the United States.
    Other refugees: The applicant may identify refugees in the 
reception process who would accept the opportunity for resettlement in 
a preferred community: e.g., refugees who would otherwise be resettled 
under the rubric of ``family reunification,'' but who in fact are 
distant relatives and friends. These refugees may elect placement in a 
preferred community where there are opportunities described above.
B. Preferred Community Site Selection
    ORR recognizes that changes in the selection of resettlement sites 
of refugees may result in changes to an applicant agency's network and 
should be preceded by careful attention and planning. Thus, as part of 
the application preparation, it will be incumbent upon the applicant 
to: (1) consult with ORR about prospective preferred sites; (2) propose 
sites that are either already listed within the applicant's Cooperative 
Agreement with the Department of State (DOS) or that will be proposed 
for DOS approval; (3) coordinate with other voluntary agencies whose 
local affiliates place refugees in the same sites; (4) inform and 
coordinate with State governments for site selection, adequate 
services, and program strategies to be developed; and (5) plan and 
coordinate locally with community resources, such as schools and public 
health agencies.
    The application must, for the first budget year, specify the sites 
selected with a description of each site and the rationale for its 
selection. Applicants are encouraged to include planning activities in 
their application. The application should specify one or more preferred 
communities and should also propose to include one or more unspecified 
sites to be determined following planning activities during the course 
of each budget year. There should also be a description of coordination 
activities that occurred prior to the selection, and the ongoing 
evaluation and planning for placement in preferred communities. 
Additional sites proposed under approved applications during the period 
of the project will require ORR's concurrence under the terms of the 
Cooperative Agreement.
    Preferably, the selected sites should be those that have had 
successful refugee placements and have the capacity for additional 
successful placements. However, the sites may be ones where refugees 
have not previously been placed, but which have all the elements of a 
successful refugee resettlement community, listed in Section D. 2, 
below.
    Allowable activities for the preferred communities include services 
that would otherwise be provided through the State formula social 
services. ORR formula social services funding is awarded to States 
proportionate to the number of refugee arrivals during the previous 
three years and does not take into account newly arrived refugees. 
Grantees should view Preferred Communities award as a temporary 
solution to the increase in refugee placements in preferred 
communities.
    Therefore, planning for the application and implementing the 
program must be done in concert with State Refugee Coordinators to 
assure an orderly transition and complement of services. The applicant 
shall describe and document this coordination and planning in the 
application. ORR anticipates that ORR formula social service funds 
provided to the States will reflect, over time, the increase in 
arrivals.
C. Allowable Activities
    ORR will accept applications for the following activities:
    (1) services needed for the increased placements in the preferred 
communities, (2) project planning and coordination activities, and (3) 
national and local project management costs associated with these 
activities.
D. Application Content
    The application must include the following:
    1. Description of the proposed program. Include the rationale for 
meeting the goals of this Announcement: i.e., the increased placement 
of refugees in preferred communities and the diversion of refugees from 
communities with histories of extended use of welfare. Descriptions 
should include anticipated improved resettlement opportunities; the 
employment services available in the new location, including those to 
be funded under this grant, if awarded; and the cost implications in 
both the impacted and preferred sites for the population shifts in 
local resettlement services.
    2. A description and rationale for sites from which placements will 
be diverted. A list of the designated and potential sites and the 
rationale for each site with respect to the following criteria: o Local 
community support (e.g., letters, financial and in-kind donations, news 
clippings that the community supports the placement of these refugees 
in their area); o State consultation (e.g., copies of letters; notes of 
planning/coordination meetings);
    <bullet> Local community support (e.g., letters, financial and 
inkind donations, news clippings that the community supports the 
placement of these refugees in their area);
    <bullet> State consultation (e.g., copies of letters; notes of 
planning/coordination meetings);
    <bullet> Evidence of availability of entry level and other 
appropriate employment opportunities (e.g., letters from current and 
repeating employers of refugees);
    <bullet> History of low out-migration rates for proposed sites, 
with documentation for the last two years;
    <bullet> Moderate cost of living (e.g., needs and payment standards 
from TANF programs from the State, statements of

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voluntary agency affiliates, statements from refugees);
    <bullet> Low welfare benefit levels relative to earnings potential;
    <bullet> Qualified staff--give job descriptions and resumes, as 
available, and show how staff will be linguistically and culturally 
suited to assist the prospective refugees;
    <bullet> Affordable housing--provide average rental costs for 
apartments of a specified number of bedrooms and describe access to and 
distance from services and potential employment.
    3. A description of the caseload: e.g., free cases, ethnicity, new 
or existing ethnic group, interventions to be used to promote stability 
of placements, proposed numbers, proposed placement schedule, and back-
up strategy should the proposed placement schedule fail.
    4. A description of national and local project management. A 
statement of expected outcomes, e.g., refugee arrivals and participants 
in social services, such as, employment. Number expected to enter 
employment; 90 day retention rates and/or welfare avoidance, 
reductions, and terminations; expected hourly wage and the number of 
jobs with health benefits. Projected outcomes must include the increase 
in placements in Preferred Communities and the diversion of placements 
from communities where there is a history of extended welfare use.
    5. A description of the national and local planning process, of 
coalitions formed to support the new placements, and the consultative 
process used to support the implementation. If several local agencies 
are planning a coordinated project, e.g., placing refugees from the 
same ethnic groups in the same designated sites, describe the 
coordination of these plans. Include discussion of anticipated outcomes 
of the placement strategy for new arrivals.
    6. Budget, including line items and a narrative justification for 
each line. Clearly state the costs for national and local planning and 
project coordination. Discuss relationship between costs proposed for 
this grant and costs (e.g., for services) which will be covered by 
existing refugee or mainstream funding.
E. Application Review Criteria
    Preferred Communities applications will be reviewed, scored and 
ranked utilizing the following criteria:
    1. Clarity of description of proposed program and soundness of 
rationale for achieving the goals of the Announcement. Reasonableness 
of cost implications in both the impacted and preferred communities. 
Adequacy of the anticipated improved resettlement opportunities as well 
as the diversion of placements from sites with histories of extended 
welfare usage. Soundness of refugee social services in the new 
community and choice of services to be funded by this grant. (20 
Points)
    2. Clear and comprehensive description of the preferred sites 
proposed in terms of community support, Federal, State, and local 
government consultation, and linkages, cost-of-living, out-migration 
history, housing, and employment availability, welfare benefit levels 
relative to potential earnings, and quality of life features, such as 
school environment and available religious facilities. Adequacy of 
description of sites from which refugees will be diverted and the 
rationale for diverting cases from them. (25 Points)
    3. Appropriateness to the targeted population of the proposed 
diversion, and strategies to be used to promote stability of 
placements. (15 Points)
    4. Adequacy of national and local management, including objectives 
and outcomes, reporting procedures, outcome measures, data collection 
and monitoring. (10 Points)
    5. Adequacy of planning process and reasonableness of anticipated 
outcomes. (15 Points)
    6. Reasonableness of the budget and adequacy of line item 
narrative; coordination of these grant funds with other funds. (15 
Points)

Category 2--Unanticipated Arrivals or Increases in Arrivals of Refugees 
to Communities Where Adequate or Appropriate Services Do Not Exist

A. Purpose and Scope
    This program is intended to provide communities with the capability 
to respond to the social services needs of refugees whose resettlement 
in the applicant's community is unanticipated and who are not included 
in ORR's social service formula allocation to the State in which they 
are placed. The funds may be used to enable communities to establish or 
expand existing services in situations, where: (1) the existing service 
system does not have culturally and linguistically compatible staff; or 
(2) where refugee services do not presently exist; or (3) where the 
service capacity is not sufficient to accommodate significant increases 
in arrivals.
    Examples of situations for which applicants may compete for a grant 
under this program include: (1) the unexpected arrival of more than 100 
refugees in the community where the formula services funds are 
committed to social services for the current refugee population, but 
there are no available resources to fund culturally and linguistically 
appropriate services for the unanticipated number of arrivals, or (2) 
the State formula social service dollars are sufficient for most 
services, but the unanticipated population has unusual social service 
needs; and the services currently funded will not be sufficient for the 
new arrivals.
    Applications will be accepted only for proposals for services in 
communities which have received, or expect to receive, minimally 100 or 
more persons within a one year period as an unanticipated population to 
a single local community. This is a minimum, not a standard. The 
reasonableness of the proposal will depend, in part, on the ratio of 
unanticipated arrivals to the anticipated resettlement caseload in the 
applicant's community. The applicant must establish that the 
unanticipated number is significant relative to the resident population 
by documenting arrivals, both anticipated and unanticipated. The 
application must describe the time period of unanticipated arrivals, 
i.e., the start date when the unanticipated arrivals began and the 
length of time over which the arrivals are expected to continue. 
Applications which do not satisfy the requirement for documentation 
will not be considered.
    ORR encourages the formation of coalitions of organizations which 
propose to serve the new population(s) jointly, with one agency 
designated as grantee, responsible for administration of the project. 
ORR will only support the establishment of services that are culturally 
and linguistically appropriate to the new arrivals.
    This grant program is intended to supplement a State's existing 
refugee services network by responding to unmet needs of new refugee 
populations shortly after arrival in the community. Grantees should 
view these resources, therefore, as a temporary solution to 
insufficient services necessitating program adjustment due to the 
unanticipated arrival of a refugee population in a specific community. 
ORR's expectation is that the State will have incorporated services for 
these new populations into its refugee services network, funded by 
formula social service dollars, by the end of the grant project period. 
In the grantee's final report, the transition of the services should be 
discussed indicating whether the services are now supported by the 
State, other public or private resources, or are no longer needed, with 
supporting information on the target population.

[[Page 64860]]

B. Allowable Services
    ORR will accept applications under this announcement for projects 
specifically providing unanticipated arrivals the type of activities 
generally funded by States under their social services formula 
allocation, in accordance with section 412(c)(1) of the Immigration and 
Nationality Act for refugee social services. In general, such service 
categories are defined as employment services, language training, and 
other support services, such as orientation activities. Applications 
under this section should indicate appropriate bilingual and bicultural 
services will be provided. Services provided by all grantees, whether 
private or public, must comport with the regulations at 45 CFR sections 
400.147, 400.150, and 400.154-.156 regarding eligibility for services, 
scope of services and priorities for services.
C. Application Content
    1. Statement of purpose and need. A description of the target 
population(s); presence, or absence of prior presence, of an ethnic 
population in the community(ies); documentation of the arrivals of the 
population(s), including first date of admission; expected duration of 
the arriving population; number (at least 100 refugees per year) of 
unanticipated arrivals relative to the expected admissions; 
identification and description of the need(s) for social services; 
discussion of the relative significance of the unanticipated arrivals 
to the expected arrivals and the impact on available services; letter 
from the national voluntary agency(ies) substantiating that there will 
be an unanticipated arrival of at least 100 or more refugees or 
entrants of the target population or secondary migrants.
    2. Description of the planning process. A list of organizations by 
name and their role in the project activities, and a list of all 
organizations in the community(ies) providing services to the 
unanticipated refugees. Summary of the planning activities with lists 
of participants, dates of meetings and summary and results of the 
discussions. Letters of support from the resettlement network agencies 
who either participate in the project or whose work with refugees will 
be affected by the proposed grant activities.
    3. Organizational qualifications. Demonstration of organizational 
qualifications of the agency proposed to act as fiscal agent for the 
project. For each organization proposed for project activities, include 
staff and position information with biographical sketch of known staff 
or summary of desired qualifications and position activities.
    4. Project goals. Statement of outcomes and performance measures 
that will demonstrate impact of the project on the arriving refugees. 
Plan for continuation of services following the period of grant 
support. Letter from State Coordinator acknowledging the presence of 
unanticipated arrivals and stating their openness to discuss 
continuation of support at the close of the project.
    5. Project line item budget and budget justification. A line item 
budget and narrative justification which conform to Block 15 of the SF 
424 object class categories. The justification must include estimation 
methods, unit costs, and whatever quantitative detail is sufficient for 
the calculation to be replicated.
D. Application Review Criteria
    1. Quality of the description of the target population; the 
justification of the significance of the unanticipated arrival 
population relative to the expected arrivals; their need for services; 
and a letter from the national voluntary agency(ies). (15 points)
    2. Quality and appropriateness of the planning process and the 
resulting project strategy; evidence of appropriate collaboration with 
other refugee service providers and public and private organizations 
serving the unanticipated refugees; and adequacy and reasonableness of 
the strategy and proposed activities to achieve the projected outcomes. 
(35 points)
    3. Qualifications of the organization(s) proposed to carry out the 
project activities; evidence of collaboration; capability in acting as 
fiscal agent, if applicable. (15 points)
    4. Quality of the project goals; appropriateness of the performance 
measures to the project activities; appropriateness of the performance 
outcomes in demonstrating desirable impact on the target population of 
arriving refugees. (20 points)
    5. Appropriateness and reasonableness of the costs in the budget; 
clarity and reasonableness of the line item narrative justification. 
Evidence that the budget items reflect the project activities. (15 
points)

Category 3--Community Orientation Activities and Assistance Program 
Grants for Local Communities

A. Purpose and Scope
    Since 1992, the majority of refugee arrivals in the United States 
represent ethnically diverse populations from such countries as Russia, 
Somalia, Bosnia, Croatia, and Iraq. Compared to the pre-1992 refugees, 
mainly Southeast Asians who were provided overseas classroom 
orientation training, the majority of the post-1992 refugees have not 
attended a pre-departure formal cultural orientation program in 
preparation for their new life in the United States.
    Funding constraints and restrictive conditions at some transit and 
departure locations, where refugees are processed for entry into the 
U.S., contribute to the lack of preparation for life in a new country. 
This is particularly evident where new refugee arrivals do not have 
access to pre-departure orientation organized by resettlement agencies 
funded under the auspices of the U.S. Department of State, Bureau for 
Population, Refugees, and Migration.
    In addition to scarce, pre-arrival orientation, there are few 
communities in the U.S. where new arrivals can join members of their 
own ethnic group. Notwithstanding, information about American life and 
resources are usually provided through friends or through word-of-
mouth. Service providers who come into contact with new arrivals may 
not be sufficiently knowledgeable of the culture and values of the new 
arrivals. Furthermore, limited bilingual and bicultural resources 
further exacerbate the assistance effort as well as the new arrivals' 
process of integration into their communities.
    ORR is aware that to assist these new arrivals to become 
economically self-sufficient and self-reliant within their newly 
resettled communities, a comprehensive, culturally and linguistically 
appropriate orientation program is key. Additionally, a cross-cultural 
training and orientation program for local refugee and mainstream 
service providers may enhance their assistance efforts with newly 
arriving refugees and reduce the conflict or friction of cultural and 
social misunderstandings.
B. Objectives of ORR
    1. To provide comprehensive culturally and linguistically 
appropriate orientation training to newly arrived refugee families 
through bilingual, bi-cultural staff representative of the new 
arrivals' cultural and linguistic make-up.
    2. To identify sub-groups (e.g., home-bound women, the elderly, and 
youth) of new arrivals who are more likely to face significant cultural 
obstacles to their transition to a new life and to provide them 
specialized orientation training customized to their specific needs.

[[Page 64861]]

    3. To provide orientation and cross-cultural training to refugee 
and mainstream service providers on new refugee populations.
    4. To provide training to refugee caseworkers and interpreters to 
improve their ability to deliver culturally and linguistically 
appropriate services to new refugee populations.
    5. To provide the mainstream community with information about new 
refugee populations resettled in their community.
    6. To provide new ethnic communities with small amounts of funds to 
form advisory groups for the purpose of community and grass roots 
organizing.
C. Allowable Orientation Activities for
    1. Newly Arriving Refugee Populations. Conducting outreach (for 
example, home visits and ethnic group meetings) to new arrivals to 
determine needs.
    Convening a local work group/task force on orientation. The 
composition of the group must include representatives of the ethnic 
composition of new arrivals. The primary purpose of the orientation 
work group is to plan and consult with local new arrivals and ethnic 
communities on the type of orientation materials, services, and 
training design which best fit their needs.
    Adapting, if necessary, existing orientation materials to ensure 
that materials are culturally appropriate for the target population.
    Designing and implementing an orientation and cross-cultural 
training program by bilingual and bicultural staff for the newly 
arriving refugee population, taking into consideration training 
customized to the specific informational needs of each group, for 
example, heads of households, home-bound women, youth, and the elderly.
    Designing and implementing a mechanism of ensuring customer 
feedback and assessment of each training session. Customers' feedback 
must be incorporated for improvement of future training.
    Compiling records and materials of training activities into a 
training package for replication with other new arrivals.
    2. Refugee and Mainstream Service Providers and the Community-at-
Large. Planning and consulting with refugee and mainstream service 
providers on their need for information on new arrivals, and providing 
training to service providers, caseworkers, and interpreters to improve 
their ability to deliver culturally and linguistically appropriate 
services to new refugee populations.
    Designing a mechanism of ensuring customer feedback and conducting 
assessment of each training session. Customers' feedback will be 
incorporated into future training.
    Compiling records and materials of training activities into a 
training package for future replication with other new arrivals.
    Conducting public relations activities, such as providing 
information via a newsletter, informational brochures or video, and 
attending community meetings to provide to the community-at-large 
information about new refugee arrivals resettled in their community.
    3. Ethnic Community Groups. Convening or assisting in convening, 
members of newly arriving ethnic communities to form their own advisory 
board for self-help purposes.
    Recording all community assistance activities in the form of 
reports and case studies for future use by other ethnic communities in 
community organizing and development.
    D. Application Content. Applications for the Community Orientation 
and Assistance Program should contain a detailed description of 
proposed activities and a plan of action, including a timetable for 
implementation, and anticipated measurable outcomes and benefits which 
directly meet the needs of the target population to be served. These 
areas should be addressed:
    1. An understanding and knowledge of the unique characteristics, 
cultural background, and needs of the target groups to be served, 
including discussion of the service methodology that would be 
linguistically and culturally appropriate for each target group.
    2. An understanding of the domestic and overseas orientation 
services as well as how linkage and coordination can be established 
between the overseas and domestic service providers to maintain 
continuity of services to meet the orientation needs of the new 
arrivals.
    3. Planning and consultation with the target population, e.g., new 
arrivals and refugee and mainstream service providers, to design and 
implement an orientation program that best fits their needs. How the 
applicant proposes to provide a comprehensive and coordinated project 
design, implementation timelines, and achieving measurable outcomes.
    4. Convening, or assist in convening, members of the newly arriving 
ethnic groups in their effort toward organizing for self-help. 
Description of how the proposed advisory groups are to be established.
    5. Public relations activities with the community-at-large focusing 
on mutual understanding and good will between the refugees and local 
communities.
    6. Customer feedback and assessment of the training as well as the 
project's progress, and how the results of customers' feedback will be 
used.
E. Application Review Criteria
    1. Demonstrated knowledge of the unique characteristics of the 
various populations to be served; demonstrated experience in the 
provision of orientation service and/or training; and knowledge of 
which service modality best fits each target population. (25 points)
    2. Demonstrated understanding of overseas and domestic orientation 
services, and the appropriateness of the proposed plan for linkage and 
coordination. (10 points)
    3. Adequacy and applicability of the project management plan in the 
areas of planning, designing, implementing, timelines, and proposed 
measurable outcomes. Qualifications of the applicant to carry out all 
the proposed activities successfully. (25 points)
    4. Demonstrated reasonableness and cost effectiveness in the budget 
with reference to the use of bilingual and bicultural staff in all 
professional capacities, the staffing plan, and qualifications of key 
personnel. (15 points)
    5. Demonstrated knowledge of refugee ethnic communities, and 
experience in community organizing and development. (10 points)
    6. Appropriateness of proposed project's measurable outcomes. (15 
points)

Category 4--National Technical Assistance Project in Refugee 
Orientation, Cross-cultural Training and Alliance Building

A. Purpose and Availability of Funds:
    This section announces the availability of Fiscal Year 1998 funds 
for a national technical assistance project for refugee orientation, 
cross-cultural training, and alliance building in communities heavily 
impacted by recent refugee arrivals. The purpose of this category is to 
respond to the immediate needs of States, refugee and/or local service 
agencies, and mainstream agencies: for training and technical 
assistance in cross-cultural awareness and knowledge; for skills 
enhancement in resolving and mediating cross-cultural conflict between 
and among refugee and non-refugee groups; and for providing culturally 
and linguistically appropriate

[[Page 64862]]

service methodologies to refugee communities.
    The successful applicant will provide group training and technical 
assistance in approximately twelve (12) sites identified as impacted by 
new refugee arrivals, and may include the grantees funded under 
Category 3 of this announcement. Partnerships with ORR customers, e.g., 
States, other grantees, community-based organizations (CBOs), and other 
Federal agencies, will be initiated to coordinate nationally in the 
areas of conflict resolution and mediation and to enhance knowledge of 
cross-cultural understanding and alliance building.
    ORR anticipates funding one project through the mechanism of a 
cooperative agreement. ORR will be closely involved in the review and 
approval of the following: site selection criteria, sites and 
recipients of the technical assistance and training, training 
curricula, assessment tools, on-site training and technical assistance 
sessions and materials, and all project-related reports.
B. Allowable Activities
    Proposed activities should be tailored to reflect the orientation, 
cross-cultural and mediation needs of local communities. The types of 
activities which ORR may fund include, but are not limited to, the 
following:
    1. Convening a national training and technical assistance work 
group for project consultation and design, to identify expert trainers, 
and to develop strategies for dissemination of project outcomes;
    2. Identifying proven best practices in cross-cultural conflict 
resolution and alliance building for the purpose of adapting them to 
the training and technical assistance needs of the project 
participants;
    3. Identifying the needs of State and local agencies for assistance 
in orientation, conflict resolution and mediation strategies, and 
culturally and linguistically appropriate service delivery;
    4. Developing a training plan of orientation, conflict resolution 
and mediation for local communities which includes expanding the 
involvement and participation of non-refugee local agencies through 
such activities as group training and on-site individualized sessions 
for all agencies which interface with newly arrived refugees;
    5. Developing assessment and evaluation tools, and conducting 
assessment of project activities;
    6. Developing a list of training and technical resources, and 
devising a system for updating and transferring training technology for 
future use;
    7. Establishing an electronic medium for dissemination of 
information and refugee training resources for use by other 
practitioners.
C. Application Content
    1. A discussion of the purpose of the technical assistance and 
training activities to be conducted under the scope of the grant.
    2. A comprehensive description of the plan for providing 
coordination of project activities at the local, state, and regional 
levels.
    3. A comprehensive list of proposed sites for the technical 
assistance OR a comprehensive list of criteria for site selection.
    4. A discussion of the proposed plan for technical assistance and 
training for each site and target group.
    5. A description of the process to form a national training and 
technical assistance workgroup. A list of the criteria for selection of 
the task force members.
    6. A description of the management of the plan for implementation 
of all project activities.
    7. A description of the expected measurable outcomes for each 
project activity.
    8. A list of the proposed project's key personnel and/or 
consultants.
    9. A proposed budget with narrative justifying each line item.
D. Application Review Criteria
    Applications will be reviewed and scored on a competitive basis 
against the following evaluative criteria. Points are awarded only to 
applications which respond to this competitive area and to these 
criteria:
    1. The extent to which the purpose of the project is met, including 
how the training and technical assistance needs of local sites are 
identified and proposed to be met, and the benefits (measurable 
outcomes vs. process outcomes) to be gained by each target group. (15 
points)
    2. The comprehensiveness of the proposed plan for coordination of 
project services at the local, state, and regional level. The extent to 
which the proposed sites (or site characteristics, if specific sites 
have not been selected) are appropriate and directly related to the 
objectives of the project. (10 points)
    3. The criteria for selection (e.g., qualifications and experience 
in working with refugees, and in fields related to the objectives of 
the project) of proposed members of the national training and technical 
assistance workgroup. (5 points)
    4. The quality of the plan of operation and management. The extent 
to which the plan of management ensures implementation of project 
activities and customer feedback, the adequacy of proposed resources, 
and the ability of the applicant to deliver the services in a timely 
manner. (20 points)
    5. The quality of the proposed training and technical assistance 
plan for each site and target group, the appropriateness of training 
and personnel resources, and the degree to which the training will 
increase the capacity of the trainees to provide quality services to 
their refugee clients and/or increase the capability of the trainees to 
design and implement cross-cultural and conflict resolution strategies. 
(20 points)
    6. The qualifications and experiences of key personnel and/or 
consultants in working with the target population and in fields related 
to the objectives of the project. (10 points)
    7. The quality of the proposed plan of assessment of project 
activities, and appropriateness of proposed project measurable outcomes 
(versus process outcomes). (10 points)
    8. The cost-effectiveness and reasonableness of the proposed 
budget, and budget narrative. (10 points)

Category 5--Mental Health Services

A. Purpose and Scope
    The condition of a refugee's physical and mental health is a major 
factor affecting resettlement and socio-economic adjustment. The most 
serious mental health conditions, such as depression, anxiety-related 
disorders, and post traumatic stress disorders are often seen in 
refugees who have experienced severe trauma, physical abuse, and 
torture.
    Most refugees receive pre- and post-arrival health screening at the 
time of their entry into the United States. It is through screenings 
that physical health conditions are diagnosed and treated. Serious 
mental health conditions are sometimes identified by health screeners 
and service providers, but more frequently they are not diagnosed until 
much later in the resettlement process. These mental health conditions 
interfere with a refugee's progress toward economic self-sufficiency. 
Especially vulnerable are refugees who have experienced traumatic 
events, such as the death of relatives, loss of home, and witnessing of 
atrocities, either before they leave their country of origin and/or 
during migration. Some have experienced physical and psychological 
torture, deprivation, hunger, isolation, and violence. In addition, 
refugees are

[[Page 64863]]

often further traumatized during the resettlement process because their 
cultural backgrounds are in sharp contrast with mainstream American 
social and cultural practices.
    For many, resettlement means mastering a new language and adjusting 
to U.S. society and its economy, its expectations, customs, and 
cultural values, which may be significantly different from their own. 
These challenges confront all refugees, but are more difficult for 
those who suffered major physical, social, economic and political 
losses.
    Less serious, but also a barrier to economic self-sufficiency, are 
transitory emotional difficulties which can be characterized as social 
adjustment problems. If not adequately addressed, these may accumulate 
over time and hamper the resettlement process. Often these problems are 
handled by supportive bilingual resettlement staff and ESL teachers who 
have an understanding of the refugees' plight and are sensitive to the 
challenges and difficulties refugees face. This support often 
facilitates the refugees' transition to their adoptive country and 
lessens the impact of migration-related stressors, contributing to the 
refugees' progress towards self-sufficiency.
    Beyond the support from resettlement staff, volunteers, and ESL 
teachers, refugees frequently do not receive mental health services. 
Most community mental health services do not have bilingual staff who 
match the local refugee groups. Also, refugees are often not receptive 
to mental health services because of the stigma attached to mental 
illness. Direct service workers can become overwhelmed by working with 
individuals who have experienced torture and other trauma. Regular 
consultation for direct case workers from experienced mental health 
professionals can provide useful feedback to improve services to 
refugees disabled by trauma and supportive professional relationships.

B. Objectives of ORR

    ORR seeks to provide resources to local community organizations to 
address the need for mental health interventions in the refugees' 
communities in the following ways: staff development training for 
bilingual caseworkers, ESL teachers, and volunteers; orientation of 
refugees to promote understanding and utilization of supportive 
assistance; and orientation of mainstream mental health providers to 
the refugee program, to arriving refugee populations, and to multi-
cultural perspectives for effective treatment of refugees. It is ORR's 
intent that direct service workers, such as bilingual case managers, 
ESL teachers, and volunteers who often provide important support to 
refugees, have the benefit of regular consultation for the purpose of 
increasing their effectiveness in working with refugees who are 
experiencing the results of torture and social adjustment issues due to 
migration.
    Also, ORR seeks to promote an increase in the level of awareness of 
available mental health services among newly arriving refugee 
populations that have experienced significant trauma. In addition to 
staff development and orientation, it is permissible as part of this 
project to provide direct clinical services to refugee patients in 
order to expand knowledge and technical expertise related to refugee 
groups that have experienced torture and other trauma. The technical 
knowledge of each group and the effective treatment strategies gained 
through each project shall be made available through written reports 
and oral presentations to the ORR refugee resettlement program at 
conferences convened by ORR, to the mental health community projects 
funded by ORR, and to the Community Mental Health Services, SAMHSA 
(PHS). However, the main objective of this category is the expansion 
and dissemination of information on effective treatment to direct 
workers providing services to the particular refugee group with 
associated trauma.

C. Allowable Activities

    ORR will accept applications under this Category for the following 
activities: (1) ongoing mental health professional consultation, 
supervision, and training for bilingual caseworkers, ESL teachers, and 
volunteers in working with refugees who are in the process of 
resettlement and exhibiting extreme behaviors; (2) orientation to U.S. 
mental health services for newly arriving refugees; (3) orientation of 
mental health professionals to newly arriving refugees and the programs 
of resettlement; and (4) development of a body of technical knowledge 
and expertise concerning newly arriving refugees who have experienced 
severe trauma and the clinical interventions that are therapeutically 
effective with them.

D. Application Content

    1. A description of the target population(s) and their need for the 
proposed project activities: i.e., orientation; staff development; or 
development of technical assistance.
    2. A description of the planning process used in developing the 
application: the names of the organizations and the roles played in the 
planning; a comprehensive list of all organizations in the community 
working with the target population; and the manner by which all direct 
service professional staff will benefit from the project's orientation, 
consultation and training services.
    3. A description of the project strategy: orientation; staff 
development; and development of technical assistance to address the 
target populations' need for mental health services as listed under 
``allowable activities.''
    4. A statement of the status of need for services and the projected 
outcomes expected from the services provided.
    5. A description of the management plan providing oversight, 
monitoring, and program reports, including the applicant agency's 
qualifications to carry out the proposed activities; and key personnel, 
including consultants for professional mental health services.
    6. A line-item budget with narrative justification for each item.
E. Application Review Criteria
    1. Adequacy of the description of the target population(s) and the 
need for proposed activities. (10 points)
    2. Demonstration that the planning process is community-wide and 
comprehensive in addressing the needs of direct service staff for 
ongoing professional consultation, supervision, and training in working 
with refugees exhibiting needs for mental health services. (20 points)
    3. Appropriateness and adequacy of the strategy of services 
proposed. (30 points)
    4. Relevance and appropriateness of the proposed program outcomes 
to the project's objectives. (20 points)
    5. Adequacy of the management plan, monitoring plan, and proposed 
program reports. Appropriateness of key personnel and consultants 
implementing the project. (10 points)
    6. Reasonableness of the budget; the completeness of the line-item 
narrative. Cost-effectiveness of the budget in providing for the 
services. (10 points)

Category 6--Ethnic Community Organizations

A. Purpose and Scope
    Respondents to this program category will be of two general types:
    (1) Multi-site or national ethnic organizations which propose to 
develop or strengthen local ethnic agencies and/or a national network 
of ethnic community agencies for purposes of linking refugees to 
community resources; or,
    (2) Emerging local ethnic organizations which seek to function as

[[Page 64864]]

bridges between newly arrived refugee groups and mainstream local 
resources and organizations.
    ORR expects to make approximately 4 national and 6 local awards in 
this program area.
    A community is self-sufficient when it has the capacity to generate 
and control its own resources, determine its own goals, set priorities, 
plan and mobilize community members, including the elderly, women and 
youth, to work together to achieve these goals, and to create 
collaborations with others from within and outside the community to 
further these goals.
    ORR recognizes that one key to strengthening communities is the 
development of strong community based organizations (CBOs). A strong 
ethnic organization can tap into the community's desire for self-help, 
improve services, nurture leaders, raise funds from various sources, 
explore housing and economic opportunities, collaborate with mainstream 
agencies and groups, and at the same time, remain accountable to the 
community.
    Strong CBOs can also facilitate positive interaction between 
refugees and established residents in mainstream communities. The 
ability to organize and to voice their concerns collectively gives 
refugees a better sense of identity and hope for their own and their 
community's future. Refugee self-help organizations can be important 
building blocks for effective resettlement and can function as bridges 
between the refugee community and local resources.
    Many refugees who arrived in this country during the past two 
decades have already organized themselves into self-help groups in 
order to assist their own members, to foster long term community 
growth, to preserve their cultural heritage, and to assist community 
members in securing employment and other social services. More newly 
arrived refugee groups, who have come to the United States in recent 
years, have not yet organized into self-help groups; consequently, they 
may be experiencing barriers to accessing mainstream resources and full 
participation in the economic, social, and political activities of the 
larger community. They lack information about the process of building 
community capacity.
    Effective program models for self-help groups result in:
    <bullet> Creating a shared, dynamic vision of the community's 
future which inspires members to work together to secure that future;
    <bullet> Moving refugees from being recipients of services and 
assistance to being active partners in their integration into 
community;
    <bullet> Linking individual self-sufficiency to community self-
sufficiency;
    <bullet> Developing effective leadership within the organization;
    <bullet> Allowing local communities to apply their own cultural, 
political and socio-economic values to long term strategies and 
programs;
    <bullet> Creating close connections among community needs, program, 
and service delivery systems;
    <bullet> Providing avenues for resources that are generated locally 
(through service delivery or economic development) to remain within the 
community;
    <bullet> Fostering collaboration among refugee and mainstream 
service providers, policy makers, and public and private institutions.
    In recognition of the special vulnerability of newly arrived 
populations, ORR proposes through this announcement to provide funds to 
ethnic organizations established among refugee groups who have arrived 
in this country since 1991. Target populations range from a minimum of 
2,000 to a maximum of 50,000 arrivals from a single country between FY 
1992 and FY 1996. (ORR has dedicated other resources toward the ethnic 
populations experiencing 100,000 or more arrivals during this period.)
    Further, at least 50% of the specific ethnic population currently 
in the U.S. should have arrived during the past five years. According 
to ORR's data, this includes refugee populations from the former 
Yugoslavia, Haiti, Iraq, Somalia, Sudan, and Liberia. Awards, however, 
will not be based solely on population numbers, but will be based on 
the justification and documentation of the applicant, including such 
factors as community service needs and available resources. If an 
applicant can demonstrate that its ethnic arrivals meet the minimum 
threshold of 2,000 for the same period and correlate with the above 
description, the organization representing that refugee population may 
submit an application for funds under this announcement. The 
application must provide documentation that includes the name, alien 
number, date of birth, and date of arrival in the U.S. for each refugee 
claimed.
    In continuation applications under this category, for the 
subsequent second through fifth budget periods, applicants must 
demonstrate adequate progress toward project goals and outcomes to be 
eligible for continuation funding. In subsequent year continuation 
applications, the grantee will be asked to document receipt of non-ORR 
funds from other sources toward cost-sharing of the project's 
activities. The requirement will be not less than 10% of the requested 
funding for the third year award, 20% for the fourth year award, and 
30% for the fifth year award. The cost-sharing may be in cash or in-
kind contributions.
B. Allowable Activities
    Successful national organization applicants to this notice may 
propose activities which may include, but are not limited to, the 
following:
    <bullet> Technical assistance and support to local ethnic 
organizations
    <bullet> Ethnic community development
    <bullet> Leadership training
    <bullet> Resource development
    <bullet> Public education and agency linkage through an Internet 
site
    <bullet> Information dissemination on ethnic-specific issues
    <bullet> Convening of national or regional meetings
    <bullet> Development or translation of ethnic-specific publications
    Successful local self-help organization applicants to this notice 
may propose any of the following activities:
    <bullet> Public education activities designed to inform the refugee 
community about issues essential to functioning effectively in the new 
society;
    <bullet> Orientation and assistance to parents in connecting with 
school systems and other local public or private institutions;
    <bullet> 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;
    <bullet> Pairing refugee individuals or families with community 
volunteers;
    <bullet> Leadership training for such activities as community 
organizing, fund raising, non-profit management;
    <bullet> Education and training to prepare refugees to become 
citizens;
    <bullet> 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;
    <bullet> Activities designed to improve relations between refugees 
and the law enforcement communities;
    <bullet> Developing and operating community centers which serve the 
designated, newly arrived refugee population.
    The above are examples of services. Applicants may propose other 
services,

[[Page 64865]]

to the extent they are consistent with the goals stated above, and may 
request funds to cover core or general operating expenses. In all 
instances, however, activities must be designed to supplement, rather 
than to supplant, the existing array of refugee services available in 
the community.
    Applicants must give assurance that their governing bodies, boards 
of directors, or advisory bodies are knowledgeable and responsive to 
refugee concerns. This can be demonstrated through majority refugee 
representation on these bodies or through some other way. Women should 
be included on these representative bodies, as well.
    While activities proposed do not have to be directly employment 
related, planning and coalition building should be guided by the 
overarching goal of improving the economic condition of refugee 
families and of giving them the information needed to adjust socially 
and economically to their new country and their new communities.
    Non-Allowable Activities: Funds will not be awarded to applicants 
for the purpose of engaging in activities of a distinctly political 
nature, activities designed exclusively to promote the preservation of 
a specific cultural heritage, or activities with an international 
objective (i.e., activities related to events in the refugees' country 
of origin).

C. Application Content

    Applications for Ethnic Community Organizations at the local or 
national level (as specified on the SF-424 Application for Federal 
Assistance, Boxes 11. and 12.) should contain the following 
information:
    1. A discussion of the national or local focus relevant to the 
refugee ethnicity which the applicant seeks to represent or serve 
including numbers and dates of arrival, and an analysis of the need for 
this project with reference to the specified population;
    2. A description of the applicant's expertise (organizational or 
leadership), to include a project staffing plan with staff and 
consultant (if proposed) qualifications, evidence of applicant (but not 
necessarily the ethnic organization's) nonprofit incorporation, a list 
of Board of Directors or representative refugee advisors indicated with 
gender, and a discussion of how directors or advisors were chosen;
    3. A statement of the project goals and objectives with anticipated 
outcomes and results of benefit to the local or national ethnic 
community;
    4. A description of local or national ethnic community planning and 
support to work collaboratively on the project. If the project is 
designed to enhance ethnic leadership, the application should describe 
how these individuals have been or will be identified and how the 
overall community will be brought into the plan;
    5. A proposed plan of action, including the scope of activities and 
a timetable for implementation;
    6. An estimated line item budget narrative with a detailed 
justification of how the applicant arrived at estimated costs.
D. Application Review Criteria
    Each project proposal will be rated individually by an independent 
review panel using the criteria described below. Local level projects 
and national/multi-state projects will be ranked separately. In making 
awards, the Director will exercise some discretion to ensure that a 
range of ethnicities are supported in their self-help efforts under 
this program.
    1. Degree to which the applicant understands the focus and need of 
the relevant ethnic group, as evidenced by the discussion presented. 
(10 points)
    2. Applicant's capacity, including any enhancement due to proposed 
partners or consultants, to implement the proposed plan of action. (15 
points)
    3. Appropriateness of goals and the extent to which outcomes 
proposed are measurable. (20 points)
    4. Evidence of ethnic community involvement in the project 
planning, suitable identification of project leaders as appropriate, 
and support for the plan of action. (15 points)
    5. Clarity and appropriateness of the project design, plan of 
action and timetable for implementation, and likelihood that proposed 
activities and results will benefit the community. (30 points)
    6. The budget is reasonable, clearly presented, sufficiently 
detailed, and cost effective. (10 points)

Part II. General Application Information and Guidance

    All applications which meet the stipulated deadline and other 
requirements will be reviewed competitively and scored by an 
independent review panel of experts in accordance with ACF grants 
policy and the criteria stated below. The results of the independent 
review panel scores and explanatory comments will assist the Director 
of ORR in considering competing applications. Reviewers' scores will 
weigh heavily in funding decisions but will not be the only factors 
considered. Applications generally will be considered in order of the 
average scores assigned by the reviewers. Highly ranked applications 
are not guaranteed funding since other factors are taken into 
consideration, including: comments of reviewers and of ACF/ORR 
officials; previous program performance of applicants; compliance with 
grant terms under previous DHHS grants; audit reports; and 
investigative reports. Final funding decisions will be made by the 
Director of ORR.

A. Application Preparation and Submission

    Availability of Forms--Attachments contain all of the standard 
forms necessary for the application for awards under this announcement. 
Further, copies of the Federal Register containing this announcement 
are available at most local libraries and Congressional District 
Offices for reproduction. If copies are not available at these sources, 
they may be obtained by writing or telephoning the following office: 
Office of Refugee Resettlement, 370 L'Enfant Promenade S.W., 
Washington, D.C. 20447, Telephone: (202) 401-9251.

B. Forms, Certifications, Assurances, and Disclosure

    1. Applicants for financial assistance under this announcement must 
file the Standard Form (SF) 424, Application for Federal Assistance; 
SF-424A, Budget Information--Non-Construction Programs; SF-424B, 
Assurances--Non-Construction Programs. The instructions and forms 
required for submission of applications are included. The forms may be 
reproduced for use in submitting applications. An application with an 
original signature and two copies is required.
    The two letter designations for the Categories of the Standing 
Announcement Discretionary Grants are: category 1, RP; category 2, RU; 
category 3, RO; category 4, RB; category 5, RM; and category 6, RE. The 
applicant should identify each application accordingly on the face page 
of the SF 424, item 11.
    2. Budget and Budget Justification--Provide line item detail and 
detailed calculations for each budget object class identified on the 
Budget Information form. Detailed calculations must include estimation 
methods, quantities, unit costs, and other similar quantitative detail 
sufficient for the calculation to be duplicated. The detailed budget 
must also include a breakout by the funding sources identified in Block 
15 of the SF-424.

[[Page 64866]]

    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be detailed 
and justified in the budget and narrative justification. According to 
the instructions for completing the SF-424A and the preparation of the 
budget and budget justification, ``Federal resources'' refers only to 
the ACF/ORR grant for which you are applying. Non-Federal resources are 
all other Federal and non-Federal resources. It is suggested that 
budget amounts and computations be presented in a columnar format: 
first column, object class categories; second column, Federal budget; 
next column(s), non-Federal budget(s), and last column, total budget. 
The budget justification should be a narrative.
    Personnel: Costs of employee salaries and wages. Identify the 
project director and for each staff person, provide the title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include the costs of consultants or personnel 
costs of delegate agencies.
    Fringe Benefits: Costs of employee fringe benefits unless treated 
as part of an approved indirect cost rate.
    Provide a breakdown of the amounts and percentages that comprise 
fringe benefit costs such as health insurance, FICA, retirement 
insurance, taxes, etc.
    Travel: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    For each trip, show the total number of traveler(s), travel 
destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF/
ORR-sponsored workshops should be detailed in the budget.
    Equipment: Costs of tangible, non-expendable, personal property, 
having a useful life of more than one year and an acquisition cost of 
$5,000 or more per unit.
    For each type of equipment requested, provide a description of the 
equipment, the cost per unit, the number of units, the total cost, and 
a plan for use on the project, as well as use or disposal of the 
equipment after the project ends.
    Supplies: Costs of all tangible personal property other than that 
included under the Equipment category. Specify general categories of 
supplies and their costs. Show computations and provide other 
information which supports the amount requested.
    Contractual: Costs of all contracts for services and goods except 
for those which belong under other categories such as equipment, 
supplies, etc. Contracts with secondary recipient organizations, 
including delegate agencies (if applicable), should be included under 
this category.
    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. If 
procurement competitions were held or if procurement without 
competition is being proposed, attach a list of proposed contractors, 
indicating the names of the organizations, the purposes of the 
contracts, the estimated dollar amounts, and the award selection 
process. Justify any anticipated procurement action that is expected to 
be awarded without competition and exceed the simplified acquisition 
threshold fixed at 41 USC 403(11). Recipients might be required to make 
available to ACF pre-award review and procurement documents, such as 
request for proposals or invitations for bids, independent cost 
estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions.

    Other: Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, professional services costs, space and equipment rentals, 
printing and publication, computer use, training costs, such as tuition 
and stipends, staff development costs, and administrative costs.
    Provide computations, a narrative description and a justification 
for each cost under this category.
    Indirect Costs: This category should be used only when the 
applicant currently has an indirect cost rate approved by the 
Department of Health and Human Services or another cognizant Federal 
agency.
    An applicant proposing to charge indirect costs to the grant must 
enclose a copy of the current rate agreement. If the applicant 
organization is in the process of initially developing or renegotiating 
a rate, it should immediately upon notification that an award will be 
made, develop a tentative indirect cost rate proposal based on its most 
recently completed fiscal year in accordance with the principles set 
forth in the cognizant agency's guidelines for establishing indirect 
cost rates, and submit it to the cognizant agency. Applicants awaiting 
approval of their indirect cost proposals may also request indirect 
costs. It should be noted that when an indirect cost rate is requested, 
those costs included in the indirect cost pool should not also be 
charged as direct costs to the grant. Also, if the applicant is 
requesting a rate which is less than what is allowed under the 
agreement, the authorized representative of the applicant organization 
must submit a signed acknowledgement that the applicant is accepting a 
lower rate than allowed.
    Program Income: The estimated amount of income, if any, expected to 
be generated from this project.
    Describe the nature, source and anticipated use of program income 
in the budget or refer to the pages in the application which contain 
this information. Program income generated under any Federal grant 
resulting from this announcement shall be used in one of the following 
ways: (1) deducted from the total project costs, (2) under cost-sharing 
used for allowable costs to satisfy this requirement, (3) added to 
funds committed to the project and used to further program objectives. 
For 1 or 2, the income should be used for current costs unless the 
awarding agency authorizes deferral to a later period. For 3, there is 
no requirement to request prior approval to defer use of program income 
for a later period.
    Non-Federal Resources: Amounts of non-Federal resources that will 
be used to support the project as identified in Block 15 of the SF-424.
    The firm commitment of these resources must be documented and 
submitted with the application in order to be given credit in the 
review process. A detailed budget must be prepared for each funding 
source.
    3. Applicants must provide the following certifications. Copies of 
the forms and assurances are located at the end of this announcement.
    a. Certification regarding lobbying if your anticipated award 
exceeds $100,000.
    b. Certification regarding environmental tobacco smoke. By signing 
and submitting the applications, applicant provides certification that 
they will comply with the requirements of the Pro-Children Act of 1994 
(P.L. 103-227, Part C--Environmental Tobacco Smoke) and need not mail 
back the certification with the application.
    c. Certification regarding debarment, suspension, and other 
Ineligibility. By signing and submitting the applications, applicant 
provides certification that

[[Page 64867]]

they are not presently debarred, suspended or otherwise ineligible for 
this award and therefore need not mail back the certification with the 
application.
    d. Drug-Free Workplace Act of 1988.

C. Deadline

    1. Mailed applications shall be considered as meeting an announced 
deadline if they are received on or before the deadline date or sent on 
or before the deadline date and received by ORR in time for the 
independent review. Applications should be mailed to: Office of Refugee 
Resettlement, Administration for Children and Families, Division of 
Community Resettlement, 370 L'Enfant Promenade, S.W., Sixth Floor, 
Washington, D.C. 20447, Attention: Standing Competition.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark, or a legibly dated, machine produced postmark of a commercial 
mail service appears on the envelope/package containing the 
application(s). An acceptable postmark from a commercial carrier is one 
which includes the carrier's logo/emblem and shows the date the package 
was received by the commercial mail service. Private metered postmarks 
shall not be acceptable as proof of timely mailing.
    Applications hand-carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8:00 a.m. and 4:30 p.m., at the Administration for 
Children and Families, Office of Refugee Resettlement, Aerospace 
Center, 901 D Street, S.W., Washington, D.C. 20024, between Monday and 
Friday (excluding Federal holidays). (Applicants are cautioned that 
express/overnight mail services do not always deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    2. Late applications: Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    3. Extension of deadlines: ACF may extend the deadline for 
applicants affected by acts of God such as floods and hurricanes, or 
when there is widespread disruption of the mails. A determination to 
waive or extend deadline requirements rests with the Chief Grants 
Management Officer.
    4. Once an application has been submitted, it is considered as 
final and no additional materials will be accepted by ACF.

D. Nonprofit Status

    Applicants other than public agencies must provide evidence of 
their nonprofit status with their applications. Any of the following is 
acceptable evidence: (1) A copy of the applicant organization's listing 
in the Internal Revenue Service's most recent list of tax-exempt 
organizations described in section 501(c)(3) of the IRS Code; or (2) a 
copy of the currently valid IRS tax exemption certificate.

E. Intergovernmental Review

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.''
    As of June 15, 1997, the following jurisdictions have elected not 
to participate in the Executive Order process. Applicants from these 
jurisdictions need take no action in regard to E.O. 12372: Alabama, 
Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, American Samoa, and Palau.
    All remaining jurisdictions participate in the E.O. process and 
have established Single Points of Contact (SPOCs). A list of the Single 
Points of Contact for each State and Territory is included as Appendix 
A of this announcement.
    Applicants from participating jurisdictions should contact their 
SPOCs as soon as possible to alert them to the prospective applications 
and receive instructions. Applicants must submit any required material 
to the SPOCs as soon as possible so that ORR can obtain and review SPOC 
comments as part of the award process. The applicant must submit all 
required materials, if any, to the SPOC and indicate the date of this 
submittal (or the date of contact if no submittal is required) on the 
Standard Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards. 
SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule. When comments 
are submitted directly to ACF, they should be addressed to: Department 
of Health and Human Services, Administration for Children and Families, 
Office of Refugee Resettlement, Division of Community Resettlement, 6th 
Floor, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447.

F. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995, Pub. Law 104-13, the 
Department is required to submit to the Office of Management and Budget 
(OMB) for review and approval any reporting and record keeping 
requirements in regulations, including program announcements. All 
information required by this is covered under the OMB Approval No. 
0970-0139, ACF Uniform Project Description.

G. Applicable Regulations

    Applicable DHHS regulations can be found in 45 CFR part 74 or 92.

H. Reporting Requirements

    Grantees are required to file the Financial Status Report (SF-269) 
semi-annually and Program Progress Reports on a quarterly basis. Funds 
issued under these awards must be accounted for and reported upon 
separately from all other grant activities.
    Although ORR does not expect the proposed components/projects to 
include evaluation activities, it does expect grantees to maintain 
adequate records to track and report on project outcomes and 
expenditures by budget line item.
    The official receipt point for all reports and correspondence is 
the ORR Division of Community Resettlement. An original and one copy of 
each report shall be submitted within 30 days of the end of each 
reporting period directly to the Project Officer named in the award 
letter. The mailing address is: 370 L'Enfant Promenade S.W., Sixth 
Floor, Washington, D.C. 20447.
    A final Financial and Program Report shall be due 90 days after the 
budget expiration date or termination of grant support.

(The Catalog of Federal Domestic Assistance [CFDA] number assigned 
to this announcement is 93.576)


[[Page 64868]]


    Dated: December 1, 1997.
Leonard Glickman,
Acting Director, Office of Refugee Resettlement.

OMB State Single Point of Contact Listing

ARIZONA
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315, 
FAX: (602) 280-1305
ARKANSAS
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and Administration, 
1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone: 
(501) 682-1074, FAX: (501) 682-5206
CALIFORNIA
Grants Coordinator, Office of Planning & Research, 1400 Tenth Street, 
Room 121, Sacramento, California 95814, Telephone: (916) 323-7480, FAX: 
(916) 323-3018
DELAWARE
Francine Booth, State Single Point of Contact Executive Department, 
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, 
Telephone: (302) 739-3326, FAX: (302) 739-5661
DISTRICT OF COLUMBIA
Charles Nichols, State Single Point of Contact, Office of Grants Mgmt. 
& Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 20005, 
Telephone: (202) 727-6554, FAX: (202) 727-1617
FLORIDA
Florida State Clearinghouse, Department of Community Affairs, 2740 
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 
922-5438, FAX: (904) 487-2899
GEORGIA
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254 
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, Telephone: 
(404) 565-3855 or (404) 656-3829, FAX: (404) 656-7938
ILLINOIS
Virginia Bova, State Single Point of Contact, Department of Commerce 
and Community Affairs, James R. Thompson Center, 100 West Randolph, 
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, FAX: 
(312) 814-1800
INDIANA
Frances Williams, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204-2796, Telephone: (317) 232-5619, FAX: (317) 233-3323
IOWA
Steven R. McCann, Division for Community Assistance, Iowa Department of 
Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, 
Telephone: (515) 242-4719, FAX: (515) 242-4859
KENTUCKY
Ronald W. Cook, Office of the Governor, Department of Local Government, 
1024 Capitol Center Drive, Frankfort, Kentucky 40601-8204, Telephone: 
(502) 573-2382, FAX: (502) 573-2512
MAINE
Joyce Benson, State Planning Office, State House Station #38, Augusta, 
Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
MARYLAND
William G. Carroll, Manager, State Clearinghouse for Intergovernmental 
Assistance, Maryland Office of Planning, 301 W. Preston Street--Room 
1104, Baltimore, Maryland 21201-3265, Staff Contact: Linda Janey, 
Telephone: (410) 225-4490, FAX: (410) 225-4480
MICHIGAN
Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison 
Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-
4266
MISSISSIPPI
Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
MISSOURI
Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, 
P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri 
65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
NEVADA
Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-
3983
NEW HAMPSHIRE
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, 
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon 
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX: 
(603) 271-1728
NEW MEXICO
Robert Peters, State Budget Division, Room 190 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
NEW YORK
New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-5617
NORTH CAROLINA
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
NORTH DAKOTA
North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
OHIO
Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411, Please direct correspondence and questions 
about intergovernmental review to: Linda Wise, Telephone: (614) 466-
0698, FAX: (614) 466-5400
RHODE ISLAND
Kevin Nelson, Review Coordinator, Department of Administration/Division 
of Planning, One Capitol Hill, 4th Floor, Providence, Rhode Island 
02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083.
Please direct correspondence and questions to: Review Coordinator, 
Office of Strategic Planning
SOUTH CAROLINA
Rodney Grizzle, State Single Point of Contact, Grant Services, Office 
of the Governor, 1205 Pendleton Street--Room 331, Columbia, South 
Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356

[[Page 64869]]

TEXAS
Tom Adams, Governor's Office, Director, Intergovernmental Coordination, 
P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX: 
(512) 463-1888
UTAH
Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114, Telephone: 
(801) 538-1535, FAX: (801) 538-1547
WEST VIRGINIA
Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
WISCONSIN
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, P.O. 
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX: 
(608) 267-6931
WYOMING
Matthew Jones, State Single Point of Contact, Office of the Governor, 
200 West 24th Street, State Capitol, Room 124, Cheyenne, Wyoming 82002, 
Telephone: (307) 777-7446, FAX: (307) 632-3909

TERRITORIES

GUAM
Mr. Giovanni, T. Sgambelluri, Director, Bureau of Budget and Management 
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910, 
Telephone: 011-671-472-2285, FAX: 011-671-472-2825
PUERTO RICO
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning 
Board, Federal Proposals Review Office, Minillas Government Center, 
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-
4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
NORTH MARIANA ISLANDS
Mr. Alvaro A. Santos, Executive Officer, State Single Point of Contact, 
Office of Management and Budget, Office of the Governor, Saipan, MP, 
Northern Mariana Islands 96950, Telephone: (670) 664-2256, FAX: (670) 
664-2272, Contact Person: Ms. Jacoba T. Seman, Federal Programs 
Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272
VIRGIN ISLANDS
Nelson Bowry, Director, Office of Management and Budget, #41 Norregade 
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 
00802, Please direct all questions and correspondence about 
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750, 
FAX: (809) 776-0069
    In accordance with Executive Order #12372, ``Intergovernmental 
Review of Federal Programs,'' this listing represents the designated 
State Single Points of Contact. The jurisdictions not listed no longer 
participate in the process BUT GRANT APPLICANTS ARE STILL ELIGIBLE TO 
APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITORY, COMMONWEALTH, ETC 
DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.'' STATES WITHOUT 
``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama, Alaska, American 
Samoa, Colorado, Connecticut, Kansas, Hawaii, Idaho, Louisiana, 
Massachusetts, Palau, Minnesota, Montana, Nebraska, New Jersey, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, and Washington. This list is based on the most current 
information provided by the States. Information on any changes or 
apparent errors should be provided to the Office of Management and 
Budget and the State in question. Changes in the list will only be made 
upon formal question. Changes to the list will only be made upon formal 
notification by the State. Also, this listing is published biannually 
in the Catalogue of Federal Domestic Assistance.

BILLING CODE 4184-01-P

[[Page 64870]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.017



BILLING CODE 4184-01-C

[[Page 64871]]

Instructions For The SF 424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget. Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the Address Provided By The 
Sponsoring Agency.
    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State, if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (.e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities.)
    13. Self-explanatory.
    14. List of applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit allowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 64872]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.018



[[Page 64873]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.019



BILLING CODE 4184-01-C

[[Page 64874]]

Instructions for the SF 424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A. Budget Summary Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple function or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number of each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) through (g)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in Columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).

Line 5--Show the total for all columns used.

Section B. Budget Categories

    In the column headings (1 ) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k, should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal Resources

    Lines 8-11 Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals in Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of 
the Project.

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in Column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Line 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object-class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
necessary.

Assurances--Non-Construction Programs

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing

[[Page 64875]]

the collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget, send it to the address provided by the 
sponsoring agency.

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.c. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any 
other nondiscrimination provisions in the specific statute(s) under 
which application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with the provisions of the Hatch 
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the 
political activities of employees whose principal employment 
activities are funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (41 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Applicant Organization

----------------------------------------------------------------------
Date Submitted

BILLING CODE 4184-01-P

[[Page 64876]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.020



[[Page 64877]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.021



BILLING CODE 4184-01-C

[[Page 64878]]

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification is this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact that person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [[Page 33043]] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4 debarred, suspended, ineligible, or voluntarily 
excluded from covered transactions, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    8. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a low tier covered transaction with a person who is 
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participation in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.
* * * * *

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that neither it nor its principals is 
presently debarred, suspended, proposed for debarment, declared 
ineligible, or voluntarily excluded from participation in this 
transaction by any Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other

[[Page 64879]]

remedies available to the Federal Government, the department or 
agency may terminate this transaction for cause or default.
* * * * *

Certification Regarding Debarment, Suspension, and other Responsibility 
Matters--Primary Covered transactions

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) Where the prospective primary participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

BILLING CODE 4184-01-P

[[Page 64880]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.022



BILLING CODE 4184-01-C

[[Page 64881]]

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of an 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' 
in accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form--LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions. Submission of this statement is a prerequisite for 
making or entering into this transaction imposed by section 1352, 
title 31, U.S. Code. Any person who fails to file the required 
statement shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.

Signature--------------------------------------------------------------

Title------------------------------------------------------------------

Organization-----------------------------------------------------------

Date-------------------------------------------------------------------

BILLING CODE 4184-01-P

[[Page 64882]]

[GRAPHIC] [TIFF OMITTED] TN09DE97.023



BILLING CODE 4184-01-C

[[Page 64883]]

Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also 
known as the Pro-Children Act of 1994 (Act), requires that smoking 
not be permitted in any portion of any indoor routinely owned or 
leased or contracted for by an entity and used routinely or 
regularly for provision of health, day care, education, or library 
services to children under the age of 18, if the services are funded 
by Federal programs either directly or through State or local 
governments, by Federal grant, contract, loan, or loan guarantee. 
The law does not apply to children's services provided in private 
residences, facilities funded soley by Medicare or Medicaid funds, 
and portions of facilities used for inpatient drug or alcohol 
treatment. Failure to comply with the provisions of the law may 
result in the imposition of a civil monetary penalty of up to $1000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

[FR Doc. 97-32073 Filed 12-8-97; 8:45 am]
BILLING CODE 4184-01-P


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