[Federal Register Volume 66, Number 124 (Wednesday, June 27, 2001)]
[Notices]
[Pages 34206-34222]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-16146]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. 93612-2002]


Administration for Native Americans: Availability of Financial 
Assistance

AGENCY: Administration for Native Americans ACF, DHHS.

ACTION: Announcement of availability of competitive financial 
assistance for projects in competitive areas administered by the 
Administration for Native Americans for American Indians, Native 
Hawaiians, Alaska Natives and Native American Pacific Islanders.

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SUMMARY: The Administration for Native Americans (ANA) announces the 
anticipated availability of fiscal year 2002 funds in three competitive 
areas:

Area (1)--Governance and Social and Economic Development; closing dates 
are October 26, 2001, February 28, 2002, and May 17, 2002.
Area (2)--Governance and Social and Economic Development for Alaska 
Native Entities; closing day May 10, 2002.
Area (3)--Environmental Regulatory Enhancement; closing day March 22, 
2002.

    Financial assistance provided by ANA in support of projects in 
these three areas is intended to promote the goal of self-sufficiency 
for Native Americans.
    Application Kit: Application kits are approved by the Office of 
Management and Budget (OMB) under control number 0980-0204, which 
expires April 30, 2003. The application kit contains the necessary 
forms and instructions to apply for a grant under this program 
announcement.
    Application kits may be obtained from ANA training and technical 
assistance providers. ANA employs contractors to provide short-term 
training and technical assistance (T/TA) to eligible applicants. T/TA 
is available under these contracts for a wide range of needs, however, 
the contractors are not authorized to write applications. The T/TA is 
provided at no cost. To obtain an application kit and/or, training and 
technical assistance, applicants are encouraged to contact the 
appropriate T/TA provider within the appropriate service area. If you 
do not know the identity of the contractor currently serving the region 
you are located in, you may identify the contractor by calling: 
Administration for Native Americans, Applicant Help Desk, toll free at 
1-877-922-9262; or visit ANA's web site listing of current providers 
at: http://www.acf.dhhs.gov/programs/ana/. The ANA providers serve six 
areas divided as follows:
    Area 1, Eastern serves federally recognized Tribes in AL, AR, CT, 
DC, DE, FL, GA, IL, IN, KY, LA, MA, MD, ME, MI, MN, MS, NC, NH, NJ, NY, 
OH, PA, RI, SC, TN, VA, VT, WI and WV.
    Area 2, Central federally recognized Tribes in AZ, CO, IA, KS, ND, 
NE, NM, NV, MO, MT, OK, SD, UT, WY, NV, ID and TX.
    Area 3, Western serves federally recognized Tribes in CA, OR and 
WA.
    Area 4, Alaska serves all eligible applicants in AK.
    Area 5, Pacific serves all eligible applicants in Hawaii (HI) and 
the Pacific Islands of AS (American Samoa), GU (Guam), MP (Northern 
Mariana Islands) and PW (Palau).
    Area 6, National serves all eligible applicants on the mainland 
United States not served by providers for areas

[[Page 34207]]

1 through 5. This includes non-federally recognized Tribes, Urban 
Indians, off-reservation rural Indian communities, Native Americans 
served through non-federally recognized urban and consortia 
arrangements and Organizations serving Native Hawaiians and Pacific 
Island Natives on the Mainland.
    Copies of this program announcement and many of the required forms 
may be obtained electronically at the ANA World Wide Web Page: http://www.acf.dhhs.gov/programs/ana/.
    The printed Federal Register notice is the only official program 
announcement. Although all reasonable efforts are taken to assure that 
the files on the ANA World Wide Web Page containing electronic copies 
of this Program Announcement are accurate and complete, they are 
provided for information only. The applicant bears sole responsibility 
to assure that the copy downloaded and/or printed from any other source 
is accurate and complete.

SUPPLEMENTARY INFORMATION:

Introduction and Purpose

    The purpose of this program announcement is to announce the 
anticipated availability of fiscal year 2002 funds, authorized under 
the Native American Programs Act of 1974 (Act), as amended, to promote 
the goal of social and economic self-sufficiency for American Indians, 
Alaska Natives, Native Hawaiians, and Native American Pacific Islanders 
in three competitive areas. Funding authorization is provided under 
sections 803(a), and 803(d) of the Native American Programs Act of 
1974, as amended (Pub. L. 93-644, 88 Stat. 2324, 42 U.S.C. 2991b). The 
Indian Environmental Regulatory Enhancement Act of 1990 (Pub. L. 101-
408) authorizes financial assistance for projects to address 
environmental regulatory concerns (section 803(d) of the Native 
American Programs Act of 1974, as amended).
    The Administration for Native Americans assists eligible applicants 
for the three competitive areas to undertake 12 to 36 month development 
projects that are part of long-range comprehensive plans to move toward 
governance, social, and/or economic self-sufficiency.
    In order to streamline the application process for eligible 
applicants under three competitive areas, ANA is issuing a single 
program announcement for fiscal year 2002 funds. Information regarding 
ANA's mission, policy, goals, application requirements, review criteria 
and closing dates for all three competitive areas are included in this 
announcement.
    The Administration for Native Americans promotes the goal of self-
sufficiency in Native American communities primarily through Social and 
Economic Development Strategies (SEDS) projects. The Native American 
Programs Act also authorizes ANA to establish an additional program for 
environmental regulatory enhancement.
    This program announcement is being issued in anticipation of the 
appropriation of funds for fiscal year 2002 and the availability of 
funds for the three competitive areas is contingent upon sufficient 
final appropriations. Proposed projects will be reviewed on a 
competitive basis against the specific evaluation criteria presented 
under each competitive area in this announcement.
    ANA continues a variety of requirements directed towards enforcing 
its policy that an eligible grant recipient may only have one active 
ANA grant awarded from a competitive area at any time. Therefore, while 
eligible applicants may compete for a grant in each of the three 
competitive areas, an applicant may only submit one application per 
competitive area and no applicant may receive more than one grant in 
each competitive area, including any existing ANA grant. Also, an 
Alaska Native entity may not submit an application under both 
Competitive Areas 1 and 2 for the May closing date. Alaska Native 
entities may receive a grant under either competitive area 1 or 2, but 
not under both. All applicants are strongly encouraged to demonstrate a 
plan for an employee fringe benefit package that includes an employee 
retirement plan benefit, and new grantee recipients must fund travel 
for key personnel (such as the Financial Officer or Project Director) 
to attend post-award grant management and administration training 
sponsored by ANA. This travel funding is optional for grantees that 
have had ANA grants in the past.
    Before receiving a grant, every successful applicant will be 
encouraged to commit in writing to, and budget for an employee 
retirement fringe benefit that meets the standards found in the budget 
evaluation criteria within this announcement.
    Continuing for fiscal year 2002, to foster goals under the 
Executive Order on tribally controlled colleges and universities 
(TCUs), TCUs may now independently apply for an ANA grant without 
impacting eligibility of the Tribe to apply. Previously, only one 
application was accepted, either from the Tribe or the TCU. Now both 
the Tribe and TCU may compete for and receive ANA grants at the same 
time, in the same program(s).
    Ongoing for fiscal year 2002, are two White House Initiatives 
relating to Hawaiians and Pacific Islanders and People with 
Disabilities. In accordance with the Executive Order on Asian American 
and Pacific Islanders, ANA encourages greater participation from 
Hawaiian and Pacific Islander communities. The Executive Order on 
People with Disabilities encourages all communities to address the 
needs of people with disabilities in all programs in accordance with 
the Americans with Disabilities Act (ADA). ANA encourages all Native 
communities to address the needs of People with Disabilities in all 
aspects of their programs. ANA also encourages greater participation 
from Native organizations serving People with Disabilities.
    In FY2002, a special emphasis is announced for incorporating a 
capacity for tribes who are operating or plan to operate Tribal Child 
Support Enforcement programs either solely or in conjunction with a 
tribal TANF program. As a part of a tribal social development project, 
capacity building can include cooperative agreements with States to 
deliver critical elements of a comprehensive child support program or 
such capacity of tribal governments to run solely tribal programs with 
no cooperative agreement with a state.
    This program announcement consists of three parts.

Part I. ANA Policy and Goals

    Provides general information about ANA's policies and goals for 
the three competitive areas. This section contains information 
pertaining to all applicants.

Part II. ANA Competitive Areas

    Describes the three competitive areas under which ANA is 
requesting applications:

Area 1: Governance, Social and Economic Development(SEDS);
Area 2: Governance, Social and Economic Development(SEDS) for Alaska 
Native Entities;
Area 3: Environmental Regulatory Enhancement.

    Each competitive area includes the following sections which 
provide information to be used to develop an application:

A. Purpose and Availability of Funds
B. Background
C. Proposed Projects To Be Funded
D. Eligible Applicants
E. Grantee Share of the Project
F. Review Criteria
G. Application Due Date(s)
H. Contact Information

[[Page 34208]]

Part III. General Application Information and Guidance

    Provides important information and guidance that applies to all 
three competitive areas and that must be taken into account in 
developing an application for any of the three areas.
A. Definitions
B. Activities That Cannot Be Funded
C. Multi-Year Projects
D. Intergovernmental Review of Federal Programs
E. The Application Process
F. The Review Process
G. General Guidance to Applicants
H. Paperwork Reduction Act of 1995
I. Receipt of Applications

Part I--ANA Policy and Goals

    The mission of the Administration for Native Americans (ANA) is to 
promote the goal of social and economic self-sufficiency for American 
Indians, Alaska Natives, Native Hawaiians, and other Native American 
Pacific Islanders.
    The Administration for Native Americans believes that a Native 
American community is self-sufficient when it can generate and control 
the resources necessary to meet its social and economic goals, and the 
needs of its members.
    The Administration for Native Americans also believes that the 
responsibility for achieving self-sufficiency resides with the 
governing bodies of Indian tribes, Alaska Native villages, and in the 
leadership of Native American groups. A community's progress toward 
self-sufficiency is based on its efforts to plan, organize, and direct 
resources in a comprehensive manner which is consistent with its 
established long-range goals.
    The Administration for Native Americans' policy is based on three 
interrelated goals:
    1. Governance: To assist tribal and Alaska Native village 
governments, Native American institutions, and local leadership to 
exercise local control and decision-making over their resources.
    2. Economic Development: To foster the development of stable, 
diversified local economies and economic activities which will provide 
jobs and promote economic well being.
    3. Social Development: To support local access to, control of, and 
coordination of services and programs which safeguard the health, well-
being and culture of people, provide support services and training so 
people can work, and which are essential to a thriving and self-
sufficient community in the spirit of respect for indigenous peoples' 
cultural and intellectual property rights.
    Applicants must comply with certain of the following administrative 
policies:
    <bullet> Current grantees whose grant project period extends beyond 
September 30, 2001, or who have requested an extension of the grant 
project beyond that date, are not eligible to apply for a grant under 
the same program area. Current SEDS or Alaska-specific SEDS grantees 
with project periods beyond September 30, 2002, may not compete for 
additional SEDS or Alaska-specific SEDS grants. Current Indian 
Environmental Regulatory Enhancement grantees with project periods 
beyond September 30, 2002, may not compete for additional Indian 
Environmental Regulatory Enhancement grants.
    <bullet> Applicants for any competitive area may propose 12 to 36 
month projects.
    <bullet> Applicants must describe a locally determined strategy to 
carry out a proposed project with fundable objectives and activities.
    <bullet> Local long-range planning must consider the maximum use of 
all available resources, how the resources will be directed to 
development opportunities, and present a strategy for overcoming the 
local issues that hinder movement toward self-sufficiency in the 
community.
    <bullet> An application from a federally recognized Tribe, Alaska 
Native Village or Native American organization must be from the 
governing body of the Tribe or organization.
    <bullet> ANA will not accept applications from tribal components 
which are tribally-authorized divisions of a larger tribe, unless the 
application includes a Tribal resolution which clearly demonstrates the 
Tribe's support of the project and the Tribe's understanding that the 
other applicant's project supplants the Tribe's authority to submit an 
application under that specific competitive area both for the current 
competition and for the duration of the approved grant period, should 
the application be funded.
    <bullet> If a federally recognized Tribe or Alaska Native village 
chooses not to apply, it may support another applicant's project (e.g., 
a tribal organization) which serves or impacts their reservation. In 
this case, the applicant must include a Tribal resolution which clearly 
demonstrates the Tribe's approval of the project and the Tribe's 
understanding that the other applicant's project supplants the Tribe's 
authority to submit an application under that specific competitive area 
both for the current competition and for the duration of the approved 
grant period, should the application be funded.
    <bullet> An applicant may submit a separate application under any 
of the competitive areas, as long as the applicant meets the 
eligibility requirements. However, for the May closing, applications 
for SEDS grants from Alaska Native entities may be submitted under 
either Competitive Area 1 or Competitive Area 2, but not both.
    <bullet> Under each competitive area, ANA will only accept one 
application, which serves or impacts a reservation, Tribe, or Native 
American community.
    <bullet> Any non-profit organization submitting an application must 
submit proof of its non-profit status in the application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax exempt organizations described in Section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, or by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.
    <bullet> If the applicant, other than a tribe or an Alaska Native 
Village government, is proposing a project benefiting Native Americans 
or Alaska, or both, it must provide assurance that its duly elected or 
appointed board of directors is representative of the community, to be 
served. To establish compliance with the requirement in the regulations 
for a Board representative of the community, applicants should provide 
information establishing that at least ninety (90) percent of the 
individuals serving on a non-profit applicant's board fall into one or 
more of the following categories: (1) A current or past member of the 
community to be served; (2) a prospective participant or beneficiary of 
the project to be funded; or (3) have a cultural relationship with the 
community to be served.
    <bullet> Organizations incorporating in American Samoa are 
cautioned that the Samoan government relies exclusively upon IRS 
determinations of non-profit status; therefore, articles of 
incorporation approved by the Samoan government do not establish non-
profit status for these organizations for the purpose of eligibility 
for ANA funds.
    <bullet> Grantees must provide at least 20 percent of the total 
approved cost of the project. The total approved cost of the project is 
the sum of the ACF share and the non-Federal share. The non-Federal 
share may be met by cash or in-kind contributions, although applicants 
are encouraged to meet their match requirements through cash 
contributions. Therefor, a project requesting $100,000 in Federal funds

[[Page 34209]]

(based on an award of $125,000 per budget period) must provide a match 
of at least $25,000 (20% total approved project cost). Grantees will be 
held accountable for commitments of non-Federal resources even if over 
the amount of the required match. Failure to provide the amount will 
result in disallowance of Federal match.
    As per 45 CFR Part 74.2, In-Kind contributions are defined as the 
value of non-cash contributions provided by non-Federal third parties. 
Third party in-kind contributions may be in the form of real property, 
equipment, supplies and other expendable property, and the value of 
goods and services directly benefiting and specifically identifiable to 
the project or program.
    In addition it may include other Federal funding sources where 
legislation or regulations authorize using specific types of funds for 
match and provided the source relates to the ANA project; examples 
follow:
    <bullet> Indian Child Welfare funds, through the Department of 
Interior;
    <bullet> Indian Self-Determination and Education Assistance funds, 
through the Department of Interior and the Department of Health and 
Human Services; and
    <bullet> Community Development Block Grant funds, through the 
Department of Housing and Urban Development.
    An itemized budget detailing the applicant's non-Federal share, and 
its source(s), must be included in an application.
    <bullet> If an applicant plans to charge or otherwise seek credit 
for indirect costs in its ANA application, a current copy of its 
Indirect Cost Agreement must be included in the application.
    <bullet> A request for a waiver of the non-Federal share 
requirement may be submitted in accordance with 45 CFR 1336.50(b)(3) of 
the Native American Program Regulations.
    <bullet> Applications originating from American Samoa, Guam, or the 
Commonwealth of the Northern Mariana Islands are covered under section 
501(d) of Public Law 95-134, as amended (48 U.S.C. 1469a) under which 
HHS waives any requirement for matching funds under $200,000 (including 
in-kind contributions). Therefore, for the ANA grants under these 
announced programs, no match is required for grants to these insular 
areas.

Part II--ANA Competitive Areas

    The three competitive areas under this Part describe ANA's funding 
authorities, priorities, special initiatives, special application 
requirements, and review criteria. The standard requirements necessary 
for each application, as well as standard ANA program guidance and 
technical guidance are described in Part III of this announcement.

ANA Competitive Area 1: Social and Economic Development 
Strategies(SEDS) Projects

A. Purpose and Availability of Funds

    This competitive area promotes the goal of social and economic 
self-sufficiency for American Indians, Alaska Natives, Native 
Hawaiians, and Native American Pacific Islanders through locally 
developed social and economic development strategies (SEDS).
    Approximately $20 million of financial assistance is anticipated to 
be available under this priority area for governance, social and 
economic development projects. ANA anticipates awarding approximately 
150 competitive grants ranging from $50,000 to $1,000,000.

B. Background

    ANA assists tribal and village governments, and Native American 
organizations, in their efforts to develop and implement community-
based, long-term governance, social and economic development strategies 
(SEDS). These strategies must promote the goal of self-sufficiency in 
local communities.
    The SEDS approach is based on ANA's program goals and incorporates 
two fundamental principles:
    1. The local community and its leadership are responsible for 
determining goals, setting priorities, and planning and implementing 
programs aimed at achieving those goals. The local community is in the 
best position to apply its own cultural, political, and socio-economic 
values to its long-term strategies and programs.
    2. Governance and social and economic development are interrelated. 
In order to move toward self-sufficiency, development in one area 
should be balanced with development in the others. Consequently, 
comprehensive development strategies should address all aspects of the 
governmental, economic, and social infrastructures needed to promote 
self-sufficient communities.
    ANA's SEDS policy uses the following definitions:
    <bullet> Governmental infrastructure includes the constitutional, 
legal, and administrative development requisite for independent 
governance.
    <bullet> Economic infrastructure includes the physical, commercial, 
technological, industrial and/or agricultural components necessary for 
a functioning local economy which supports the life-style embraced by 
the Native American community.
    <bullet> Social infrastructure includes those components through 
which health, economic well being and culture are maintained within the 
community and that support governance and economic goals.
    These definitions should be kept in mind as a local social and 
economic development strategy is developed as part of a grant 
application.
    A community's movement toward self-sufficiency could be jeopardized 
if a careful balance between governmental, economic and social 
development is not maintained. For example, expansion of social 
services, without providing opportunities for employment and economic 
development, could lead to dependency on social services.
    Conversely, inadequate support services and training could 
seriously impede productivity and local economic development. 
Additionally, the necessary infrastructures must be developed or 
expanded at the community level to support social and economic 
development and growth. In designing their social and economic 
development strategies, ANA encourages an applicant to use or leverage 
all available human, natural, financial, and physical resources.
    ANA encourages the development and maintenance of comprehensive 
strategic plans, which are an integral part of attaining and supporting 
the balance necessary for successful activities that lead to self-
sufficiency.

C. Proposed Projects To Be Funded

    This section provides descriptions of activities, which are 
consistent with the SEDS philosophy. Proposed activities should be 
tailored to reflect the governance, social and economic development 
needs of the local community and should be consistent and supportive of 
the proposed project objectives. The types of projects which ANA may 
fund include, but are not limited to, the following:
Governance
    <bullet> Improvements in the governmental, judicial and/or 
administrative infrastructures of tribal and village governments (such 
as strengthening or streamlining management procedures or the 
development of tribal court systems);
    <bullet> Increasing the ability of tribes, villages, and Native 
American groups and organizations to plan, develop, and administer a 
comprehensive program to support community social and

[[Page 34210]]

economic self-sufficiency (including strategic planning);
    <bullet> Increasing awareness of and exercising the legal rights 
and benefits to which Native Americans are entitled, either by virtue 
of treaties, the Federal trust relationship, legislative authority, 
executive orders, administrative and court decisions, or as citizens of 
a particular state, territory, of the United States;
    <bullet> Status clarification activities for Native groups seeking 
Federal or State tribal recognition, such as performing research or any 
other function necessary to submit a petition for Federal 
acknowledgment or in response to any obvious deficiencies cited by the 
Bureau of Acknowledgment and Research (BAR), Department of Interior, in 
a petition from a Native group seeking Federal recognition; and
    <bullet> Development of and/or amendments to tribal constitutions, 
court procedures and functions, by-laws or codes, and council or 
executive branch duties and functions.
Economic Development
    <bullet> Development of a community economic infrastructure that 
will result in businesses, jobs, and an economic support structure;
    <bullet> Establishment or expansion of businesses and jobs in areas 
such as tourism, specialty agriculture, energy development, light and/
or heavy manufacturing, technology and Internet activities, fabrication 
and construction companies, housing and fisheries or aqua-culture
    <bullet> Stabilizing and diversifying a Native community's economic 
base through business development and enterprise zone ventures.
Social Development
    <bullet> Enhancing tribal capabilities to design or administer 
programs aimed at strengthening the social environment desired by the 
local community;
    <bullet> Developing local and intertribal models related to 
comprehensive planning and delivery of services;
    <bullet> Developing programs or activities to preserve and enhance 
tribal heritage and culture; and
    <bullet> Establishing programs, which involve extended families or 
tribal societies in activities that strengthen cultural identity and 
promote community development or self-esteem.
    Other SEDS Relationships. ANA encourages projects designed to use 
the SEDS approach to help achieve current priorities of the 
Administration for Children and Families which are to:
    <bullet> Address welfare reform initiatives such as moving families 
to work.
    <bullet> Help ensure child support from both parents.
    <bullet> Create access to affordable child care for low income 
working families.
    <bullet> Reach children earlier to promote full development, 
including links to Head Start, Early Head Start and Child Care.
    <bullet> Help enroll children in quality Head Start and prepare 
them to be ready to learn.
    <bullet> Provide safety, permanency and well-being for children and 
double the number of adoptions from the public child welfare system.

D. Eligible Applicants

    The following organizations are eligible to apply under this 
competitive area:
    <bullet> Federally recognized Indian Tribes;
    <bullet> Consortia of Indian Tribes;
    <bullet> Incorporated non-federally recognized Tribes;
    <bullet> Incorporated nonprofit multi-purpose community-based 
Indian organizations;
    <bullet> Urban Indian Centers;
    <bullet> National or regional incorporated nonprofit Native 
American organizations with Native American community-specific 
objectives;
    <bullet> Alaska Native villages as defined in the Alaska Native 
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
    <bullet> Incorporated nonprofit Alaska Native multi-purpose 
community-based organizations;
    <bullet> Nonprofit Alaska Native Regional Corporations/Associations 
in Alaska with village specific projects;
    <bullet> Nonprofit Native organizations in Alaska with village 
specific projects;
    <bullet> Public and nonprofit private agencies serving Native 
Hawaiians (The populations served may be located on these islands or on 
the continental United States);
    <bullet> Public and nonprofit private agencies serving native 
peoples from Guam, American Samoa, the Republic of Palau, or the 
Commonwealth of the Northern Mariana Islands. (The populations served 
may be located on these islands or in the United States); and
    <bullet> Tribally controlled community colleges, Tribally 
controlled cost-secondary vocational institutions, and colleges and 
universities located in Hawaii, Guam, American Samoa, Palau, or the 
Commonwealth of the Northern Mariana Islands which serve Native 
American Pacific Islanders.
    <bullet> Non-profit Alaska Native community entities or tribal 
governing bodies (Indian Reorganization Act or traditional Councils) as 
recognized by the Bureau of Indian Affairs.
    Further information on eligibility requirements is presented in 
Part I, ANA Policy and Goals. Some important policies found in Part I 
are highlighted as follows:
    Current ANA SEDS grantees whose grant project period ends on or 
before September 30, 2001 are eligible to apply for a grant award under 
this program announcement. The Project Period is noted in Block 9 of 
the ``Financial Assistance Award'' document. Applicants for new grants 
may not have a pending request to extend their existing grant beyond 
September 30, 2002.
    Any non-profit organization submitting an application must submit 
proof of its non-profit status in the application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax exempt organizations described in Section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, or by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.
    If the applicant, other than a tribe or an Alaska Native Village 
government, is proposing a project benefiting Native Americans or 
Alaska Natives, or both, it must provide assurance that its duly 
elected or appointed board of directors is representative of the 
community, to be served. To establish compliance with the requirement 
in the regulations for a Board representative of the community 
applicants should provide information establishing that at least ninety 
(90) percent of the individuals serving on a non-profit applicant's 
board fall into one or more of the following categories: (1) A current 
or past member of the community to be served; (2) a prospective 
participant or beneficiary of the project to be funded; or (3) have a 
cultural relationship with the community to be served. A list of board 
members with this information including Tribal or Village affiliation, 
is one of the most suitable approaches for demonstrating compliance 
with this requirement.
    Under each competitive area, ANA will only accept one application 
which serves or impacts a reservation, Tribe, or Native American 
community except that a tribally controlled college or university (TCU) 
may apply in addition to the Tribe. Tribally controlled colleges need 
only to submit a resolution from their Board of Directors or similar. 
If a federally recognized Tribe or Alaska Native village chooses not to 
apply, it

[[Page 34211]]

may support another applicant's project (e.g., a tribal organization) 
which serves or impacts their reservation. In this case, the applicant 
must include a Tribal resolution which clearly demonstrates the Tribe's 
approval of the project and the Tribe's understanding that the other 
applicant's project supplants the Tribe's authority to submit an 
application under that specific competitive area both for the current 
competition and for the duration of the approved grant period.

E. Grantee Share of the Project

    Grantees must provide at least 20 percent of the total approved 
cost of the project; i.e. the sum of the Federal share and the non-
Federal share. Further information on this requirement is presented in 
Part I, ANA Policy and Goals.

F. Review Criteria

    A proposed project should reflect the purposes of ANA's SEDS policy 
and program goals described in the Background section of this 
competitive area; include a social and economic development strategy 
which reflects the needs and specific circumstances of the local 
community; and address the specific developmental steps that the tribe 
or Native American community is undertaking toward self-sufficiency.
    The evaluation criteria are closely related to each other and are 
considered as a whole in judging the overall quality of an application.
    Points are awarded only to applications, which are responsive to 
this competitive area and these criteria. Proposed projects will be 
reviewed on a competitive basis using the following evaluation 
criteria:
(1) Long-Range Goals and Available Resources (15 Points)
    (a) The application describes the long-range goals and strategy, 
including:
    <bullet> How specific social, governance and economic long-range 
community goals relate to the proposed project and strategy;
    <bullet> How the community intends to achieve these goals;
    <bullet> The relationship between the long-range goals and the 
applicant's comprehensive community social and economic development 
plan. (Inclusion of the community's entire development plan is not 
necessary); and
    <bullet> A clearly delineated social and economic development 
strategy (SEDS).
    <bullet> In discussing their community-based, long-range goals, and 
the objectives for the proposed projects, non-Federally recognized and 
off-reservation groups must include a description of what constitutes 
their specific community.
    The application identifies and documents pre-existing and planned 
involvement and support of the community in the planning process and 
implementation of the proposed project except for those communities 
such as Hawaii and the Pacific Islands, where the systems of governance 
make such involvement inappropriate. The type of community you serve 
and nature of the proposal being made will influence the type of 
documentation necessary. For example, a Tribe may choose to address 
this requirement by submitting a resolution stating that community 
involvement has occurred in the project planning or may determine that 
additional community support work is necessary.
    A tribal organization may submit resolutions supporting the project 
proposal from each of its member tribes, as well as a resolution from 
the applicant organization. Other examples of documentation include: 
community surveys; minutes of community meetings; questionnaires; 
tribal presentations; and/or discussion/position papers.
    Applications from National Indian and Native organizations must 
clearly demonstrate a need for the project, explain how the project was 
originated, state who the intended beneficiaries will be, and describe 
how the recipients will actually benefit from the project. National 
Indian and Native organizations should define their membership and 
describe how the organization operates.
    (b) Available resources (other than ANA and the non-Federal share) 
which will assist, and be coordinated with the project are described.
    Letters of commitment should document these resources, not merely 
letters of support. Letters of commitment are binding when they 
specifically state the nature, the amount, and conditions under which 
another agency or organization will support a project funded with ANA 
funds. Letters of support merely express another organization's 
endorsement of a proposed project. Support letters are not binding 
commitment letters or do not factually establish the authenticity of 
other resources and do not offer or bind specific resources to the 
project.
    For example, a letter from another Federal agency or foundation 
pledging a commitment of $200,000 in construction funding to complement 
proposed ANA funded pre-construction activity is evidence of a firm 
funding commitment. These resources may be human, natural or financial, 
and may include other Federal and non-Federal resources. Statements 
that additional funding will be sought from other specific sources are 
not considered a binding commitment of outside resources and therefore 
carry less significance.
    Non-ANA resources should be leveraged to strengthen and broaden the 
impact of the proposed project in the community. Project designs should 
explain how those parts of projects which ANA does not fund will be 
financed through other sources. For example, ANA does not fund 
construction. Applicants must show the relationship of non-ANA funded 
activities to those objectives and activities that are funded with ANA 
grant funds.
(2) Organizational Capabilities and Qualifications (10 Points)
    (a) The management and administrative structure of the applicant is 
explained. Evidence of the applicant's ability to manage a project of 
the proposed scope is demonstrated. The application clearly shows the 
successful management of projects of similar scope by the organization, 
and/or by the individuals designated to manage the project.
    (b) Position descriptions and/or resumes of key personnel, 
including those of consultants, are presented. The position 
descriptions and/or resumes relate specifically to the staff proposed 
in the Objective Work Plan and in the proposed budget. Position 
descriptions very clearly describe each position and its duties and 
clearly relate to the personnel staffing required to achieve the 
project objectives. Resumes and/or proposed position descriptions 
demonstrate that the proposed staff are or will be qualified to carry 
out the project activities. Either the position descriptions or the 
resumes contain the qualifications and/or specialized skills necessary 
for overall quality management of the project. Resumes must be included 
if individuals have been identified for positions in the application.

    Note: Applicants are strongly encouraged to give preference to 
Native Americans in hiring staff and subcontracting services under 
an approved ANA grant.

(3) Project Objectives, Approach and Activities (45 Points)
    The application proposes specific project Objective Work Plan(s) 
with activities related to each specific objective.
    The Objective Work Plan(s) in the application includes project 
objectives and activities for each budget period

[[Page 34212]]

proposed and demonstrates that each of the objectives and its 
activities:
    <bullet> Is measurable and/or quantifiable in terms of results or 
outcomes;
    <bullet> Supports the community's social and economic development 
strategy;
    <bullet> Clearly relates to the community's long-range goals;
    <bullet> Can be accomplished with the available or expected 
resources during the proposed project period;
    <bullet> Indicates when the objective, and major activities under 
each objective, will be accomplished;
    <bullet> Specifies who will conduct the activities under each 
objective; and
    <bullet> Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the 
project period.
(4) Results or Benefits Expected (20 Points)
    Completion of the proposed objectives will result in specific, 
measurable results. The application shows how the expected results will 
help the community meet its long-range goals. The specific information 
provided in the narrative and objective work plans on expected results 
or benefits for each objective is the standard upon which its 
achievement can be evaluated at the end of each budget year.
(5) Budget (10 Points)
    A detailed and fully explained budget is provided for each budget 
period requested which:
    <bullet> Justifies each line item, with a well-written 
justification, in the budget categories in Section B of the Budget 
Information of the application, including the applicant's non-Federal 
share and its source. Applicants from American Samoa, Guam, and the 
Northern Mariana Islands are not required to provide a 20% match for 
the non-Federal share since the level of funding available for the 
planned ANA grants would not invoke a required match for grants to 
these insular areas. Therefore, applicants from these insular areas may 
not have points reduced for the lack of matching funds. They are, 
however, expected to coordinate and organize the delivery of any non-
ANA resources they propose for the project, as are all ANA applicants.
    <bullet> Includes and justifies sufficient cost and other necessary 
details to facilitate the determination of allowable costs and the 
relevance of these costs to the proposed project; and
    <bullet> Requests funds which are appropriate and necessary for the 
scope of the proposed project.
    <bullet> Includes sufficient funds for principal representatives, 
for example; the chief financial officer or project director, from the 
applicant organization to travel to one post-award grant training and 
technical assistance conference. This expenditure is mandatory for new 
grant recipients and optional for grantees that have had ANA grants in 
the past. This travel and training should occur as soon as practical.
    <bullet> For business development projects, the proposal 
demonstrates that the expected return on the funds used to develop the 
project provides a reasonable operating income and return within a 
future specified time frame.
    <bullet> Where implemented, includes an employee fringe benefit 
budget that provides grant-funded employees with a retirement plan in 
addition to Social Security. The applicant is strongly encouraged to 
provide a retirement plan fringe benefit for grant-funded employees' 
salaries up to five (5) percent. Grantees selecting the retirement 
benefit option will have these costs funded by ANA above and beyond the 
applicants project funding level.
    <bullet> ANA supports a retirement plan as a necessary, reasonable 
and allowable cost in accordance with OMB rules. Minimum recommended 
standards for an acceptable retirement fringe benefit plan are:
    <bullet> The plan exists for the exclusive benefit of the 
participants; funds are to be used for retirement and certain other 
pre-retirement needs, not for the organization's needs.
    <bullet> The plan must have a vesting schedule that does not exceed 
the initial budget period of the ANA grant.
    <bullet> An alternate proposal may be submitted for review and 
approval during grant award negotiations. Alternate proposals may 
include the use of Individual Retirement Accounts, Money Purchase 
Pension Plans, Defined Benefit Pension Plans, Combination Plans, etc.

G. Application Due Date(s)

    The closing dates for submission of applications under this 
Competitive Area 1 are: October 26, 2001, February 28, 2002 and May 17, 
2002.

H. Contact Information

    Contact the ANA Applicant Help Desk toll free at 1-877-922-9262 for 
assistance.

Competitive Area 2: Alaska-Specific Social and Economic Development 
Strategies (SEDS) Projects

A. Purpose and Availability of Funds

    This competitive area funds Alaska Native social and economic 
development projects. Approximately $2.0 million amounts of financial 
assistance is anticipated to be available for Alaska Native governance, 
social and economic development projects.
    ANA plans to award approximately 10-15 grants under this 
competitive area. For individual village projects, the funding level 
for a budget period of 12 months will be up to $125,000; for regional 
nonprofit and village consortia, the funding level for a budget period 
of 12 months will be up to $175,000, commensurate with approved multi-
village objectives.

B. Background

    Based on the three ANA goals described in Part I, ANA implemented a 
special Alaska social and economic development initiative in fiscal 
year 1984. This special effort was designed to provide financial 
assistance at the village level or for village-specific projects aimed 
at improving a village's governance capabilities and for social and 
economic development.
    This competitive area continues to implement this special 
initiative. ANA believes both the nonprofit and for-profit corporations 
in Alaska can play an important supportive role in assisting individual 
villages to develop and implement their own locally determined 
strategies which capitalize on opportunities afforded to Alaska Natives 
under the Alaska Native Claims Settlement Act (ANCSA), Public Law 92-
203.
    While the Administration for Native Americans does not fund 
objectives or activities for the core administration of an 
organization. ANA will consider funding core administrative capacity 
building projects at the village government level if the village does 
not have governing systems in place.

C. Proposed Projects To Be Funded

    Examples of the types of projects that ANA may fund include, but 
are not limited to, projects that will:
Governance
    <bullet> Initiate demonstration programs at the regional level to 
allow Native people to become involved in developing strategies to 
maintain and develop their economic subsistence base;
    <bullet> Assist villages in developing land use capabilities and 
skills in the areas of land and natural resource management and 
protection, resource assessment and conducting environmental impact 
studies;
    <bullet> Assist village consortia in the development of tribal 
constitutions, ordinances, codes and tribal court systems;

[[Page 34213]]

    <bullet> Develop agreements between the State and villages that 
transfer programs jurisdictions, and/or control to Native entities;
    <bullet> Strengthen village government control of land management, 
including land protection, through coordination of land use planning 
with village corporations and cities, if appropriate;
    <bullet> Assist in status clarification activities;
    <bullet> Initiate village level mergers between village councils, 
village corporations and others to coordinate programs and services 
which safeguard the health, well being and culture of a community and 
its people;
    <bullet> Strengthen local governance capabilities through the 
development of village consortia and regional IRAs (Indian 
Reorganization Act councils organized under the Indian Reorganization 
Act, 25 U.S.C. 473a);
    <bullet> Assist villages in preparing and coordinating plans for 
the development and/or improvement of water and sewer systems within 
the village boundaries;
    <bullet> Assist villages in establishing initiatives through which 
youth may participate in the governance of the community and be trained 
to assume leadership roles in village governments; and
    <bullet> Consider strategies and plans to protect against, monitor, 
and assist when catastrophic events occur, such as oil spills or 
earthquakes.
Economic Development
    <bullet> Assist villages in developing businesses and industries 
which: (1) Use local materials; (2) create jobs for Alaska Natives; (3) 
are capable of high productivity at a small scale of operation; and (4) 
complement traditional and necessary seasonal activities;
    <bullet> Substantially increase and strengthen efforts to establish 
and improve the village and regional business infrastructure and the 
capabilities to develop and manage resources in a highly competitive 
cash-economy system;
    <bullet> Assist villages, or consortia of villages, in developing 
subsistence compatible industries that will retain local dollars in 
villages;
    <bullet> Assist in the establishment or expansion of native-
businesses; and
    <bullet> Assist villages in labor export; i.e., people leaving the 
local communities for seasonal work and returning to their communities.
Social Development
    <bullet> Assist in developing training and education programs for 
local jobs in education, government, and health-related fields; and 
work with these agencies to encourage job replacement of non-Natives by 
trained Natives;
    <bullet> Develop local models related to comprehensive planning and 
delivery of social services;
    <bullet> Develop new service programs, initially established with 
ANA funds, which will be funded by local communities or the private 
sector for continued operation after the ANA grant expires.
    <bullet> Develop or coordinate with State-funded projects, 
activities designed to decrease the incidence of child abuse and 
neglect, fetal alcohol syndrome, and/or suicides;
    <bullet> Assist in obtaining licenses to provide housing or related 
services from State or local governments; and
    <bullet> Develop businesses to provide relief for caretakers 
needing respite from human service-related care work.

D. Eligible Applicants

    The following organizations are eligible to apply under this 
competitive area:
    <bullet> Federally recognized Indian Tribes in Alaska;
    <bullet> Alaska Native villages as defined in the Alaska Native 
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
    <bullet> Incorporated nonprofit Alaska Native multi-purpose 
community-based organizations;
    <bullet> Nonprofit Alaska Native Regional Corporations/Associations 
in Alaska with village specific projects; and
    <bullet> Nonprofit Native organizations in Alaska with village 
specific projects.
    Further information on eligibility requirements is presented in 
Part I, ANA Policy and Goals. Some important policies found in Part I 
are highlighted as follows:
    Current ANA SEDS grantees in Alaska whose project period ends on or 
before September 30, 2002 are eligible to apply for a grant award under 
this program announcement. The Project Period is noted in Block 9 of 
the Financial Assistance Award document. Applicants for new grants may 
not have a pending request to extend their existing grant beyond 
September 30, 2002.
    Any non-profit organization submitting an application must submit 
proof of its non-profit status in the application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax exempt organizations described in section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, or by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.
    If the applicant, other than a tribe or an Alaska Native Village 
government, is proposing a project benefiting Native Americans or 
Alaska Natives, or both, it must provide assurance that its duly 
elected or appointed board of directors is representative of the 
community, to be served. To establish compliance with the requirement 
in the regulations for a Board representative of the community 
applicants should provide information establishing that at least ninety 
(90) percent of the individuals serving on a non-profit applicant's 
board fall into one or more of the following categories: (1) A current 
or past member of the community to be served; (2) a prospective 
participant or beneficiary of the project to be funded; or (3) have a 
cultural relationship with the community to be served. A list of board 
members with this information including Tribal or Village affiliation, 
is one of the most suitable approaches for demonstrating compliance 
with this requirement.
    Under each competitive area, ANA will only accept one application 
which serves or impacts a reservation, Tribe, or Native American 
community except that a tribally controlled college or university (TCU) 
may apply in addition to the Tribe. If a federally recognized Tribe or 
Alaska Native village chooses not to apply, it may support another 
applicant's project (e.g., a tribal organization) which serves or 
impacts their reservation. In this case, the applicant must include a 
Tribal resolution, which clearly demonstrates the Tribe's approval of 
the project and the Tribe's understanding that, the other applicant's 
project supplants the Tribe's authority to submit an application under 
that specific competitive area both for the current competition and for 
the duration of the approved grant period.
    Although for-profit regional corporations established under ANCSA 
are not eligible applicants, individual villages and Indian communities 
are encouraged to use for-profit regional corporations as 
subcontractors and to collaborate with them in joint-venture projects 
for promoting social and economic self-sufficiency. ANA encourages the 
for-profit corporations to assist the villages in developing 
applications and to participate as subcontractors in a project.

[[Page 34214]]

E. Grantee Share of the Project

    Grantees must provide at least 20 percent of the total approved 
cost of the project; i.e. the sum of the Federal share and the non-
Federal share. Further information on this requirement is presented in 
Part I, ANA Policy and Goals.

F. Review Criteria

    A proposed project should reflect the purposes of ANA's SEDS policy 
and goals (described in the Background section of this competitive area 
and in the Background section of Competitive Area 1), include a social 
and economic development strategy which reflects the needs and specific 
circumstances of the local community, and address the specific 
developmental steps that the tribe or Native American community is 
undertaking toward self-sufficiency.
    The evaluation criteria are closely related to each other and are 
considered as a whole in judging the overall quality of an application. 
Points are awarded only to applications, which are responsive to this 
competitive area and these criteria. Proposed projects will be reviewed 
on a competitive basis using the following evaluation criteria:
(1) Long-Range Goals and Available Resources (15 Points)
    (a) The application describes the long-range goals and strategy, 
including:
    <bullet> How specific social, governance and economic long-range 
community goals relate to the proposed project and strategy;
    <bullet> How the community intends to achieve these goals;
    <bullet> The relationship between the long-range goals and the 
applicant's comprehensive community social and economic development 
plan. (Inclusion of the community's entire development plan is not 
necessary); and
    <bullet> A clearly delineated social and economic development 
strategy (SEDS).
    The application identifies and documents pre-existing and planned 
involvement and support of the community in the planning process and 
implementation of the proposed project except in those communities such 
as Hawaii and the Pacific Islands where systems of governance make such 
strategies inappropriate. The type of community you serve and nature of 
the proposal being made, will influence the type of documentation 
necessary. For example, a Tribe may choose to address this requirement 
by submitting a resolution stating that community involvement has 
occurred in the project planning or may determine that additional 
community support work is necessary.
    A tribal organization may submit resolutions supporting the project 
proposal from each of its members tribes, as well as a resolution from 
the applicant organization. Other examples of documentation include: 
community surveys; minutes of community meetings; questionnaires; 
tribal presentations; and/or discussion/position papers.
    Applications from National Indian and Native organizations must 
clearly demonstrate a need for the project, explain how the project was 
originated, state who the intended beneficiaries will be, and describe 
how the recipients will actually benefit from the project. National 
Indian and Native organizations should describe their membership and 
define how the organization operates.
    (b) Available resources (other than ANA and the non-Federal share) 
which will assist, and be coordinated with the project are described. 
Letters of commitment of should document these resources, not merely 
letters of support. Letters of commitment are binding when they 
specifically state the nature, the amount, and conditions under which 
another agency or organization will support a project funded with ANA 
funds. Letters of support merely express another organization's 
endorsement of a proposed project. Support letters are not binding 
commitment letters or do not factually establish the authenticity of 
other resources and do not offer or bind specific resources to the 
project.
    For example, a letter from another Federal agency or foundation 
pledging a commitment of $200,000 in construction funding to complement 
proposed ANA funded pre-construction activity is evidence of a firm 
funding commitment. These resources may be human, natural or financial, 
and may include other Federal and non-Federal resources. (Applicant 
statements that additional funding will be sought from other specific 
sources are not considered a binding commitment of outside resources.)
    Non-ANA resources should be leveraged to strengthen and broaden the 
impact of the proposed project in the community. Project designs should 
explain how those parts of projects which ANA does not fund will be 
financed through other sources. For example, ANA does not fund 
construction. Applicants must show the relationship of non-ANA funded 
activities to those objectives and activities that are funded with ANA 
grant funds.
(2) Organizational Capabilities and Qualifications (10 Points)
    (a) The management and administrative structure of the applicant is 
explained. Evidence of the applicant's ability to manage a project of 
the proposed scope is demonstrated. The application clearly shows the 
successful management of projects of similar scope by the organization, 
and/or by the individuals designated to manage the project.
    (b) Position descriptions and/or resumes of key personnel, 
including those of consultants, are presented. The position 
descriptions and/or resumes relate specifically to the staff proposed 
in the Approach Page and in the proposed Budget of the application. 
Position descriptions very clearly describe each position and its 
duties and clearly relate to the personnel staffing required to achieve 
the project objectives. Resumes demonstrate that the proposed staff are 
qualified to carry out the project activities. Either the position 
descriptions or the resumes contain the qualifications and/or 
specialized skills necessary for overall quality management of the 
project. Resumes must be included if individuals have been identified 
for positions in the application.

    Note: Applicants are strongly encouraged to give preference to 
Native Americans in hiring staff and subcontracting services under 
an approved ANA grant.

(3) Project Objectives, Approach and Activities (45 Points)
    The application proposes specific project objective work plans with 
activities related to each specific objective. The objective work 
plan(s) in the application includes project objectives and activities 
for each budget period proposed and demonstrates that each of the 
objectives and its activities:
    <bullet> Is measurable and/or quantifiable in terms of results or 
outcomes;
    <bullet> Supports the community's social and economic development 
strategy;
    <bullet> Clearly relates to the community's long-range goals;
    <bullet> Can be accomplished with the available or expected 
resources during the proposed project period;
    <bullet> Indicates when the objective, and major activities under 
each objective, will be accomplished;
    <bullet> Specifies who will conduct the activities under each 
objective; and
    <bullet> Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the 
project period.

[[Page 34215]]

(4) Results or Benefits Expected (20 Points)
    Completion of the proposed objectives will result in specific, 
measurable results. The application shows how the expected results will 
help the community meet its long-range goals. The specific information 
provided in the narrative and objective work plans on expected results 
or benefits for each objective is the standard upon which its 
achievement can be evaluated at the end of each budget year.
(5) Budget (10 Points)
    A detailed and fully explained budget is provided for each budget 
period requested which:
    <bullet> Justifies each line item, with a well-written 
justification, in the budget categories in Section B of the Budget 
Information of the application, including the applicant's non-Federal 
share and its source. All applicants are expected to coordinate and 
organize any non-ANA resources they propose for the project, as are all 
ANA applicants.
    <bullet> Includes and justifies sufficient cost and other necessary 
details to facilitate the determination of allowable costs and the 
relevance of these costs to the proposed project; and
    <bullet> Requests funds, which are appropriate and necessary for 
the scope of the proposed project.
    <bullet> Includes sufficient funds for principal representatives 
from the applicant organization to travel to one post-award grant 
training and technical assistance conference. This travel and training 
should occur as soon as practical.
    <bullet> For business development projects, the proposal 
demonstrates that the expected return on the funds used to develop the 
project provides a reasonable operating income and return within a 
future specified time frame.
    <bullet> Where implemented, includes an employee fringe benefit 
budget that provides grant-funded employees with a retirement plan in 
addition to Social Security. The applicant is strongly encouraged to 
provide a retirement plan fringe benefit up to five (5) percent of 
grant-funded employees' salaries. ANA will solely fund these costs 
above and beyond the applicant project funding level. ANA supports a 
retirement plan as a necessary, reasonable and allowable cost in 
accordance with OMB rules. Minimum standards for an acceptable 
retirement fringe benefit plan are:
    <bullet> The plan exists for the exclusive benefit of the 
participants; funds are to be used for retirement and certain other 
pre-retirement needs, not for the organization's needs.
    <bullet> The plan must have a vesting schedule that does not exceed 
the initial budget period of the ANA grant.
    <bullet> An alternate proposal may be submitted for review and 
approval during grant award negotiations. Alternate proposals may 
include the use of Individual Retirement Accounts, Money Purchase 
Pension Plans, Defined Benefit Pension Plans, Combination Plans, etc.

G. Application Due Date

    The closing date for submission of applications under this 
competitive area is: May 10, 2002. Applicants are reminded that for 
this May closing, applications for SEDS grants from Alaska Native 
entities may be submitted under either Competitive Area 1 or 
Competitive Area 2, but not both.

H. Contact Information

    Contact the ANA Applicant Help Desk toll free at 1-877-922-9262 for 
assistance.

Competitive Area 3: Indian Environmental Regulatory Enhancement 
Projects

A. Purpose and Availability of Funds

    This competitive area funds environmental regulatory enhancement 
projects. Approximately $3 million of financial assistance is 
anticipated to be available for environmental regulatory enhancement 
projects. ANA expects to award approximately 35 grants under this 
competitive area. The funding level for a budget period of 12 months 
will be up to $250,000. An applicant may propose project periods of 
between 12 and 36 months.

B. Background

    Despite an increasing environmental responsibility and growing 
awareness of environmental issues on Indian lands, there has been a 
lack of resources available to tribes to develop tribal environmental 
programs that are responsive to tribal needs. In many cases, this lack 
of resources has resulted in a delay in action on the part of the 
tribes.
    Some of the critical issues identified by tribes before 
congressional committees include:
    <bullet> The need for assistance to train professional staff to 
monitor and enforce tribal environmental programs;
    <bullet> The lack of adequate data for tribes to develop 
environmental statutes and establish environmental quality standards; 
and
    <bullet> The lack of resources to conduct studies to identify 
sources of pollution and the ability to determine the impact on 
existing environmental quality. As a result, Congress enacted the 
Indian Environmental Regulatory Enhancement Act of 1990 (Pub. L. 101-
408) to strengthen tribal governments through building capacity within 
the tribes in order to identify, plan, develop, and implement 
environmental programs in a manner that is consistent with tribal 
culture. ANA is to support these activities on a government-to-
government basis in a way that recognizes tribal sovereignty and is 
consistent with tribal culture.
    The Administration for Native Americans believes that 
responsibility for achieving environmental regulatory enhancement rests 
with the governing bodies of Indian tribes, Alaska Native villages, and 
with the leadership of Native American groups. Environmental regulatory 
enhancement includes (but is not limited to) the planning, development, 
and application of laws, training, monitoring, and enforcement 
procedures, tribal courts, environmental laboratories and other 
facilities, and associated regulatory activities to strengthen the 
tribal government's capacity to enhance the quality of reservation life 
as measured by the reduction of pollutants in the air, water, soil, 
food and materials encountered by inhabitants of tribes and villages.
    Progress toward the goal of environmental regulatory enhancement 
would include the strengthening of tribal environmental laws, providing 
for the training and education of those employees responsible for 
ensuring compliance with and enforcement of these laws, and the 
development of programs to conduct compliance and enforcement 
functions.
    Other functions leading toward enhancing local regulatory capacity 
include, but are not limited to:
    <bullet> Environmental assessments;
    <bullet> Development and use of environmental laboratories; and
    <bullet> Developments of court systems for enforcement of tribal 
and Federal environmental laws.
    Ultimate success in this program will be realized when the 
applicant's desired level of environmental quality is acquired and 
maintained.

C. Proposed Projects To Be Funded

    Financial assistance provided by ANA is available for developmental 
projects designed to assist tribes in advancing their capacity and 
capability to plan for and:
    <bullet> Develop or enhance the tribal environmental regulatory 
infrastructure required to support a tribal environmental program, and 
to regulate and enforce environmental activities on

[[Page 34216]]

Indian lands pursuant to Federal and Indian law;
    <bullet> Develop regulations, ordinances and laws to protect the 
environment;
    <bullet> Develop the technical and program capacity to carry out a 
comprehensive tribal environmental program and perform essential 
environmental program functions;
    <bullet> Promote environmental training and education of tribal 
employees;
    <bullet> Develop technical and program capability to meet tribal 
and Federal regulatory requirements;
    <bullet> Develop technical and program capability to monitor 
compliance and enforcement of tribal environmental regulations, 
ordinances, and laws; and
    <bullet> Ensure that tribal court system enforcement requirements 
are developed in concert with and support the tribe's comprehensive 
environmental program.

D. Eligible Applicants

    The following organizations are eligible to apply under this 
competitive area:
    <bullet> Federally recognized Indian tribes;
    <bullet> Incorporated non-federally and State recognized Indian 
tribes;
    <bullet> Alaska Native villages as defined in the Alaska Native 
Claims Settlement Act (ANCSA) and/or nonprofit village consortia;
    <bullet> Nonprofit Alaska Native Regional Corporations/Associations 
with village specific projects; and
    <bullet> Other tribal or village organizations or consortia of 
Indian tribes.
    <bullet> Tribal governing bodies (IRA or traditional councils) as 
recognized by the Bureau of Indian Affairs.
    The following organizations are not eligible to apply based on the 
determination that they do not own or manage resources for which 
environmental regulatory projects are directed and therefore are not 
empowered to perform such projects:
    <bullet> Urban Indian Centers;
    <bullet> Incorporated nonprofit multi-purpose community-based 
Indian organizations;
    <bullet> Public and nonprofit private agencies serving: Native 
Hawaiians, peoples from Guam, American Samoa, the Commonwealth of 
Northern Mariana Islands, and the Republic of Palau;
    <bullet> Incorporated nonprofit Alaska Native multi-purpose 
community based organizations; and
    <bullet> National or regional incorporated nonprofit Native 
American organizations with Native American community-specific 
objectives.
    Further information on eligibility requirements is presented in 
Part I, ANA Policy and Goals. Some important policies found in Part I 
are highlighted as follows:
    Current ANA Indian Environmental Regulatory Enhancement project 
grantees whose grant project period ends on or before September 30, 
2002 are eligible to apply for a grant award under this program 
announcement. The Project Period is noted in Block 9 of the ``Financial 
Assistance Award'' document. Applicants for new grants may not have a 
pending request to extend their existing grant beyond September 30, 
2001.
    Any non-profit organization submitting an application must submit 
proof of its non-profit status in the application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax exempt organizations described in section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, or by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.
    If the applicant, other than a tribe or an Alaska Native Village 
government, is proposing a project benefiting Native Americans or 
Native Alaskans, or both, it must provide assurance that its duly 
elected or appointed board of directors is representative of the 
community, to be served. To establish compliance with the requirement 
in the regulations for a Board representative of the community 
applicants should provide information establishing that at least ninety 
(90) percent of the individuals serving on a non-profit applicant's 
board fall into one or more of the following categories: (1) A current 
or past member of the community to be served; (2) a prospective 
participant or beneficiary of the project to be funded; or (3) have a 
cultural relationship with the community to be served. A list of board 
members with this information including Tribal or Village affiliation, 
is one of the most suitable approaches for demonstrating compliance 
with this requirement.
    Under each competitive area, ANA will only accept one application, 
which serves or impacts a reservation, Tribe, or Native American 
community. If a federally recognized Tribe or Alaska Native village 
chooses not to apply, it may support another applicant's project (e.g., 
a tribal organization) which serves or impacts their reservation. In 
this case, the applicant must include a Tribal resolution which clearly 
demonstrates the Tribe's approval of the project and the Tribe's 
understanding that the other applicant's project supplants the Tribe's 
authority to submit an application under that specific competitive area 
both for the current competition and for the duration of the approved 
grant period.

E. Grantee Share of the Project

    Grantees must provide at least 20 percent of the total approved 
cost of the project; i.e. the sum of the Federal share and the non-
Federal share. Further information on this requirement is presented in 
Part I, ANA Policy and Goals.

F. Review Criteria

    A proposed project should reflect the environmental regulatory 
purposes stated and described in the Background section of this 
competitive area. The evaluation criteria are closely related to each 
other and are considered as a whole in judging the overall quality of 
an application. Points are awarded only to applications, which are 
responsive to this competitive area and these criteria. Proposed 
projects will be reviewed on a competitive basis using the following 
evaluation criteria:
(1) Long-Range Goals and Available Resources (15 Points)
    (a) The application describes the long-range goals and strategy, 
including:
    <bullet> How specific environmental regulatory enhancement long-
range goal(s) relate to the proposed project and strategy;
    <bullet> How the community intends to achieve these goals;
    <bullet> The applicant's specific environmental regulatory needs; 
and
    <bullet> A clearly delineated strategy to improve the capability of 
the governing body of a tribe to regulate environmental quality through 
enhancing local capacity to perform necessary regulatory functions.
    The application identifies and documents pre-existing and planned 
involvement and support of the community in the planning process and 
implementation of the proposed project. The type of community you serve 
and nature of the proposal being made, will influence the type of 
documentation necessary. For example, a Tribe may choose to address 
this requirement by submitting a resolution stating that community 
involvement has occurred in the project planning or may determine that 
additional community support work is necessary.
    Similarly, a tribal organization may submit resolutions supporting 
the project proposal from each of its member tribes, as well as a 
resolution from the applicant organization. Other

[[Page 34217]]

examples of documentation include: community surveys; minutes of 
community meetings; questionnaires; tribal presentations; and/or 
discussion/position papers.
    (b) Available resources (other than ANA and the non-Federal share) 
which will assist, and be coordinated with the project are described.
    Letters of commitment of should document these resources, not 
merely letters of support. Letters of commitment are binding when they 
specifically state the nature, the amount, and conditions under which 
another agency or organization will support a project funded with ANA 
funds. Letters of support merely express another organization's 
endorsement of a proposed project. Support letters are not binding 
commitment letters or do not factually establish the authenticity of 
other resources and do not offer or bind specific resources to the 
project.
    For example, a letter from another Federal agency or foundation 
pledging a commitment of $200,000 in construction funding to complement 
proposed ANA funded pre-construction activity is evidence of a firm 
funding commitment. These resources may be human, natural or financial, 
and may include other Federal and non-Federal resources. (Applicant 
statements that additional funding will be sought from other specific 
sources are not considered a binding commitment of outside resources.)
    Non-ANA resources should be leveraged to strengthen and broaden the 
impact of the proposed project in the community. Project designs should 
explain how those parts of projects which ANA does not fund will be 
financed through other sources. For example, ANA does not fund 
construction. Applicants must show the relationship of non-ANA funded 
activities to those objectives and activities that are funded with ANA 
grant funds.
(2) Organizational Capabilities and Qualifications (15 Points)
    (a) The management and administrative structure of the applicant is 
described and explained. Evidence of the applicant's ability to manage 
a project of the scope proposed is well documented. The application 
clearly shows the successful management of projects of similar scope by 
the organization, and/or by the individuals designated to manage or 
consult on the project. The tribe itself may not have experience to 
meet this requirement but the proposed staff and consultants should 
have the required qualifications and experience. The application should 
clearly describe any previous or current activities of the applicant 
organization or proposed staff and/or consultants in support of 
environmental regulatory enhancement.
    (b) Position descriptions and/or resumes of key personnel, 
including those of consultants, are presented. The position 
descriptions and/or resumes relate specifically to the staff proposed 
in the Approach Page and in the proposed Budget of the application. 
Position descriptions very clearly describe each position and its 
duties and clearly relate to the personnel staffing required to achieve 
the project objectives. Resumes indicate that the proposed staff are 
qualified to carry out the project activities. Either the position 
descriptions or the resumes contain the qualifications and/or 
specialized skills necessary for overall quality management of the 
project. Resumes must be included if individuals have been identified 
for positions in the application.

    Note: Applicants are strongly encouraged to give preference to 
Native Americans in hiring staff and subcontracting services under 
an approved ANA grant.

(3) Project Objectives, Approach and Activities (40 Points)
    The application proposes specific project objective work plans with 
activities that are related to each specific objective. The objective 
work plan(s) in the application includes project objectives and 
activities for each budget period proposed and demonstrates that each 
of the objectives and its activities:
    <bullet> Is measurable and/or quantifiable in terms of results or 
outcomes;
    <bullet> Supports the community's strategy for environmental 
regulatory enhancement;
    <bullet> Clearly relates to the community's long-range 
environmental goals;
    <bullet> Can be accomplished with the available or expected 
resources during the proposed project period;
    <bullet> Indicates when the objective, and major activities under 
each objective, will be accomplished;
    <bullet> Specifies who will conduct the activities under each 
objective; and
    <bullet> Supports a project that will be completed, self-
sustaining, or financed by other than ANA funds at the end of the 
project period.
(4) Results or Benefits Expected (20 points)
    Completion of the proposed objectives will result in specific, 
measurable results. The application shows how the expected results will 
help the community meet its long-range environmental goals. The 
specific information provided in the narrative and objective work plans 
on expected results or benefits for each objective is the standard upon 
which its achievement can be evaluated at the end of each budget year.
(5) Budget (10 points)
    A detailed and fully explained budget is provided for each budget 
period requested which:
    <bullet> Justifies each line item, with a well-written 
justification, in the budget categories in Section B of the Budget 
Information of the application, including the applicant's non-Federal 
share and its source. All applicants are expected to coordinate and 
organize the delivery of any non-ANA resources they propose for the 
project, as are all ANA applicants.
    <bullet> Includes and justifies sufficient cost and other necessary 
details to facilitate the determination of allowable costs and the 
relevance of these costs to the proposed project; and
    <bullet> Requests funds, which are appropriate and necessary for 
the scope of the proposed project.
    <bullet> Includes sufficient funds for principal representatives 
from the applicant organization to travel to one post-award grant 
training and technical assistance conference. This travel and training 
should occur as soon as practical.
    <bullet> For business development projects, the proposal 
demonstrates that the expected return on the funds used to develop the 
project provides a reasonable operating income and return within a 
future specified time frame.
    <bullet> Where implemented, includes an employee fringe benefit 
budget that provides grant-funded employees with a retirement plan in 
addition to Social Security. The applicant is strongly encouraged to 
provide a retirement plan fringe benefit of up to five (5) percent of 
grant funded employees-salaries. ANA will solely fund these costs above 
and beyond the applicant project funding level. ANA supports a 
retirement plan as a necessary, reasonable and allowable cost in 
accordance with OMB rules. Minimum standards for an acceptable 
retirement fringe benefit plan are:
    <bullet> The plan exists for the exclusive benefit of the 
participants; funds are to be used for retirement and certain other 
pre-retirement needs, not for the organization's needs.
    <bullet> The plan must have a vesting schedule that does not exceed 
the initial budget period of the ANA grant.
    <bullet> An alternate proposal may be submitted for review and 
approval during grant award negotiations.

[[Page 34218]]

Alternate proposals may include the use of Individual Retirement 
Accounts, Money Purchase Pension Plans, Defined Benefit Pension Plans, 
Combination Plans, etc.

G. Application Due Date

    The closing date for submission of applications under this 
competitive area is March 22, 2002.

H. Contact Information

    Contact the ANA Applicant Help Desk at 202-690-7776 for assistance.

Part III--General Application Information and Guidance

A. Definitions

    Funding areas in this program announcement are based on the 
following definitions:
    A multi-purpose community-based Native American organization is an 
association and/or corporation whose charter specifies that the 
community designates the Board of Directors and/or officers of the 
organization through an elective procedure and that the organization 
functions in several different areas of concern to the members of the 
local Native American community. These areas are specified in the by-
laws and/or policies adopted by the organization. They may include, but 
need not be limited to, economic, artistic, cultural, and recreational 
activities, and the delivery of human services such as health care, day 
care, counseling, education, and training.
    <bullet> A multi-year project is a project on a single theme that 
requires more than 12 months to complete and affords the applicant an 
opportunity to develop and address more complex and in-depth strategies 
than can be completed in one year. A multi-year project cannot be a 
series of unrelated objectives with activities presented in 
chronological order over a two or three year period.
    <bullet> Budget Period is the interval of time (usually 12 months) 
into which the project period is divided for budgetary and funding 
purposes.
    <bullet> Core administration is funding for staff salaries for 
those functions which support the organization as a whole, or for 
purposes unrelated to the actual management or implementation of work 
conducted under an ANA approved project.
    <bullet> Environmental regulatory enhancement includes (but is not 
limited to) the planning, development, and application of laws, 
training, monitoring, and enforcement procedures, tribal courts, 
environmental laboratories and other facilities, and associated 
regulatory activities to strengthen the tribal government's capacity to 
enhance the quality of reservation life as measured by the reduction of 
pollutants in the air, water, soil, food and materials encountered by 
inhabitants of tribes and villages.
    <bullet> Real Property means land, including land improvements, 
structures and appurtenances thereto, excluding movable machinery and 
equipment.
    <bullet> Construction is the term, which specifies a project 
supported through a discretionary grant or a cooperative agreement, to 
support the initial building of a facility.
    <bullet> Core administration is funding for staff salaries for 
those functions which support the organization as a whole, or for 
purposes unrelated to the actual management or implementation of work 
conducted under an ANA approved project. Under Competitive Area 2, ANA 
will consider funding core administrative capacity building projects at 
the village government level if the village does not have governing 
systems in place. However, functions and activities that are clearly 
project related are eligible for grant funding. For example, the 
management and administrative functions necessary to carry out an ANA 
approved project are not considered core administration and are, 
therefore, eligible costs. Additionally, ANA will fund the salaries of 
approved staff for time actually and reasonably spent to implement a 
funded ANA project.

B. Activities That Cannot Be Funded

    The Administration for Native Americans does not fund:
    <bullet> Projects that operate indefinitely or require ANA funding 
on a recurring basis.
    <bullet> Projects in which a grantee would provide training and/or 
technical assistance (T/TA) to other tribes or Native American 
organizations which are otherwise eligible to apply to ANA (third party 
T/TA). However, the purchase of T/TA by a grantee for its own use or 
for its members' use (as in the case of a consortium), where T/TA is 
necessary to carry out project objectives, is acceptable. In addition,
T/TA is an allowable activity for environmental regulatory enhancement 
projects submitted under Competitive Area 3.
    <bullet> The support of on-going social service delivery programs 
or the expansion, or continuation, of existing social service delivery 
programs.
    <bullet> ANA will not fund the purchase of real property.
    <bullet> ANA will not fund construction.
    <bullet> Objectives or activities for the support of core 
administration of an organization.
    <bullet> Costs of fund raising, including financial campaigns, 
endowment drives, solicitation of gifts and bequests, and similar 
expenses incurred solely to raise capital or obtain contributions are 
unallowable under a grant award. However, even though these costs are 
unallowable for purposes of computing charges to Federal awards, they 
must be treated as direct costs for purposes of determining indirect 
cost rates and be allocated their share of the organization's indirect 
costs if they represent activities which (1) include the salaries of 
personnel, (2) occupy space, and (3) benefit from the organization's 
indirect costs.
    Projects or activities that generally will not meet the purposes of 
this announcement are discussed further in Part III, Section G, General 
Guidance to Applicants, below.

C. Multi-Year Projects

    A multi-year project is a project on a single theme that requires 
more than 12 months to complete and affords the applicant an 
opportunity to develop and address more complex and in-depth strategies 
than can be completed in one year. Applicants are encouraged to develop 
multi-year projects. A multi-year project cannot be a series of 
unrelated objectives with activities presented in chronological order 
over a two or three year period.
    Awards, on a competitive basis, will be for a one-year budget 
period, although project periods may be for up to three years. 
Applications for continuation grants funded under these awards beyond 
the one-year budget period, but within a two-to-three year project 
period, will be entertained in subsequent years on a non-competitive 
basis, subject to the availability of funds, satisfactory progress of 
the grantee and determination that continued funding would be in the 
best interest of the Government. Therefore, this program announcement 
does not apply to current ANA grantees with multi-year projects that 
apply for continuation funding for their second or third year budget 
periods.

D. Intergovernmental Review of Federal Programs

    This program is not covered by Executive Order 12372 or 45 CFR part 
100.

E. The Application Process

1. Application Submission by Mail
    One signed original, and two copies, of the grant application, 
including all

[[Page 34219]]

attachments, must be mailed on or before the specific closing date of 
each ANA competitive area to: U.S. Department of Health and Human 
Services, Administration for Children and Families, ACYF/Office of 
Grants Management, 370 L'Enfant Promenade, SW., Mail Stop HHH 326-F, 
Washington, DC 20447-0002, Attention: Lois B. Hodge, ANA No. 93612-
2002.
2. Application Submission by Courier
    Hand delivered applications are accepted between the hours of 8 
a.m. to 4:30 p.m., Monday through Friday, if they are either received 
on or before the deadline date or postmarked on or before the 
established closing date at: Administration for Children and Families, 
ACYF/Office of Grants Management, ACF Mail Room, Second Floor Loading 
Dock, Aerospace Center, 901 D Street, SW., Washington, DC 20024, 
Attention: Lois B. Hodge, ANA No. 93612-2002.
3. Application Consideration
    The ANA Commissioner determines the final action to be taken on 
each grant application received under this program announcement.
    All applicants should take the following points into consideration:
    <bullet> Incomplete applications and applications that do not 
conform to this announcement will not be accepted for review.
    <bullet> ANA will notify applicants in writing of any such 
determination.
    <bullet> An incomplete application is one that is:
    <bullet> Missing Form SF 424
    <bullet> Does not have a signature on Form SF 424
    <bullet> Does not include proof of non-profit status, if applicable
    <bullet> The application (Form 424) must be signed by an individual 
authorized (1) to act for the applicant tribe or organization, and (2) 
to assume the applicant's obligations under the terms and conditions of 
the grant award, including Native American Program statutory and 
regulatory requirements.
    <bullet> Complete applications that conform to all the requirements 
of this program announcement are subjected to a competitive review and 
evaluation process (discussed in section G below). Independent review 
panels consisting of reviewers familiar with American Indian Tribes and 
Native American communities and organizations, and environmental 
issues, as appropriate, evaluate each application using the published 
criteria in each funding competitive area. As a result of the review, a 
normalized numerical score will be assigned to each application. A 
normalized score reflects the average score from the reviewers, 
adjusted to reflect the average score from the panels.
    <bullet> The Commissioner's funding decision is based on the review 
panel's analysis of the application, recommendation and comments of ANA 
staff, State and Federal agencies having contract and grant performance 
related information, and other parties.
    <bullet> The Commissioner makes grant awards consistent with the 
purpose of the Act, all relevant statutory and regulatory requirements, 
this program announcement, and the availability of funds.
    <bullet> Successful applicants are notified through an official 
Financial Assistance Award (FAA) document. The FAA will state the 
amount of Federal funds awarded, the purpose of the grant, the terms 
and conditions of the grant award, the effective date of the award, the 
project period, the budget period, and the amount of the non-ACF 
matching share requirement.
    <bullet> Each tribe, Native American organization, or other 
eligible applicant may compete for a grant award in each of the three 
competitive areas. However, no applicant may receive more than one SEDS 
grant. The Administration for Native Americans will accept only one 
application per competitive area from any one applicant. Alaska Native 
entities may receive a grant under either competitive area 1 or 2, but 
not under both. Therefore, applications for SEDS grants from Alaska 
Native entities may be submitted under either Competitive Area 1 or 
Competitive Area 2, but not both at the same time.
    <bullet> If an eligible applicant sends in two applications for the 
same competitive area, the one with the earlier postmark will be 
accepted for review unless the applicant withdraws the earlier 
application.

F. The Review Process

1. Initial Application Review
    Applications submitted by the closing date and verified by the 
postmark under this program announcement will undergo a pre-review to 
determine that:
    <bullet> The applicant is eligible in accordance with the Eligible 
Applicants Section of this announcement; and
    <bullet> The application is signed and submitted by the deadline 
explained in section G, Application Due Date, in each competitive area 
of this announcement.
    <bullet> The application narrative, forms and materials submitted 
are adequate to allow the review panel to undertake an in depth 
evaluation and the project described is an allowable type. (All 
required materials and forms are listed in the Grant Application 
Checklist in the Application Kit).
    <bullet> Applications subjected to the pre-review described above 
which fail to satisfy one or more of the listed requirements will be 
ineligible or otherwise excluded from competitive evaluation.
2. Competitive Review of Accepted Applications
    Applications which pass the pre-review will be evaluated and rated 
by an independent review panel on the basis of the specific evaluation 
criteria listed in Part II. These criteria are used to evaluate the 
quality of a proposed project, and to determine the likelihood of its 
success.
    ANA staff cannot respond to requests for information regarding 
funding decisions prior to the official notification to the applicants.
    After the Commissioner has made decisions on all applications, 
unsuccessful applicants are notified in writing within 30 days. The 
notification will be accompanied by a critique including 
recommendations for improving the application.
3. Appeal of Ineligibility
    Applicants who are initially excluded from competitive evaluation 
because of ineligibility, may appeal an ANA decision of applicant 
ineligibility. Likewise, applicants may also appeal an ANA decision 
that an applicant's proposed activities are ineligible for funding 
consideration. The appeals process is stated in the final rule 
published in the Federal Register on August 19, 1996 (61 FR 42817).

G. General Guidance to Applicants

    The following information is provided to assist applicants in 
developing a competitive application.
1. Program Guidance
    <bullet> The Administration for Native Americans funds projects 
that demonstrate the strongest prospects for addressing the stated 
purposes of this program announcement.
    <bullet> Projects will not be ranked on the basis of general 
financial need.
    <bullet> In discussing the goals, strategy, and problems being 
addressed in the application, include sufficient background and/or 
history of the community concerning these issues and/or progress to 
date, as well as the size of the population to be served. This material 
will assist the reviewers in determining the appropriateness and 
potential benefits of the proposed project.

[[Page 34220]]

    <bullet> In the discussion of community-based, long-range goals, 
non-Federally recognized and off-reservation groups are encouraged to 
include a description of what constitutes their specific community. 
Applicants must document the community's support for the proposed 
project and explain the role of the community in the planning process 
and implementation of the proposed project. For tribes, a current 
signed resolution from the governing body of the tribe supporting the 
project proposal stating that there has been community involvement in 
the planning of this project will suffice as evidence of community 
support/involvement. For all other eligible applicants, the type of 
community you serve will determine the type of documentation necessary. 
For example, a tribal organization may submit resolutions supporting 
the project proposal from each of its member's tribes, as well as a 
resolution from the applicant organization. Other examples of 
documentation include: community surveys; minutes of community 
meetings; questionnaires; tribal presentations; and/or discussion/
position papers that make specific reference to the proposed project 
submitted for funding.
    <bullet> Applications from National Indian and Native American 
organizations must demonstrate a need for the project, explain how the 
project was originated, state who the intended beneficiaries will be, 
and describe how the recipients will actually benefit from the project.
    <bullet> An application should describe a clear relationship 
between the proposed project, the social and economic development 
strategy, or environmental or language goals, as appropriate, and the 
community's long-range goals or plan.
    <bullet> The project application, including the Objective Work 
Plans, must clearly identify in measurable terms the expected results, 
benefits or outcomes of the proposed project, and the positive or 
continuing impact that the project will have on the community.
    <bullet> Supporting documentation, including letters of support, if 
available, or other specific testimonies from concerned interests other 
than the applicant should be included to demonstrate support for the 
feasibility of the project and the commitment of other resources to the 
proposed project.
    <bullet> In the ANA Project Narrative, Section A of the application 
package, ``Resources Available to the Proposed Project,'' the applicant 
should describe any specific financial circumstances which may impact 
on the project, such as any monetary or land settlements made to the 
applicant, and any restrictions on the use of those settlements. When 
the applicant appears to have other resources to support the proposed 
project and chooses not to use them, the applicant should explain why 
it is seeking ANA funds and not utilizing these resources for the 
project.
    <bullet> Applicants proposing an Economic Development project 
should address the project's feasibility. A business plan describing 
the project's feasibility and approach for the implementation and 
marketing of the business is recommended. ANA has included sample 
business plans in the application kit. It is strongly recommended that 
an applicant use these materials as guides in developing a proposal for 
an economic development project or business that is part of the 
application.
    <bullet> Applications, which were not funded under a previous 
closing date and revised for resubmission, should make reference to the 
changes, or reasons for not making changes, in their current 
application.
2. Technical Guidance
    <bullet> It is strongly suggested that the applicant follow the 
Supplemental Guide included in the ANA application kit to develop an 
application. The Guide provides practical information and helpful 
suggestions, and is an aid to help applicants prepare ANA applications.
    <bullet> Applicants are encouraged to have someone other than the 
author apply the evaluation criteria in the program announcement and 
score the application prior to its submission, in order to gain a 
better sense of the application's quality and potential competitiveness 
in the ANA review process.
    <bullet> For purposes of developing an application, applicants 
should plan for a project start date approximately 120 days after the 
closing date under which the application is submitted.
    <bullet> The Administration for Native Americans will not fund 
essentially identical projects serving the same constituency.
    <bullet> If other Federal funding sources could support a project, 
the applicant should fully explain its reasons for not pursuing other 
Federal funds for the project.
    <bullet> For purposes of this announcement, ANA is using the Bureau 
of Indian Affairs' list of Federally recognized Indian tribes which 
includes nonprofit Alaska Native community entities or tribal governing 
bodies (IRA or traditional councils). Other Federally recognized Indian 
tribes, which are not included on this list (e.g., those Tribes that 
have been recently recognized or restored by the United States 
Congress), are also eligible to apply for ANA funds.
    <bullet> The Objective Work Plan proposed should be of sufficient 
detail to become monthly staffs guide for project responsibilities if 
the applicant is funded.
    <bullet> If a profit-making venture is being proposed, profits must 
be reinvested in the business in order to decrease or eliminate ANA's 
future participation. Such revenue must be reported as general program 
income. A decision will be made at the time of grant award regarding 
appropriate use of program income. (See 45 CFR part 74 and part 92.)
    <bullet> Applicants proposing multi-year projects must fully 
describe each year's project objectives and activities. Separate 
Objective Work Plans (OWPs) must be presented for each project year and 
a separate itemized budget of the Federal and non-Federal costs of the 
project for each budget period must be included.
    <bullet> Applicants for multi-year projects must justify the entire 
time-frame of the project (i.e., why the project needs funding for more 
than one year) and clearly describe the results to be achieved for each 
objective by the end of each budget period of the total project period.
    <bullet> The Administration for Native Americans will critically 
evaluate applications in which the acquisition of equipment is a major 
component of the Federal share of the budget. ``Equipment is 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. During 
negotiation, ANA may delete such expenditures from the budget of an 
otherwise approved application, if not fully justified by the applicant 
and deemed not appropriate to the needs of the project.
    <bullet> Applicants are encouraged to request a legibly dated 
receipt from a commercial carrier or U.S. Postal Service as proof of 
timely mailing.
3. Grant Administrative Guidance
    <bullet> The application's Form 424 must be signed by the 
applicant's representative authorized to act with full authority on 
behalf of the applicant.
    <bullet> The Administration for Native Americans recommends that 
the pages of the application be numbered sequentially and that a table 
of contents is provided. Simple tabbing of the sections of the 
application is also helpful.

[[Page 34221]]

    <bullet> An application with an original signature and two 
additional copies are required.
    <bullet> The Cover Page (included in the Kit) should be the first 
page of an application, followed by the one-page abstract.
    <bullet> The applicant should specify the entire project period 
length on the first page of the Form 424, Block 13, not the length of 
the first budget period. Should the application propose one length of 
project period and the Form 424 specify a conflicting length of project 
period, ANA will consider the project period specified on the Form 424 
as the request. ANA may negotiate a reduction of the project period. 
The approved project period is shown on block 9 of a Financial 
Assistance Award.
    <bullet> Line 15a of the Form 424 must specify the Federal funds 
requested for the first Budget Period, not the entire project period.
    <bullet> Applicants may propose a 17-month budget and project 
period. However, the budget period for the first year of a multi-year 
project may only be 12 months.
4. Projects or Activities That Generally Will Not Meet the Purposes of 
This Announcement
    <bullet> Projects that request funds for feasibility studies, 
business plans, marketing plans or written materials, such as manuals, 
that are not an essential part of the applicant's long-range 
development plan. As an objective of a larger project, business plans 
are allowable. However, ANA is not interested in funding ``wish lists'' 
of business possibilities. ANA expects written evidence of the solid 
investment of time and consideration on the part of the applicant with 
regard to the development of business plans. Business plans should be 
developed based on market analysis and feasibility studies regarding 
the potential success to the business prior to the submission of the 
application.
    <bullet> Core administration functions, or other activities, which 
essentially support only the applicant's on-going administrative 
functions. However, under Competitive Area 2, ANA will consider funding 
core administrative capacity building projects at the village 
government level if the village does not have governing systems in 
place.
    <bullet> Project goals, which are not responsive to one or more of 
the funding competitive areas.
    <bullet> Proposals from consortia of tribes that are not specific 
with regard to support from, and roles of, member tribes. ANA expects 
an application from a consortium to have goals and objectives that will 
create positive impacts and outcomes in the communities of its members.
    <bullet> Proposals from consortia of tribes should have individual 
objectives, which are related to the larger goal of the proposed 
project. Project objectives may be tailored to each consortia member, 
but within the context of a common goal for the consortia. In 
situations where both a consortia of tribes and the tribes who belong 
to the consortia receive ANA funding, ANA expects that consortia groups 
will not seek funding that duplicates activities being conducted by 
their member tribes.
    <bullet> Projects that will not be completed, self-sustaining, or 
supported by other than ANA funds, at the end of the project period.
    All projects funded by ANA must be completed, or self-sustaining or 
supported with other than ANA funds at the end of the project period. 
Completed means that the project ANA funded is finished, and the 
desired result(s) have been attained. Self-sustaining means that a 
project will continue without outside resources. Supported by other 
than ANA funds means that the project will continue beyond the ANA 
project period, but will be supported by funds other than ANA's.
    <bullet> Once a tribe has been denied federal recognition through 
the BIA Federal Acknowledgment Process, ANA will not fund objectives 
relating to the attainment of federal recognition, unless the 
objectives deal specifically and exclusively with the formal appeal of 
a denial.
    <bullet> ANA will not fund investment capital for purchase or 
takeover of an existing business, for purchase or acquisition of a 
franchise, or for purchase of stock or other similar investment 
instruments.
    <bullet> Renovation or alteration unless it is essential for the 
project. Renovation or alteration costs may not exceed the lesser of 
$150,000 or 25 percent of the total direct costs approved for the 
entire budget period. The work required to change the interior 
arrangements or other physical characteristics of an existing facility 
or installed equipment so that it may be more effectively used for the 
project. Alteration and renovation may include work referred to as 
improvements, conversion, rehabilitation, remodeling, or modernization, 
but is distinguished from construction and large scale permanent 
improvements.
    <bullet> Projects originated and designed by consultants whom 
provide a major role for themselves in the proposed project and are not 
members of the applicant organization, tribe or village.

H. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995, Pub. L. 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. This 
program announcement does not contain information collection 
requirements beyond those approved for ANA grant applications under the 
Program Narrative Statement by OMB.

I. Receipt of Applications

    Applications must either be hand delivered or mailed to the address 
in Section E, The Application Process. The Administration for Native 
Americans cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ANA electronically will not be accepted regardless of date or time of 
submission and time of receipt. Videotapes and cassette tapes may not 
be included as part of a grant application for panel review.
    Applications and related materials postmarked after the closing 
date will be classified as late.
1. Deadlines
    <bullet> Mailed applications shall be considered as meeting an 
announced deadline if they are either received on or before the 
deadline date or sent on or before the deadline date and received by 
ACF in time for the independent review to: U.S. Department of Health 
and Human Services, ACF in time for the independent review to: U.S. 
Department of Health and Human Services, Administration for Children 
and Families, ACYF/Office of Grants Management, 370 L'Enfant, SW., Mail 
Stop HHH 326-F, Washington, DC 20447-0002 Attention: Lois B. Hodge ANA 
No. 93612-2002.
    <bullet> Applicants are cautioned to request a legibly dated U.S. 
Postal Service postmark or to obtain a legibly dated receipt from a 
commercial carrier or the U.S. Postal 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 
or postmarked on or before the deadline date, Monday through Friday 
(excluding Federal holidays), between the hours of 8 am and 4:30 p.m. 
at: U.S. Department of Health and Human Service, ACF in

[[Page 34222]]

time for the independent review to: U.S. Department of Health and Human 
Services, Administration for Children and Families, ACYF/Office of 
Grants Management, 370 L'Enfant, SW., Mail Stop HHH 326-F, Washington, 
DC 20447-0002 Attention: Lois B. Hodge ANA No. 93612-2002.
    <bullet> Applicants are cautioned to request a legibly dated U.S. 
Postal Service postmark or to obtain a legibly dated receipt from a 
commercial carrier or the U.S. Postal 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 
or postmarked on or before the deadline date, Monday through Friday 
(excluding Federal holidays), between the hours of 8 am and 4:30 p.m. 
at: U.S. Department of Health and Human Services, Administration for 
Children and Families, ACYF/Office of Grants Management, ACF Mailroom, 
2nd Floor Loading Dock, Aerospace Center, 901 D Street, SW., 
Washington, DC 20024. (Applicants are cautioned that express/overnight 
mail services do not always deliver as agreed.)
    <bullet> 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.
    <bullet> No additional material will be accepted, or added to an 
application, unless it is postmarked by the deadline date.
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
    The Administration for Children and Families may extend an 
application deadline for applicants affected by acts of God such as 
floods and hurricanes, or when there is a widespread disruption of the 
mails. A determination to extend or waive deadline requirements rests 
with the Chief Grants Management Officer.

(Catalog of Federal Domestic Assistance Program Numbers: 93.612 
Native American Programs; and 93.581 Improving the Capability of 
Indian Tribal Governments to Regulate Environmental Quality)

    Dated: June 20, 2001.
Larry Guerrero,
Acting Commissioner, Administration for Native Americans.
[FR Doc. 01-16146 Filed 6-26-01; 8:45 am]
BILLING CODE 4184-01-P