34996 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. OCS 2001–08]

Fiscal Year 2001 Training, Technical

Assistance and Capacity-Building

Program; Availability of Funds and

Request for Applications

AGENCY: Office of Community Services

(OCS), Administration for Children and

Families (ACF), Department of Health

and Human Services (DHHS).

ACTION: Request for Applications under

the Office of Community Services’

Training, Technical Assistance and

Capacity-Building Program.

SUMMARY: The Office of Community

Services announces that competing

applications will be accepted for new

grants pursuant to the Secretary’s

authority under section 674(b) of the

Community Services Block Grant

(CSBG) Act, as amended, by the

Community Opportunities,

Accountability, and Training, and

Educational Services (Coats) Human

Services Reauthorization Act of 1998,

(Pub.L. 105–285). This program

announcement consists of seven parts.

Part A provides information on the

legislative authority and defines terms

used in the program announcement.

Part B describes the purposes of the

program, the priority areas that will be

considered for funding, and which

organizations are eligible to apply in

each priority area. Part C provides

details on application prerequisites,

anticipated amounts of funds available

in each priority area, estimated number

of grants to be awarded, and other grantrelated information. Part D provides

information on application procedures

including the availability of forms,

where to submit an application, criteria

for initial screening of applications, and

project evaluation criteria. Part E

provides guidance on the content of an

application package. Part F provides

instructions for completing an

application. Part G details post-award

requirements.

DATES: Closing Date: The closing date

for submission of applications is August

16, 2001. Mailed applications shall be

considered as meeting the announced

deadline if they are received on or

before deadline date or are postmarked

on or before the deadline date.

Applications received after the closing

date will be classified as late and not

considered for funding. Applications

that are handcarried will be classified as

late if they are received after 4:30 p.m.,

EST, on the deadline date. 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 U. S. Postal

Service. Private metered postmarks shall

not be accepted as proof of timely

mailing. Detailed application

submission instructions, including

addresses where applications must be

sent are found in Part D of this program

announcement.

FOR FURTHER INFORMATION CONTACT:

Margaret Washnitzer, Director, Division

of State Assistance, Office of

Community Services, Administration

for Children and Families, 370 L’Enfant

Promenade, SW., Washington, DC 20447

(202) 401–9343. This program

announcement is accessible on the OCS

web site for reading or downloading at:

http://www/acf/dhhs/gov/programs/ocs.

Additional copies of this program

announcement can be obtained by

calling (202) 401–9343.

(The Catalog of Federal Domestic

Assistance number is ‘‘93.570.’’ This Program

announcement title is ‘‘Training, Technical

Assistance, and Capacity-Building

Program.’’)

Part A—Preamble

1. Legislative Authority

Sections 674(b)(2) and 678E(b) of the

Community Services Block Grant

(CSBG) Act of 1981, (Pub. L. 97–35) as

amended by the Coats Human Services

Reauthorization Act of 1998, (Pub. L.

105–285) authorizes the Secretary of

Health and Human Services to utilize a

percentage of appropriated funds for:

training, technical assistance, planning,

evaluation, performance measurement,

monitoring, to assist States in carrying

out corrective actions and to correct

programmatic deficiencies of eligible

entities, and for reporting and data

collection activities related to programs

or projects carried out under the CSBG

Act. The Secretary may carry out these

activities through grants, contracts, or

cooperative agreements. To address

program quality in financial

management practices, management

information and reporting systems, and

measurement of program results and to

ensure responsiveness to identified

local needs, the Secretary is required to

distribute funds directly to eligible

entities, or statewide or local

organizations or associations with

demonstrated expertise in providing

training to individuals and

organizations on methods of effectively

addressing the needs of low-income

families and communities. The

Secretary may carry out the remaining

activities through appropriate entities.

The process for determining the

technical assistance, training and

capacity-building activities to be carried

out must (a) ensure that the needs of

eligible entities and programs relating to

improving program quality, including

financial management practices, are

addressed to the maximum extent

feasible; and (b) incorporate

mechanisms to ensure responsiveness to

local needs, including an on-going

procedure for obtaining input from State

and national networks of eligible

entities. Thus, the CSBG Monitoring and

Assessment Task Force (MATF)

continues to focus on implementation of

the Results-Oriented Management and

Accountability (ROMA) system to

address the challenges and unmet needs

of States and Community Action

Agencies and to increase program

quality and management within the

Community Services Network. The Task

Force has taken a comprehensive

approach to monitoring, including

establishing national goals and outcome

measures, and established target dates

for nation-wide implementation;

reviewing data needs relevant to these

outcome measures; and assessing

technical assistance and training

provided toward capacity building

within the Community Services

Network.

2. Definitions of Terms

For purposes of the FY 2001 CSBG

Training, Technical Assistance and

Capacity-Building Program, the

following definitions apply:

At-Risk Agencies refers to CSBG

eligible entities in crises. The

problem(s) to be addressed must be of

a complex or pervasive nature that

cannot be adequately addressed through

existing local or State resources.

Capacity-building refers to activities

that assist Community Action Agencies

(CAAs) and other eligible entities to

improve or enhance their overall or

specific capability to plan, deliver,

manage and evaluate programs

efficiently and effectively to produce

intended results for low-income

individuals. This may include

upgrading internal financial

management or computer systems,

establishing new external linkages with

other organizations, improving board

functioning, adding or refining a

program component or replicating

techniques or programs piloted in

another local community, or making

other cost effective improvements.

Community in relationship to broad

representation refers to any group of

individuals who share common

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 34997

distinguishing characteristics including

residency, for example, the ‘‘lowincome’’ community, or the ‘‘religious’’

community or the ‘‘professional’’

community. The individual members of

these ‘‘communities’’ may or may not

reside in a specific neighborhood,

county or school district but the local

service provider may be implementing

programs and strategies that will have a

measurable affect on them. Community

in this context is viewed within the

framework of both community

conditions and systems, i.e., (1) public

policies, formal written and unstated

norms adhered to by the general

population; (2) service and support

systems, economic opportunity in the

labor market and capital stakeholders;

(3) civic participation; and (4) an equity

as it relates to the economic and social

distribution of power.

Community Services Network (CSN)

refers to the various organizations

involved in planning and implementing

programs funded through the

Community Services Block Grant or

providing training, technical assistance

or support to them. The network

includes local Community Action

Agencies and other eligible entities;

State CSBG offices and their national

association; CAA State, regional and

national associations; and related

organizations which collaborate and

participate with Community Action

Agencies and other eligible entities in

their efforts on behalf of low-income

people.

Cooperative Agreement is an award

instrument of financial assistance where

‘‘substantial involvement’’ is anticipated

between the awarding agency and the

recipient during the performance of the

contemplated project or activity.

‘‘Substantial involvement’’ means that

the recipient can expect Federal

programmatic collaboration or

participation in managing the award.

Eligible entity means any organization

that was officially designated as a

Community Action Agency (CAA) or a

community action program under

section 673(1) of the Community

Services Block Grant Act, as amended

by the Human Services Amendments of

1994 (Pub. L. 103–252), and meets all

the requirements under Sections

673(1)(A)(I), and 676A of the CSBG Act,

as amended by the Coats Human

Services Reauthorization Act of 1998.

All eligible entities are current

recipients of Community Services Block

Grant funds, including migrant and

seasonal farmworker organizations that

received CSBG funding in the previous

fiscal year. In cases where eligible entity

status is unclear, a final determination

will be made by OCS/ACF.

Hub is a Department of Health and

Human Services designation for

multiple regional locations.

Local service providers are local

public or private non-profit agencies

that receive Community Services Block

Grant funds from States to provide

services to, or undertake activities on

behalf of, low-income people.

Nationwide refers to the scope of the

technical assistance, training, data

collection, or other capacity-building

projects to be undertaken with grant

funds. Nationwide projects must

provide for the implementation of

technical assistance, training or data

collection for all or a significant number

of States, and the local service providers

who administer CSBG funds.

Outcome Measures are indicators that

focus on the direct results one wants to

have on customers.

Performance Measurement is a tool

used to objectively assess how a

program is accomplishing its mission

through the delivery of products,

services, and activities.

Program technology exchange refers

to the process of sharing expert

technical and programmatic

information, models, strategies and

approaches among the various partners

in the Community Services Network.

This may be done through written case

studies, guides, seminars, technical

assistance, and other mechanisms.

Regional Networks refers to CAA State

Associations within a region.

Results-Oriented Management and

Accountability (ROMA) System: ROMA

is a system, which provides a

framework for focusing on results for

local agencies funded by the

Community Services Block Grant

Program. It involves setting goals and

strategies for developing plans and

techniques that focus on a resultoriented performance based model for

management.

State means all of the 50 States and

the District of Columbia. Except where

specifically noted, for purposes of this

program announcement, it also includes

specified Territories.

State CSBG Lead Agency (SCLA) is

the lead agency designated by the

Governor of the State to develop the

State CSBG application and to

administer the CSBG Program.

Statewide refers to training and

technical assistance activities and other

capacity building activities undertaken

with grant funds that will have

significant impact, i.e. activities should

impact at least 50 percent of the eligible

entities in a State.

Technical assistance is an activity,

generally utilizing the services of an

expert (often a peer), aimed at

enhancing capacity, improving

programs and systems, or solving

specific problems. Such services may be

provided proactively to improve

systems or as an intervention to solve

specific problems.

Territories refer to the Commonwealth

of Puerto Rico, and American Samoa for

the purpose of this announcement.

Training is an educational activity or

event which is designed to impart

knowledge, understanding, or increase

the development of skills. Such training

activities may be in the form of

assembled events such as workshops,

seminars, conferences or programs of

self-instructional activities.

Part B—Purposes/Program Priority

Areas

The principal purpose of this

Training, Technical Assistance and

Capacity funding is to stimulate and

support planning, training, technical

assistance and data collection activities

that strengthen the Community Services

Network. New and revised techniques

and tools are needed to fundamentally

change the way the Network does

business on a daily basis.

In addition, there are specific changes

in sections 676(b)(12) and 678(E) of the

CSBG Act, as amended in 1998, that

mandate data collection and

performance measurement systems by

Fiscal Year 2001. The system developed

under the leadership of OCS is called

the Results-Oriented Management and

Accountability system (ROMA).

Technical assistance and training

activities described in this program

announcement are also impacted by the

Government Performance and Results

Act of 1993 (Pub L. 103–62). This Act

requires Federal programs describe

expected program ‘‘outcomes’’ and the

Monitoring and Assessment Task Force

(MATF) develop and implement a

process (ROMA) to assist the

Community Services Network in

managing the results. Thus, strong

training, technical assistance, planning

and data collections are essential to the

continued results-oriented strategy to

strengthen the management and

delivery of services to low-income

people.

Subject to the availability of funds,

OCS is soliciting applications that

implement these legislative mandates in

a comprehensive and systematic manner

on a nationwide or statewide basis, as

appropriate to the priority area. OCS

believes that identifying training and

technical assistance needs requires

substantial involvement of eligible

entities working in partnership at local,

State and national levels. Funds will be

34998 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

awarded in the form of both grants and

cooperative agreements.

Priority areas of the Office of

Community Services’ Fiscal Year 2001

Training, Technical Assistance and

Capacity-Building Program are as

follows:

Priority Area 1.0: Training and Technical

Assistance for ROMA Implementation

Sub-Priority Areas

1.1 National Academy (NA)

2.1 Leadership Development (LD)

2.2 Train-the-Trainers (TT)

2.3 Best Practices (BP)

2.4 Impact Information (IF)

2.5 Special ROMA Technical Assistance

(RM)

Priority Area 2.0: CAA Capacity Building

Sub-Priority Areas

2.1 National Training (CB)

1.2 Collection, Analysis and Dissemination

of Information On the CSBG Activities

(IS)

2.3 Local Capacity Building (CP)

1.3 Strengthening CAA Capacity to Address

Legal Issues (LF)

1.4 Addressing Urban Needs (UI)

1.5 State CAA Association Capacity

Building (EQ)

Priority Area 3.0: Strengthening At-Risk

Agencies

2.1 Special State Technical Assistance

2.2 National Peer-to-Peer Assistance

Priority Area 4.0: Information Sharing

3.1 Information Sharing Tools

Activities under Sub-Priority Areas

2.1, National Training and Technical

Assistance (CB); 2.2 Data Collection,

Analysis and Dissemination (CP); 2.4,

Strengthening CAA Capacity on Legal

Issues Toward Problem Solving (LF);

and 2.5 Technical Assistance to Address

Urban Issues (UI) will be carried out

under a continuation grant in FY 2001

without further competition and are

included in the Availability of Funds

section of this Announcement. Under

Sub-Priority 1.2, Leadership

Development (LD), OCS will provide

continuation funding to an existing

grantee and fund on additional new

two-year project.

In order to ensure that OCS meets its

compliance and technical assistance

responsibilities for the CSBG Program

continues its effective partnership with

the Community Services Network;

several of these continuation grants will

be funded in the form of Cooperative

Agreements.

Also, applications from States for

funds under Sub-Priority 3.1, (ST)

Special State Technical Assistance

Activities, are being supported under a

separate non-competitive grant

application process. These State awards

will address fiscal and program

deficiencies.

Priority Area 1.0: Training and

Technical Assistance for ROMA

Implementation

This Priority Area addresses the

development and implementation of

coordinated, comprehensive,

nationwide or statewide training and/or

technical assistance programs to assist

State CSBG Lead Agency (SCLA) staff,

staff of State and regional organizations

representing eligible entities, and staff

of local service providers which receive

funding under the CSBG Act to acquire

the skills and knowledge needed to

achieve universal ROMA

implementation by Fiscal Year 2003.

Priority Area 1.10 also aims to reduce

the number of ‘‘at risk’’ agencies

through timely and effective

management and program interventions,

including planning, monitoring and

evaluation of programs designed to

ameliorate the causes of poverty in local

communities. Proposals should include

a description of how the applicant will

collaborate with State CSBG staff and

local service providers.

Sub-Priority Area 1.1: National

Academy (NA)

OCS intends to fund one national

‘‘academy’’ to provide training in

program administration and financial

management. Through such support,

OCS will provide the Community

Services Network (CSN) with a national

resource to address ROMA Goal #5:

‘‘Agencies increase their capacity to

achieve results.’’ The applicant under

this Sub-Priority must be able to

demonstrate a strong and effective

history of providing basic program

administration and fiscal management

training on a local, regional, or national

basis to new CAA officials or those in

‘‘at risk’’ CAAs. Applicants must

demonstrate an understanding of the

unique role of CAAs in coordinating a

variety or programs, funding sources,

and activities both within and outside

the agency to achieve client and

community outcomes. The application

must document proposed course

content, logistics, and means to evaluate

the effectiveness of ‘‘academy’’ training

based on a performance based model

(ROMA) in such areas as, but not

limited to: (1) Long-range and annual

planning, (including needs assessment,

board participation and governance,

resource acquisition, relationship to

other programs/services in the

community); (2) Program administration

(including resource allocation,

oversight, record keeping, and

reporting); (3) Human resource

management (staff recruitment, training,

retention); (4) Facilities management; (5)

Information systems (design,

implementation, control and support);

and (6) Program evaluation (including

design implementation, reporting and

board participation).

The successful applicant for the grant

in this priority area will make available

intensive, i.e., weeklong, training

opportunities to CAA officials

throughout the CSN based on needs

identified by State CSBG Lead Agency

officials (SCLAs). Some of these needs

will be identified during the summer

2001 Regional Implementation Planning

Meetings. The successful applicant must

have the capacity to train a minimum of

200 participants a year at reasonable

unit costs per participant. OCS intends

to fund one project at a funding level of

$250,000 annually. The project period

will be 36 months, and the funding will

be awarded under a cooperative

agreement.

Eligible Applicants: Community

Action Agencies, and/or State CAA

Associations.

Sub-Priority Area 1.2: Leadership

Development (LD)

OCS intends to fund two national

training initiatives focused specifically

on helping States and local CSBG

leaders understand and embrace the

program renewal concepts embodied in

the ROMA. One project will be funded

under a continuation award to ‘‘Move

the Mountain Leadership Center, Inc.,

Iowa; a second project will be a new

three-year project under this

competition.

The successful applicant under this

sub-priority must demonstrate in its

application experience in using ROMA

to change the fundamental approach of

CAAs from managing discrete programs

and services to organizing efforts to

achieve client and community

outcomes. Applicants are asked to

describe a proposed leadership training

curriculum that focuses on but is not

limited to:

(1) The use of ROMA as a strategic

planning tool (including the creation of

an overall mission for community action

at the State, or local level which

addresses relationships to other service

providers and programs at the State or

local level with broad participation);

(2) The use of ROMA to set specific

performance measures related to client

and community outcomes across all

agency programs and services;

(3) Organizing programs and services

to achieve client/community results;

(4) Measuring and reporting client/

community outcomes; and

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 34999

(5) Using ROMA generated data to

advocate for additional resources with

the community or State.

Successful applicants will be

expected to address the needs of States

and CSBG eligible entities. Each

applicant must have the capacity to

train 200 applicants in 2–4 day training

sessions at a reasonable cost per

participant.

OCS intends to fund one new threeyear project at a level of $138,000

annually and one continuation project

at a funding level of $136,000. The

continuation grantee is Move the

Mountain Leadership Center, Inc.

Eligible Applicants: Private non-profit

organizations, eligible entities, State

CSBG Agencies and State CAA

Associations.

Sub-Priority Area 1.3: Train-theTrainers

OCS intends to support the expansion

of a ‘‘training-the-trainers’’ approach to

implementing ROMA. By spreading the

training capacity and making available a

group of trained trainers in each of the

DHHS Regional hubs, more community

action agencies will have access to

ROMA training. Applicants under this

project must provide intensive training

to participants who will be recruited

from nominations made by the SCLAs

and State Community Action Agency

Associations. The training should be

comprehensive and extensive, such that

those completing the course will be

certified as competent to train

individually, or in groups, and all CAA

staff levels on ROMA concepts and

implementation. Applicants must

provide for follow-up assistance to

trainers, including consultation and

sharing of new and updated information

on training techniques and content.

This project will be funded for 36

months. The goal for the first year will

be to train teams of five participants in

each hub. The second year goal will be

a shared training capacity between

SCLAs and CAA State Associations in

25 States. The third year goal will

establish a shared training capacity in

an additional 25 States. Applicants must

have a demonstrated capacity both in

content knowledge and in this specific

type of training. Applicants must base

their training on the standards and goals

for ROMA implementation as described

in OCS Information Memorandum No.

49 (IM #49) dated February 21, 2001. IM

#49 can be down-loaded from the OCS

web site http://www.acf.gov/programs/

ocs/csbg/documents/im49.htm. The

training costs per participants under

this project are to be included in this

funding. The number of participants to

be trained each year should be 30. The

funding level is $300,000 annually and

the project will be funded under a

cooperative agreement.

Eligible Applicants: Private Non-profit

Organizations, CAA State Associations

and Eligible Entities

Sub-Priority Area 1.4: Best Practices

Six years of pioneering work in

performance-based management has

provided the Community Services

Network with an abundance of best

practices and model programs. While

this knowledge base of successful

ROMA implementers is known and

available to some in the CSN, OCS

believes that best practices and

performers ought to be available to a

broader audience of State and local

agencies.

OCS intends to support up to 20

ROMA best practice implementers

through grants under this Sub-Priority.

Grants are to be used to subsidize the

costs of having, ‘‘best practice

consultants’’ provide training and

technical assistance at regional, State or

local community action meetings, as

well as national association training and

technical assistance conferences

supported by the Office of Community

Services. OCS seeks models for grants

under this Sub-Priority from all agencies

in the CSN. We are particularly

interested in models and practitioners/

consultants who have demonstrated

successes in the following areas of

ROMA implementation at the State or

local levels:

(1) Leadership Training and the Use

of ROMA for Program Renewal;

(2) ROMA-based Needs Assessment

and Strategic Planning;

(3) Development and Use of Client,

Community, or Organizational Outcome

Measures;

(4) Board Involvement in Agency Goal

Setting and Results-Oriented Oversight;

(5) Client and/or Community-Focused

Programming and Service Delivery;

(6) ROMA-Focused Staffing (training,

linkage to client/community outcomes);

(7) ROMA Compatible Information

Systems (collection, analysis and report

of client, community and/or

organizational outcomes);

(8) Use of ROMA to Expand Program

Linkages within and outside of Agency;

(9) Results-Oriented Financial

Management;

(10) Ways of Using ROMA to ‘‘Tell

Our Story’’ Better to State legislatures,

local governing authorities, or the

public; and

(11) Other.

Applicants should include in the

work program narrative of their

application the following information:

(1) A general agency program

description; (2) Goals of ROMA

implementation based on the categories

above; (3) Strategies adopted; (4)

Problems encountered and addressed;

(5) Program results; (6) Lessons learned;

(7) Names of individuals responsible for

best practices; and (8) Estimate of the

availability of the individual(s)

responsible for the lesson learned to

participant on site visits, conference

training, interactions by mail, electronic

communication, etc. (up to 35 days).

OCS will publish a series of ‘‘Best

Practices Papers’’ based on successful

applications, which will be posted on

the ROMA web sites and disseminated

throughout the network. A panel of

ROMA experts chosen by the OCS will

review applications. Up to 20 grants

will be awarded under cooperative

agreements out of a total of $100,000.

The project period is 12 months.

Eligible Applicants: State CSBG

Agencies, State CAA Associations,

eligible entities, and private non-profit

organizations in collaboration with a

State CSBG Agency or local CSBG

eligible entity.

Sub-Priority 1.5: ROMA Impact

Information

OCS will fund a maximum of five (5)

projects, (one State, two urban, and two

rural grants) which demonstrate the use

of ROMA-generated results information

about results (changes in the lives of

clients and communities) that can be

used to advocate for additional State

funding resources, local government

resources and other private funds.

OCS believes that one of the most

important elements of effective ROMA

implementation lies in the creative use

of outcome and impact information,

which demonstrates that community

action works. By demonstrating

measurable outcomes in communities,

the CSN can affect the growth and

expansion of efforts to assist the lowincome population more effectively.

OCS wishes, therefore, to further

encourage experimentation in targeting

and using ROMA generated information

by seeking model approaches to ‘‘Tell

Our Story.’’

Applicants for grants under this SubPriority Area must provide examples

that describe the kinds of information

being generated by ROMA in their State

community. They must also document

the potential audiences with which they

plan to share the information and for

what purpose. Finally, the application

should contain a plan which describes

how the information will be presented,

i.e., written, oral, electronically or

multi-media; whether assistance in

preparing such presentations is

required; and how they plan to evaluate

35000 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

the success of their advocacy. Examples

of previous successful efforts should

also be included.

Applicants must indicate a

willingness to report on their activities,

provide data sets, and work with the

OCS selected experts to produce model

program information. Models produced

through this effort will be widely

disseminated to the CSN.

Approximately five (5) cooperative

agreements will be awarded for a total

of $100,000. Subject to the availability

of funds, the project period is two years.

Eligible Applicants: State CSBG

Agencies, State CAA Associations, and

Eligible Entities.

Sub-Priority 1.6: State Specific Special

ROMA Technical Assistance

OCS will work with each State at

regional meetings during the summer of

2001 to develop State ROMA

Implementation Plans through Fiscal

Year 2003. As a result of these regional

meetings, OCS will make available to

individual States or to regional

consortiums of States organized around

common issues, additional training and

technical assistance funds to complete

ROMA Implementation Plans. OCS

plans to hold funds in reserve for

project applications submitted in

response to State specific ROMA

Implementation Plans and timetables

developed in concert with OCS at the

summer 2001 Regional Meetings. OCS

envisions that grants made under this

Sub-Priority will be used for needs

outside the scope or capacity of the

training and technical assistance

initiatives described under SubPriorities 1.1 through 1.5 above. Up to

30 grants will be awarded out of total of

$375,000. The project period will be 24

months.

Eligible Applicants: State CSBG

Agencies in concert with State CAA

Associations.

Priority Area 2.0: CAA Capacity

Building

This priority area addresses activities

to: assist states and eligible entities to

acquire skills; improve the collection,

analysis, dissemination and utilization

of data and information on CSBG

activities; promote management

efficiency and program productivity by

sharing effective management and

program techniques; further understand

legal frameworks; address urban needs;

and build the expertise of State CAA

associations to assistance eligible

entities to better achieve the goals of the

CSBG Program. Only projects under

Sub-Priority Area 2.3, Local Capacity

Building Projects are being competed

under this program announcement.

Grants under Sub-Priority Areas 2.1, 2.2,

2.4, and 2.5 are included as a part of the

OCS comprehensive training and

technical assistance strategy. However,

they are being funded as continuation

grants and cooperative agreements and;

therefore, they are not being competed

under this program announcement.

Grantees awarded continuation under

this Priority Area include:

—National Association of Community

Action Agencies, Wash., D.C.—

$500,000; Sub-Priority Area 2.1—

National Training (CB)

—National Association for State

Community Services Programs—

$516,000; Sub-Priority 2.2—

Collection, Analysis and

Dissemination of Information on

CSBG Activities (IS)

—Community Action Program Legal

Services, Wash., D.C.—$250,000; SubPriority 2.4—Legal Capacity Building

(CP)

—The African American Community

Action Leaders, Wash., D.C.—

$100,000; Sub-Priority 2.5—

Addressing Urban Needs (UI)

—State CAA Association CapacityBuilding (EQ)—50 CAA State

Associations—$2,500,000; SubPriority 2.6

Sub-Priority Area 2.3: Local Capacity

Building

Project descriptions for continuation

grants can be found on the Office of

Community Services web site at http://

www.acf.gov/programs/ocs/csbg.

The purpose of this sub-priority area

is to promote management efficiency

and program productivity. It is essential

that local CAAs and other partners in

the Community Services Network share

effective program/management

techniques and information systems

technology being used and/or developed

by eligible entities to address various

aspects of poverty and the

implementation of ROMA by the

Community Services Network. Grants

under this sub-priority will be made to

Community Action Agencies to promote

local CAA capacity building. Activities

may include sharing of model needs

assessment tools; sharing of effective

data processing innovations;

development of effective community

organizing techniques; demonstration of

scaling techniques; use of tracking

systems; internal and external

communication networks; effective

integration of information systems; and

sharing successful leveraging strategies.

Applicants must include a plan that

describes how the results achieved

under this project will be shared with

the larger Community Services Network.

OCS intends to fund approximately

ten projects with a 12-months duration

at a funding level of approximately

$200,000.

Eligible Applicants: Eligible Entities.

Priority Area 3.0: Strengthening at-Risk

Agencies

The purpose of this Priority Area is to

strengthen the fiscal and management

capacity of eligible entities. The CSBG

Act requires a State to offer appropriate

technical assistance, if appropriate, to

an eligible entity in crisis prior to

instituting termination proceedings to

stabilize such an entity. Projects funded

under this priority area provide

resources to assist eligible entities in

addressing structural, financial and

program deficiencies of at-risk agencies.

Sub-Priority Area 3.1: Special State

Technical Assistance (ST)

A separate non-competitive awarded

process has been established to carry

out projects under Sub-Priority Area 3.1,

Special State Technical Assistance. The

goal of this sub-priority is to prevent the

disruption of services to clients by

stabilizing an eligible entity through the

correction and improvement of

identified programmatic deficiencies.

Funds will be used to support

comprehensive interventions in cases

where an eligible entity is in a crisis

situation. The CSBG legislation requires

that States provide training and

technical assistance prior to any

termination procedures. Applications

under this sub-priority must be

submitted prior to June 29, 2001.

Because this sub-priority is a part of the

overall training and technical assistance

strategy of the Office of Community

Services, it is included for information

purposes only.

OCS intends to fund approximately

20 projects with duration of 12 months

at a funding level of approximately

$375,000.

Sub-Priority Area 3.2: National Peer-toPeer Assistance (PP)

The purpose of this Sub-Priority area

is to strengthen the fiscal and

management capacity of eligible

entities. OCS will fund one project

which will provide coordinated, timely

peer-to-peer technical assistance and

crisis aversion intervention strategies for

CAAs which have identified themselves

as experiencing programmatic,

administrative, board, and/or fiscal

management problems. Also

continuation funding in the amount of

$177,000 will be provided to the MidIowa Community Action, Inc. Such

technical assistance should be designed

to prevent fiscal and management

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35001

problems from deteriorating into crisis

situations that could threaten the

capacity of the CAA to provide quality

services to their communities or give

rise to possible termination of funding.

Based on written agreements with

selected CAAs, the successful applicant

will coordinate and deploy the technical

assistance resources of experienced

individuals within the CSN, or other

agencies which administer similar

programs in the identification and

resolution of problems through

necessary actions, including training, to

ensure that relevant and timely

assistance is provided. Such assistance

may be requested to help an agency

resolve adverse program monitoring or

audit findings, improve or upgrade

financial management systems, prevent

losses of funds, avert serious

deterioration of the board of directors,

or other immediate assistance as

requested. To the extent feasible, the

applicant will be expected to develop an

expert technical assistance resource

bank of experienced individuals from

the CSN who may be deployed to

provide peer technical assistance.

Approximately two new projects will be

funded at a funding level of $350,000

for duration of 12 months.

Eligible Applicants: Community

Action Agencies and other eligible

entities and statewide organizations or

associations of Community Action

Agencies.

Priority Area 4.0: Information Sharing

Web sites have proven to be an

effective information-sharing tool and

have become an integral part of the OCS

CSBG training and technical assistance

strategy. There is an official agency

OCS/CSBG web site that contains basic

program information as well as official

regulations and communications to

States and Community Action Agencies.

Many of the State CAA Associations

have web sites including the National

Association of State Community

Services Programs and the National

Association of Community Action

Agencies. These web sites contain

valuable information and provide access

to training and technical assistance

resources and materials.

Under the leadership of the Office of

Community Services, the Community

Services Network is now entering an

intense effort to ensure that the

implementation of a major performance

outcome system as mandated by the

CSBG legislation and referred to as

Results Oriented Management

Accountability (ROMA) is operational.

The CSN is fortunate to have initiated

its own performance based ROMA

system six years ago. As a voluntary

effort, ROMA built a strong foundation

to ensure continuous program

improvement and accountability among

State agencies and local CSBG-service

providers. As a part of this effort, six

national goals for community action that

both respect the diversity of the CSN

network and provide clear expectations

of results from efforts were identified. A

number of performance measurement

tools were developed and disseminated.

A ROMA Guide was published and

distributed to States and local CSBG

entities. A pilot web site devoted to

advancing ROMA knowledge,

experience and success was designed

and pilot tested.

Pursuant to the legislative mandate,

the CSN network continues to work

together to achieve universal acceptance

and adoption of ROMA. There is an

even greater need for effective exchange

of information, and maximum access to

materials, training and technical

assistance resources.

Sub-Priority Area 4.1: Information

Sharing Tools

As an important part of meeting this

need, the OCS will fund under Priority

Area 4.0 a fully operational, specialized

ROMA web site. The website will be

built upon the current web site model

but provide enhancements such as an

increased capacity to handle a larger

volume of materials, and easier access

and downloading capacity. Sections of

the web site should relate to the core

activities as outlined in the OCS

Information Memorandum #49 and the

areas contained in the Sub-Priority

Areas under Priority #1 of this Program

Announcement. The application

narrative should also address the web

site evaluation findings that indicate

which topic areas are most useful and

which areas should be eliminated.

Copies of Information Memorandum

#49 and the evaluation of the current

model ROMA web site are available on

the CSBG web site at http://

www.acf.gov/programs/ocs/csbg/index.

To be eligible for funding under this

priority, an applicant must first

demonstrate a thorough understanding

of ROMA and the CSBG Program.

Second, an interested applicant must be

prepared to assure that the latest

computer technology will be utilized

which make for efficient, quick access

and downloading capabilities. The

applicant must also assure that it will

have a database capable of handling

large volumes of resource materials and

best practice documentation. Finally, in

order to be successful, the applicant

must document the knowledge and

capacity to:

• Check and print traffic reports.

Harvest submitted forms, i.e., update

new Subscribers, schedule training

sessions;

• Recalculate hyperlinks to keep

search functions operational;

• Perform ENG library update

categorizing and updating topical

archives by adding new messages from

weekly digests;

• Send out ROMA web weekly

updates;

• Maintain a subscriber database that

currently totals 800 e-mail addresses

with an expected 25 percent increase;

• Post new materials as they become

available and delete time sensitive

materials;

• Adjust organizational and

categorization of existing pages to best

fit evolving content;

• Establish a database to manage a

substantial increase in the volume of

new and/or updated materials

generated;

• Conduct reviews and analysis of email discussion groups. To be useful,

this will require the investment of a

considerable amount of time. Work with

the OCS to develop additional

discussion groups related to training

and technical assistance resources being

developed under this Program

Announcement and elsewhere by the

OCS. OCS will establish an advisory

group on content to work with the

ROMA web site to facilitate these

efforts.

• Work with the OCS to develop an

evaluation of the web site which will be

linked to the overall goals of the ROMA

implementation plan; and

• Provide demonstrations and

promotional materials on the use of the

web site at a minimum of two national

CSN conferences and video-link

demonstrations to selected OCS regional

meetings and conferences and State

CAA Association Meetings.

OCS plans to fund one 36-month

cooperative agreement (subject to the

availability of funds) under this SubPriority Area at a funding level of

$40,000 annually.

Eligible Applicants: State CSBG

Agency, CAA State Associations,

eligible entities or partnerships thereof.

Part C—Application Prerequisites

1. Eligible Applicants

See individual sub-priority areas in

Part B.

2. Forms of Awards

The Office of Community Services

intends to support new projects under

Sub-Priority Areas: 1.1: National

Academy, 1.3: Train-the-Trainers, 1.4:

35002 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

Best Practices, and 4.1: InformationSharing Tools under Cooperative

Agreements. A cooperative agreement is

an award instrument of financial

assistance when substantial

involvement is anticipated between the

awarding office and the recipient

organization during performance of the

contemplated project. The Office of

Community Services will outline plans

of interaction with grantees for the

implementation of Cooperative

Agreements during pre-award

negotiations. It is anticipated that OCS

responsibilities will not change the

requirements for project identified in

this Announcement. Plans under

cooperative agreements will describe

the general and specific responsibilities

of the grantee and the grantor as well as

foreseeable joint responsibilities. A

schedule of tasks will be developed and

agreed upon in addition to any special

conditions relating to the

implementation of such projects.

Availability of Funds

The total amount of funds currently

available for new grant awards in FY

2001 under this Program

Announcement is $1,853,000. Subject to

the availability of funds, an additional

$4,986,573 will be committed for

continuation grants and cooperative

agreements. For multi-year projects,

continued funding is dependent upon

proof of satisfactory performance and

the availability of Federal funds.

Amounts expected to be available and

numbers of grants under each subpriority area stated in Part B are as

follows:

Sub-priority area

Approx. funds

available for

new projects

Estimated number of

new grants

1.1 National Academy (NA) ...................................................................................................................... $ 250,000 1

1.2 Leadership Development (LD) ............................................................................................................ 138,000 1(2)

1.3 Train-the -Trainers (TT) ...................................................................................................................... 300,000 Up to 2

1.4 Best Practices (BP) ............................................................................................................................. 100,000 Up to 20

1.5 ROMA Impact Information (IF) ............................................................................................................ 100,000 1

1.6 State Special ROMA Technical Assistance (RM) ............................................................................... 375,000 Up to 30

2.1 National Training (CB) ........................................................................................................................ *(2) *(2)

2.2 Collection, Analysis, and Dissemination of Information on CSBG Activities Nationwide (IS) ............ *(2) *(2)

2.3 Local Capacity-Building (CP) .............................................................................................................. 200,000 Up to 10

2.4 Strengthening CAA Capacity to Address Legal Issues (LF) .............................................................. *(2) *(2)

2.5 Addressing Urban Needs (UI) ............................................................................................................. *(2) *(2)

2.6 State CAA Association Capacity Building (EQ) .................................................................................. *(2) *(2)

3.1 Special Technical Assistance (ST) ..................................................................................................... 375,000 *(3)

3.2 National Peer-to-Peer Technical Assistance (PP) .............................................................................. 350,000 Up to 2

4.1 Information Sharing Tools (WB) ......................................................................................................... 40,000

Total ...................................................................................................................................................... 1,853,000 Up to 68 New Grants

1This does not include the continuation grant in amount of $136,753.

2 Represent continuation grant awards in the amount of $4,986,573.

3Projects under this Sub-priority area are being handled under a separate application process.

Project and Budget Periods

For projects included in the FY 2001

CSBG T&TA Program Announcement,

the budget periods are 12 months and

the project periods vary depending on

the Sub-Priority Area. All continuation

grants under Sub-Priority Areas 1.2 and

2.1, 2.2, 2.4, 2.5 and 3.2 will be made

for 12-month budget periods (subject to

the availability of funds).

Project Beneficiaries

The overall intended beneficiaries of

the projects to be funded under the FY

2001 CSBG T&TA Program

Announcement are the various

‘‘partners’’ in the Community Services

Network. Specific beneficiaries are

indicated under each sub-priority area

in Part B. It is the intent of OCS, through

funding provided under this program

announcement, to significantly

strengthen the capacity of State and

regional CAA associations to provide

technical assistance and support to local

service providers; to strengthen the

capacity of State CSBG offices to collect

and disseminate accurate and reliable

data and to provide support for local

service providers; and to enhance the

capacities of local service providers

themselves. The ultimate beneficiaries

of improved program management, data

and information collection and

dissemination, and service quality of

local service providers are low-income

individuals, families, and communities.

Sub-Contracting or Delegating Projects

OCS will not fund any project where

the role of the applicant is primarily to

serve as a conduit for funds to

organizations other than the applicant.

This prohibition does not bar the

making of subgrants or subcontracting

for specific services or activities needed

to conduct the project. However, the

applicant must have a substantive role

in the implementation of the project for

which funding is requested.

Separate Multiple Applications

Separate applications must be made

for each sub-priority area. An applicant

will receive only one grant in a subpriority area and no more than two

grants under this FY 2001 CSBG T&TA

Program Announcement. Applicants

that receive more than one grant for a

common budget and project period must

be mindful that salaries and wages

claimed for the same persons cannot

collectively exceed 100 percent of the

total annual salary. The sub-priority

area must be clearly identified by title

and number.

Project Evaluations

Each application must include an

assessment or self-evaluation to

determine the degree to which the goals

and objectives of the project are met,

such as client satisfaction surveys,

administration of simple before/after

tests of knowledge with comparison of

scores to show grasp of teaching points,

simple measures of the results of service

delivery, and others as appropriate. Goal

setting and goal measurement should be

the framework for evaluation. Goals, to

the extent suitable, should be impactoriented.

Part D—Application Procedures

1. Availability of Forms

Applications for awards under the FY

2001 CSBG T&TA Program must be

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35003

submitted on Standard Forms (SF) 424,

424A, and 424B. Part F and the

attachments to this program

announcement contain all the

instructions and forms required for

submission of an application. These

forms may be photocopied for use in

developing the application.

Part F also contains instructions for

the project narrative. The project

narrative must be submitted on plain

bond paper along with the SF–424 and

related forms.

A copy of this program announcement

is available on the Internet through the

OCS web site at: http://

www.acf.dhhs.gov/programs/ocs.

If the program announcement cannot

be accessed through the OCS web site,

it can be obtained by writing or

telephoning the office listed under the

section entitled FOR FURTHER

INFORMATION at the beginning of this

program announcement.

2. Deadlines

Refer to the section entitled ‘‘Closing

Date’’ at the beginning of this program

announcement for the last day on which

applications should be submitted.

Mailed applications shall be

considered as meeting the announced

deadline if they are received on or

before deadline date or postmarked on

or before the deadline date and received

by ACF in time for the independent

review. Mailed applications must be

sent to: U.S. Department of Health and

Human Services, Administration for

Children and Families, Office of Grants

Management/OCSE, ACF Mailroom, 2nd

Floor Loading Dock, Aerospace Center

901 D Street, SW., Washington, DC

20024, Attn: CSBG Training, Technical

Assistance, and Capacity-Building

Program.

Applicants must ensure that a legibly

dated U.S. Postal Service postmark or a

legibly dated, machine produced

postmark of a commercial mail service

is affixed to the envelope/package

containing the application(s). To be

acceptable as proof of timely mailing, a

postmark from a commercial mail

service must include the logo/emblem

of the commercial mail service company

and must reflect the date the package

was received by the commercial mail

service company from the applicant.

Private metered postmarks shall not be

acceptable as proof of timely mailing.

(Applicants are cautioned that express/

overnight mail services do not always

deliver as agreed.)

Applications hand-carried by

applicants, applicant couriers, or by

other representatives of the applicant

shall be considered meeting an

announced deadline if they are received

on or before the deadline date, between

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

EST, Monday through Friday, excluding

Federal holidays, at the: U.S.

Department of Health and Human

Services, Administration for Children

and Families, Office of Grants

Management/OCSE, ACF Mailroom, 2nd

Floor Loading Dock, Aerospace Center

901 D Street, SW., Washington, DC

20024, Attn: CSBG Training, Technical

Assistance, and Capacity-Building

Program.

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. Applications, once

submitted, are considered final and no

additional materials will be accepted.

Late applications. Applications that

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.

Extension of deadlines. ACF may

extend the deadline for all applicants

affected by acts of God such as floods

and hurricanes, when there is

widespread disruption of the mail

service. A determination to extend or

waive deadline requirements rest with

the Chief Grants Management Officer.

3. Number of Copies Required

One signed original application and

two copies should be submitted at the

time of initial submission (OMB 0970–

0062). Two additional copies would be

appreciated to facilitate the processing

of applications.

4. Designation of Sub-Priority Area

The first page of the SF–424 must

contain in the lower right-hand corner

a designation indicating under which

sub-priority are funds are being

requested. For example, if you are

applying for Sub-Priority Area 2.6—

Local Capacity Building, you must have

a designation of 2.6 in the lower righthand corner. Without this clear

designation, your proposal may not be

reviewed correctly.

5. Paperwork Reduction Act of 1995

(P.L. 104–13)

Public reporting burden for this

collection of information is estimated to

average 10 hours per response,

including time for reviewing

instructions, gathering and maintaining

the data needed and reviewing the

collection of information.

The project description is approved

under OMB Control Number 0970–0062

which expires 12/31/2003.

An agency may not conduct or

sponsor and a person is not required to

respond to, a collection of information

unless it displays a currently valid OMB

control number.

6. Intergovernmental Review

This program is covered under

Executive Order 12372,

‘‘Intergovernmental Review of Federal

Programs’’ and 45 CFR part 100,

‘‘Intergovernmental Review of

Department of Health and Human

Services Programs and Activities.’’

Under the Order, States may design

their own processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

The following States and Territories

have elected to participate under the

Executive Order process and have

established a Single Point of Contact

(SPOC): Arkansas, California, Delaware,

District of Columbia, Florida, Georgia,

Illinois, Iowa, Kentucky, Maine,

Maryland, Michigan, Mississippi,

Missouri, Nevada, New Hampshire,

New Mexico, North Carolina, North

Dakota, Rhode Island, South Carolina,

Texas, Utah, West Virginia, Wisconsin,

American Samoa, Guam, Puerto Rico,

the Commonwealth of Northern Mariana

Islands, and the United States Virgin

Islands.

Applicants for projects to be

administered by Federally recognized

Indian Tribes are also exempt from the

requirements of E.O. 12372. Otherwise,

applicants should contact their SPOCs

as soon as possible to alert them of the

prospective applications and receive

any necessary instructions. Applicants

must submit any required material to

the SPOCs as soon as possible so that

OCS can obtain and review SPOC

comments as a part of the award

process. It is imperative that the

applicant submit all required materials,

if any, to the SPOC and indicate the date

of this submittal (or the date of contact

if no submittal is required) on the

Standard Form 424A, item 16a.

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

60 days from the application deadline

date to comment on proposed new or

competing continuation awards.

SPOCs are encouraged to eliminate

the submission of routine endorsements

as official recommendations.

Additionally, SPOCs are requested to

clearly differentiate between mere

advisory comments and those Official

State process recommendations which

they intend to trigger the ‘‘accommodate

or explain’’ rule under 45 CFR 100.10.

35004 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

When comments are submitted

directly to ACF, they should be

addressed to: Department of Health and

Human Services, Administration for

Children and Families, Office of Grants

Management/OCSE, 4th Floor,

Aerospace Center, 370 L’Enfant

Promenade, SW., Washington, DC

20447.

A list of the Single Points of Contact

for each State and Territory is included

as Attachment I to this program

announcement.

7. Application Consideration

Applications that meet the screening

requirements in Sections 8.a. and 8.b.

below will be reviewed competitively.

Such applications will be referred to

reviewers for a numerical score and

explanatory comments based solely on

responsiveness to program guidelines

and evaluation criteria published in this

announcement.

Qualified panelist not directly

responsible for programmatic

management of the grant will review

applications. The results of these

reviews will assist OCS in considering

competing applications. Reviewers’

scores will weigh heavily in funding

decisions but will not be the only

factors considered. Applications will be

ranked and generally considered in

order of the average scores assigned by

reviewers. However, highly ranked

applications are not guaranteed funding

since other factors deemed relevant may

be considered including, but not limited

to, the timely and proper completion of

projects funded with OCS funds granted

in the past five years; comments of

reviewers and government officials; staff

evaluation and input; geographic

distribution; previous program

performance of applicants; compliance

with grant terms under previous DHHS

grants; audit reports; investigative

reports; and applicant’s progress in

resolving any final audit disallowance

on OCS or other Federal agency grants.

OCS reserves the right to discuss

applications with other Federal or nonFederal funding sources to ascertain the

applicant’s performance record.

8. Criteria for Screening Applications

a. Initial Screening

All applicants will receive a written

acknowledgment with an assigned

identification number. This number,

along with any other identifying codes,

must be referenced in all subsequent

communications concerning the

application. If an acknowledgment is

not received within three weeks after

the deadline date, please notify ACF by

telephone at (202) 401–5103.

All applications that meet the

published deadline for submission will

be screened to determine completeness

and conformity to the requirements of

this Announcement. Only those

applications meeting the following

requirements will be reviewed and

evaluated competitively. Others will be

returned to the applicants with a

notation that they were unacceptable.

(1) The application must contain a

Standard Form 424 ‘‘Application for

Federal Assistance’’ (SF–424), a budget

(SF–424A), and signed ‘‘Assurances’’

(SF–424B) completed according to

instructions published in Part F and

Attachments A, B, and C of this program

announcement.

(2) A budget narrative, which

corresponds to the object class

categories in the SF 424A for the use of

Federal funds, must be included in the

application.

(3) The SF–424 and the SF–424B must

be signed by an official of the applicant

organization who has authority to

obligate the organization legally.

(4) A project narrative must also

accompany the standard forms.

b. Pre-Rating Review

Applications, which pass the initial

screening, will be forwarded to

reviewers and/or OCS staff to verify,

prior to the programmatic review, that

the applications comply with this

program announcement in the following

areas:

(1) Eligibility: Applicant meets the

eligibility requirements found in Part B.

Applicant also must be aware that the

applicant’s legal name as required on

the SF 424 (item 5) must match that

listed as corresponding to the Employer

Identification Number (Item 6).

(2) Duration of Project: The

application contains a project that can

be successfully implemented in the

project period.

(3) Target Populations: The

application clearly targets the specific

outcomes and benefits of the project to

State staff administering CSBG funds,

CAA State or regional associations, and/

or local providers of CSBG-funded

services and activities. Benefits to lowincome consumers of CSBG services

also must be identified.

(4) Program Focus: The application

must address the purpose of the subpriority area under which funding is

being requested.

An application may be disqualified

from the competition and returned to

the applicant if it does not conform to

one or more of the above requirements.

e. Evaluation Criteria

Applications that pass the pre-rating

review will be assessed and scored by

reviewers. Each reviewer will give a

numerical score to each application

reviewed. These numerical scores will

be supported by explanatory statements

on a formal rating form describing major

strengths and weaknesses under each

applicable criterion published in this

announcement.

The in-depth evaluation and review

process will use the following criteria

coupled with the specific requirements

contained in Part B.

Criteria for Review and Evaluation of

Applications Submitted Under This

Program Announcement

(1) Criterion I: Need for Assistance

(Maximum: 20 Points)

(a) The application documents that

the project addresses vital needs related

to the purposes stated under the

appropriate sub-priority area discussed

in this program announcement (Part B)

and provides statistics and other data

and information in support of its

contention. (0–10 points).

(b) The application provides current

supporting documentation or other

testimonies regarding needs from State

CSBG Directors, local service providers

and/or State and Regional organizations

of local service providers. (0–10 points)

(2) Criterion II: Work Program

(Maximum: 30 Points)

The work program is results-oriented,

appropriately related to the legislative

mandate and specifically related to the

sub-priority area under which funds are

being requested.

Applicant addresses the following:

Specific outcomes to be achieved;

performance targets that the project is

committed to achieving, including

reasons for not setting lower or higher

target levels and how the project will

verify the achievement of these targets;

critical milestones which must be

achieved if results are to be gained;

organizational support, including

priority this project has for the agency;

past performance in similar work; and

specific resources contributed to the

project that are critical to success.

Applicant defines the comprehensive

nature of the project and methods that

will be used to ensure that the results

can be used to address a statewide or

nationwide project as defined by the

priority area.

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35005

(3) Criterion III: Significant and

Beneficial Impact: (Maximum: 15

Points)

Applicant adequately describes how

the project will assure long-term

program and management

improvements and have advantages over

other products offered to achieve the

same outcomes for State CSBG offices,

CAA State and/or regional associations,

and/or local providers of CSBG services

and activities.

The applicant indicates the types and

amounts of public and/or private

resources it will mobilize, how those

resources will directly benefit the

project, and how the project will

ultimately benefit low-income

individuals and families.

If proposing a project with a training

and technical assistance focus,

applicant indicates the number of

organizations and/or staff it will impact.

If proposing a project with a data

collection focus, applicant provides a

description of the mechanism it will use

to collect data, how it can assure

collections from a significant number of

States, and the number of States willing

to submit data to the applicant.

If proposing to develop a symposium

series or other policy-related project(s),

the applicant identifies the number and

types of beneficiaries.

Methods of securing participant

feedback and evaluations of activities

are described in the application.

(4) Criterion IV: Evidence of Significant

Collaborations (Maximum 10 Points)

Applicant describes how it will

involve partners in the Community

Services Network in its activities. Where

appropriate, applicant describes how it

will interface with other related

organizations.

If subcontracts are proposed,

documentation of the willingness and

capacity for the subcontracting

organization(s) to participate is

described.

(5) Criterion V: Ability of Applicant to

Perform (Maximum: 20 Points)

(a) The applicant demonstrates that it

has experience and a successful track

record relevant to the specific activities

and program area that it proposes to

undertake.

If applicant is proposing to provide

training and technical assistance, it

details its competence in the specific

program priority area and as a deliverer

with expertise in the specific fields of

training and technical assistance on a

nationwide basis.

If applicable, information provided by

the applicant also addresses related

achievements and competence of each

cooperating or sponsoring organization.

(0–10 points)

(b) Applicant fully describes, for

example in a resume, the experience

and skills of the proposed project

director and primary staff showing

specific qualifications and professional

experiences relevant to the successful

implementation of the proposed project.

(0–10 points)

(6) Criterion VI: Adequacy of Budget

(Maximum: 5 Points)

(a) The resources requested are

reasonable and adequate to accomplish

the project. (0–3 points)

(b) Total costs are reasonable and

consistent with anticipated results. (0–

2 points)

Part E—Contents of Application and

Receipt Process

1. Contents of Application

A cover letter containing an e-mail

address and a facsimile (FAX) number,

if available, should accompany the

application. This will facilitate receipt

of an acknowledgment from ACF that

the application has been received. (See

Part D., 8.a.)

Each application should include one

original and three additional copies of

the following:

a. A completed Standard Form 424

which has been signed by an official of

the organization applying for the grant

who has authority to obligate the

organization legally. The applicant must

be aware that, in signing and submitting

the application for this award, it is

certifying that it will comply with the

Federal requirements concerning the

drug-free workplace and debarment

regulations set forth in Attachments D

and E.

b. ‘‘Budget Information-NonConstruction Programs’’ (SF–424A).

(Attachment B)

c. A completed, signed and dated

‘‘Assurances—Non-Construction

Programs’’ (SF–424B). (Attachment C)

d. Drug-free Certification. (The

applicant is certifying that it will

comply with this requirement by

signing and submitting the SF–424.)

(Attachment D)

e. Debarment Certification.

(Attachment E)

f. Certification Regarding

Environmental Tobacco Smoke. (The

applicant is certifying that it will

comply with this requirement by

signing and submitting the SF–424.)

(Attachment F)

g. Disclosure of Lobbying Activities,

SF–LLL. Complete, sign and date form,

as appropriate. (Attachment G)

h. A Project Abstract of 500 words or

less. The abstract should provide a

succinct description of the need, project

goals, and a summary of work plan and

the proposed impact. Abstract will be

maintained as part of the Grantee

Administration Tracking System

(GATES).

i. A Project Narrative consisting of the

following elements preceded by a

consecutively numbered table of

contents that will describe the project in

the following order:

(i) Need for Assistance.

(ii) Work Program.

(iii) Significant and Beneficial Impact.

(iv) Evidence of Significant

Collaborations.

(v) Ability of Applicant to Perform.

(vi) Appendices including proof of

non-profit status, such as IRS

determination of non-profit status,

where applicable; relevant sections of

by-laws, articles of incorporation, and/

or statement from appropriate State

CSBG office which confirms eligibility;

resumes; Single Point of Contact

comments, where applicable; and any

partnership/collaboration agreements.

The original must bear the signature

of the authorizing official representing

the applicant organization.

The total number of pages for the

entire application package should not

exceed 35 pages, including appendices.

Pages should be numbered sequentially

throughout.

If appendices include photocopied

materials, they must be legible.

Applications should be two-hole

punched at the top center and fastened

separately with a compressor slide

paper fastener or a binder clip. The

submission of bound applications or

applications enclosed in a binder are

specifically discouraged.

Applications must be submitted on

white 81⁄2 x 11-inch paper only since

OCS may find it necessary to duplicate

them for review purposes. They must

not include colored, oversized or folded

materials; organizational brochures or

other promotional materials; slides;

films; clips; etc. They will be discarded

if included.

Part F—Instructions for Completing

Application Package

(Approved by the OMB under Control

Number 0970–0062)

The standard forms attached to this

program announcement shall be used

when submitting applications for all

funds under this announcement.

It is recommended that the applicant

reproduce the SF–424, (Attachment A),

SF–424A (Attachment B), SF–424B

(Attachment C) and that the application

be typed on the copies. If an item on the

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SF–424 cannot be answered or does not

appear to be related or relevant to the

assistance requested, the applicant

should write ‘‘NA’’ for ‘‘Not

applicable.’’

The application should be prepared in

accordance with the standard

instructions in Attachments A and B

corresponding to the forms, as well as

the specific instructions set forth below:

1. SF–424 ‘‘Application for Federal

Assistance’’

Item

1. For the purposes of this program

announcement, all projects are

considered ‘‘Applications’’; there are no

‘‘Pre-Applications.’’

5. and 6. The legal name of the

applicant must match that listed as

corresponding to the Employer

Identification Number. Where the

applicant is a previous Department of

Health and Human Services grantee,

enter the Central Registry System

Employee Identification Number (CRS/

EIN) and the Payment Identifying

Number, if one has been assigned, in the

Block entitled ‘‘Federal Identifier’’

located at the top right hand corner of

the form.

7.If the applicant is a non-profit

corporation, enter ‘‘N’’ in the box and

specify ‘‘non-profit corporation’’ in the

space marked ‘‘Other.’’ Proof of nonprofit status such as IRS determination,

articles of incorporation, or by-laws,

must be included as an appendix to the

project narrative.

8. For the purposes of this

announcement, all applications are

‘‘New.’’

9. Enter ‘‘DHHS–ACF/OCS.’’

10. The Catalog of Federal Domestic

Assistance number for the OCS program

covered under this announcement is

‘‘93.570.’’

11. In addition to a brief descriptive

title of the project, the following priority

area designations must be used to

indicate the priority and sub-priority

areas for which funds are being

requested:

NA—Sub-Priority Area 1.1—National

Academy

LD— Sub-Priority Area 1.2—Leadership

Development

TT—Sub-Priority Area 1.3— Train-theTrainers

BP— Sub-Priority Area 1.4—Best

Practices

IF-Sub-Priority Area 1.5—ROMA Impact

Information

RM—Sub-Priority Area 1.6— State

Special ROMA Technical

Assistance

CB—Sub-Priority Area 2.1—National

Training

IS—Sub-Priority Area 2.2—Collection,

Analysis, and Dissemination of

Information on CSBG Activities

Nationwide

CP— Sub-Priority Area 2.3— Local

Capacity Building

LF—Sub-Priority Area 2.4—Strengthen

CAA Capacity to Address Legal

Issues

UI—Sub-Priority Area 2.5—Addressing

Urban Problems

PP— Sub-Priority Area 3.1— Special

Technical Assistance

WB—Sub-Priority Area 4.1—

Information Sharing Tools

The title is ‘‘Office of Community

Services’ Discretionary CSBG Awards—

Fiscal Year 2001 Training, Technical

Assistance, and Capacity-Building

Programs.’’

15a. For purposes of this

announcement, this amount should

reflect the amount requested for the

entire project period.

15b–e. These items should reflect

both cash and third party in-kind

contributions for the total project

period.

2. SF–424A—‘‘Budget Information-NonConstruction Programs’’

See instructions accompanying the

form as well as the instructions set forth

below:

In completing these sections, the

Federal budget entries will relate to the

requested OCS Training and Technical

Assistance Program funds only, and

Non-Federal will include mobilized

funds from all other sources—applicant,

State, and other. Federal funds, other

than those requested from the Training

and Technical Assistance Program

should be included in Non-Federal

entries.

Sections A and D must contain entries

for both Federal (OCS) and non-Federal

(mobilized).

Section A—Budget Summary

Col. (a): Line 1—Enter ‘‘OCS Training

and Technical Assistance Program’’;

Col. (b): Line 1—Enter ‘‘93.570’’.

Col. (c) and (d): Not Applicable.

Col. (e)–(g): For lines 1 enter in

column (e), (f) and (g) the appropriate

amounts needed to support the project

for the entire project period.

Line 5—Enter the figures from Line 1

for all columns completed under (e), (f),

and (g).

Section B—Budget Categories

This section should contain entries

for OCS funds only. For all projects, the

first budget period of 12 months will be

entered in Column #1. Allowability of

costs is governed by applicable cost

principles set forth in 45 CFR parts 74

and 92.

A separate itemized budget

justification should be included to

explain fully and justify major items, as

indicated below. The budget

justification should immediately follow

the Table of Contents.

Column 5: Enter total requirements

for Federal funds by the Object Class

Categories of this section.

Line 6a—Personnel: Enter the total

costs of salaries and wages.

Justification: Identify the project

director. Specify by title or name the

percentage of time allocated to the

project, the individual annual salaries

and the cost to the project (both Federal

and Non-Federal) of the organization’s

staff who will be working on the project.

Line 6b—Fringe Benefits: Enter the

total costs of fringe benefits, unless

treated as part of an approved indirect

cost rate which is entered on line 6j.

Justification: Enter the total costs of

fringe benefits, unless treated as part of

an approved indirect cost rate.

Line 6c—Travel: Enter total cost of all

travel by employees of the project. Do

not enter costs for consultant’s travel.

Justification: Include the name(s) of

traveler(s), total number of trips,

destinations, length of stay, mileage

rate, transportation costs and

subsistence allowances.

Line 6d—Equipment: Enter the total

costs of all non-expendable personal

property to be acquired by the project.

Equipment means tangible nonexpendable personal property having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit.

Justification: Equipment to be

purchased with Federal funds must be

required to conduct the project, and the

applicant organization or its subgrantees

must not already have the equipment or

a reasonable facsimile available to the

project. The justification also must

contain plans for future use or disposal

of the equipment after the project ends.

Line 6e—Supplies: Enter the total

costs of all tangible personal property

(surplus) other than that included on

line 6d.

Line 6h—Other: Enter the total of all

other costs. Such costs, where

applicable, may include, but are not

limited to, insurance, food, medical and

dental costs (noncontractual), fees and

travel paid directly to individual

consultants, local transportation (all

travel which does not require per diem

is considered local travel), space and

equipment rentals, printing and

publication, computer use training costs

including tuition and stipends, training

service costs including wage payments

to individuals and supportive service

payments, and staff development costs.

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35007

Line 6j—Indirect Charges: Enter the

total amount of indirect costs. This line

should be used only when the applicant

currently has an indirect cost rate

approved by the Department of Health

and Human Services or other Federal

agencies. With the exception of States

and local governments, applicants

should enclose a copy of the current

approved rate agreement if it was

negotiated with a Federal agency other

than the Department of Health and

Human Services. For an educational

institution, the indirect costs on training

grants will be allowed at the lesser of

the institution’s actual indirect costs or

8 percent of the total direct costs.

If the applicant organization is in the

process of initially developing or

renegotiating a rate, it should

immediately, upon notification that an

award will be made, develop a tentative

indirect cost rate proposal based on its

most recently completed fiscal year in

accordance with the principles set forth

in the pertinent DHHS Guide for

Establishing Indirect Cost Rates, and

submit it to the appropriate DHHS

Regional Office.

It should be noted that when an

indirect cost rate is requested, those

costs included in the indirect cost pool

cannot be budgeted or charged as direct

costs to the grant.

Line 6k—Totals: The total amount

shown in Section B, Column (5), should

be the same as the amount shown in

Section A, line 5, column (e).

Line 7—Program Income: Enter the

estimated amount of income, if any is

expected to be generated from this

project. Separately show expected

program income generated from OCS

support and income generated from

other mobilized funds. Do not add or

subtract this amount from the budget

total. Show the nature and source of

income in the program narrative

statement.

Column 5: Carry totals from column 1

to column 5 for all line items.

Justification: Describe the nature,

source and anticipated use of program

income in the Program Narrative

Statement.

Section C—Non-Federal Resources

This section is to record the amounts

of Non-Federal resources that will be

used to support the project. Non-Federal

resources refer to other than OCS funds

for which the applicant has received a

commitment. Provide a brief

explanation, on a separate sheet,

showing the type of contribution,

broken out by Object Class Categories,

section B.6) and whether it is cash or

third party in-kind. The firm

commitment of these required funds

must be documented and submitted

with the application.

Except in unusual situations, this

documentation must be in the form of

letters of commitment or letters of intent

from the organization(s)/individuals

from which funds will be received.

Line 8—Col. (a): Enter the project title.

Col. (b): Enter the amount of cash or

donations to be made by the applicant.

Col. (c): Enter the State contribution.

Col. (d): Enter the amount of cash and

third party in-kind contributions to be

made from all other sources.

Col. (e): Enter the total of column (b),

(c), and (d). Lines 9, 10, and 11 should

be left blank.

Line 12: Carry the total of each

column of line 8, (b) through (e). The

amount in column (e) should be equal

to the amount on section A, Line 5, and

column (f).

Justification: Describe third party inkind contributions, if included.

Section D—Forecasted Cash Needs

Line 13—Enter the amount of Federal

(OCS) cash needed for this grant for first

year and by quarter, during the first 12-

month budget period.

Line 14—Enter the amount of cash

from all other sources needed by quarter

during the first year.

Line 15—Enter the total of Lines 13

and 14 for all columns.

Section E—Budget Estimates of Federal

Funds Needed for Balance of the Project

To be completed by applicants

applying for funds for a three year

project period.

Section F—Other Budget Information

Line 21—Include narrative

justification required under Section B

for each object class category for the

total project period.

Line 22—Enter the type of HHS or

other Federal agency approved indirect

cost rate (provisional, predetermined,

final or fixed) that will be in effect

during the funding period, the estimated

amount of the base to which the rate is

applied and the total indirect expense.

Also, enter the date the rate was

approved, where applicable. Attach a

copy of the approved rate agreement if

it was negotiated with a Federal agency

other than the Department of Health and

Human Services. If the applicant

decides not apply an indirect cost rate

to the proposal, then ‘‘this line should

be left blank.’’

Line 23—Provide any other

explanations and continuation sheets

required or deemed necessary to justify

or explain the budget information.

3.SF–424B ‘‘Assurances NonConstruction’’

Applicant must sign and return the

‘‘Assurances’’ found at Attachment C

with its application.

4. Project Narrative

Each narrative section of the

application must address one or more of

the focus areas described in Part B and

follow the format outlined below:

(a) Need for Assistance

(b) Work Program

(c) Significant and Beneficial Impact

(d) Evidence of Significant

Collaborations

(e) Ability of the Applicant to Perform

(f) Adequacy of the Budget

Part G—Post Award Information and

Reporting Requirements

Following approval of the

applications selected for funding, notice

of project approval and authority to

draw down project funds will be made

in writing. The official award document

is the Financial Assistance Award,

which indicates, the amount of Federal

funds approved for use in the project,

the project and budget periods for

which support is provided, the terms

and conditions of the award, and the

total project period for which support is

contemplated.

In addition to the standard terms and

conditions which will be applicable to

grants, grantee will be subject to the

provisions of 45 CFR parts 74 (nongovernmental) and 92 (governmental)

and OMB Circulars A–122 (nonprofit)

and A–87 (governmental).

Grantees will be required to submit

semi-annual program progress narrative

and financial reports (SF–269) as well as

a final program progress narrative report

and a final financial report.

Grantees are subject to the audit

requirements in 45 CFR parts 74 (nongovernmental) and 92 (governmental)

and OMB Circular A–133.

Section 319 of Public Law 101–121,

signed into law on October 23, 1989

imposes prohibitions and requirements

for disclosure and certification related

to lobbying on recipients of Federal

contracts, grants, cooperative

agreements, and loans. It provides

exemptions for Indian tribes and tribal

organizations. Current and prospective

recipients (and their sub-tier contractors

and/or grantees) are prohibited from

using Federal funds, other than profits

from a Federal contract, for lobbying

Congress or any Federal agency in

connection with the award of a contract,

grant, cooperative agreement, or loan. In

addition, for each award action in

excess of $100,000 (or $150,000 for

loans) the law requires recipients and

35008 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

their subtier contractors and/or

subgrantees (1) to certify that they have

neither used nor will use any

appropriated funds for payment to

lobbyists, (2) to disclose the name,

address, payment details, and purpose

of any agreements with lobbyists whom

recipients or their subtier Contractors or

subgrantee will pay with profits or nonappropriated funds on or after

December 22, 1989, and (3) to file

quarterly up-dates about the use of

lobbyists if material changes occur in

their use. The law establishes civil

penalties for noncompliance. See

Attachment F for certification and

disclosure forms to be submitted with

the applications for this program.

Public Law 103–227, Part C.

Environmental Tobacco Smoke, also

known as the Pro-Children Act of 1994

(Act), requires that smoking not be

permitted in any portion of any indoor

facility owned or leased or contracted

for by an entity and used routinely or

regularly for the provision of health, day

care, education, or library services to

children under the age of 18, if the

services are funded by Federal programs

either directly or through States or local

government by Federal grant, contract,

loan or loan guarantee. The law does not

apply to facilities funded solely by

Medicare or Medicaid funds, and

portions of facilities used for in-patient

drug or alcohol treatment. Failure to

comply with the provisions of the law

may result in the imposition of a civil

monetary penalty of up to $1,000 per

day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this

application, the applicant/grantee

certifies that it will comply with the

requirement of the Act. The applicant/

grantee further agrees that it will require

the language of this certification be

included in any sub-awards, which

contain provisions for children’s

services and that all subgrantees shall

certify accordingly.

Attachment H indicates the

regulations that apply to all applicants/

grantees under this program.

Dated: June 25, 2001.

Robert Mott,

Acting Director, Office of Community

Services.

CSBG Training, Technical Assistance

and Capacity-Building Program

List of Attachments

A—Application for Federal Assistance,

SF 424

B—Budget Information—NonConstruction Programs, SF 424A

C—Assurances—Non-Construction

Programs, SF 424B

D—Certification Regarding Drug-Free

Work Place

E—Debarment Certification

F—Certification Regarding

Environmental Tobacco Smoke

G—Disclosure of Lobbying Activities,

SF–LLL

H—DHHS/ACF Standard Terms and

Conditions—Discretionary Grants

I—Listing of State Single Points of

Contact

BILLING CODE 4184–01–P

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35009

BILLING CODE 4184–01–C

35010 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

Instructions for the SF–424

Public reporting burden for this collection

of information is estimated to average 45

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget.

Send it to the address provided by the

sponsoring agency.

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) and applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

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

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

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

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit disallowances,

loans and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization by submitted as part of the

application.

BILLING CODE 4184–01–P

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35011

35012 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35013

Instructions for the SF–424A

Public reporting burden for this collection

of information is estimated to average 180

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0044), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget.

Send to the address provided by the

sponsoring agency.

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for the whole project except when

applying for assistance which requires

Federal authorization in annual or other

funding period increments. In the latter case,

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

budget for the first budget period (usually a

year) and Section E should present the need

for Federal assistance in the subsequent

budget periods. All publications should

contain a breakdown by the object class

categories should in Lines a–k of Section B.

Section A. Budget Summary Lines 1–4

Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the Catalog program

title and the Catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple functions or activities. enter the

name of each activity or function on each

line in Column (a), and enter the Catalog

number in Column (b), For applications

pertaining to multiple programs where none

of the programs require a breakdown by

function or activity, enter the Catalog

program title on each line in Column (a) and

the respective Catalog number on each line

in Column (b).

For applications pertaining to multiple

programs where one or more programs

require a breakdown by function or activity,

prepare a separate sheet for each program

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) Through (g)

For new applications, leave Column (c) and

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

an (b), enter in Columns (e), (f), and (g) the

appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

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

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

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

needed for the upcoming period. The

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

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

For supplemental grants and changes to

existing grants, do not use Columns (c) and

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

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

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

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B. Budget Categories

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

enter the titles of the same programs,

functions, and activities shown on Lines 1–

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

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

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

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total of amounts on

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

grants and continuation grants the total

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

same as the total amount shown in Section

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

grants and changes to grants, the total

amount of the increase or decrease as shown

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

same as the sum of the amounts in Section

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

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount, Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the Federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 89–11—Enter amounts of nonFederal resources that will be used on the

grant. If in-kind contributions are included,

provide a brief explanation on a separate

sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

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

(c), and (d).

Line 12—Enter the total for each of

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

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

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

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not to be

completed for revisions (amendments,

changes, or supplements) to funds for the

current year of existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

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

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individuals direct object class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

Attachment C—Assurances—NonConstruction Programs

Public reporting burden for this collection

of information is estimated to average 15

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

35014 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

date needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0040), Washington,

DC 20503.

Please do not return your completed form

to the Office of Management and Budget.

Send it to the address provided by the

sponsoring agency.

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

agencies may require applicants to certify to

additional assurances. If such is the case, you

will be notified.

As the duly authorized representative of

the applicant, I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance and the institutional,

managerial and financial capability

(including funds sufficient to pay the nonFederal share of project cost) to ensure

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of the United States and,

it appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest, or personal gain.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. §§ 4728–

4763) relating to prescribed standards for

merit systems for programs funded under one

of the 19 statutes or regulations specified in

Appendix A of OPM’s Standards for a Merit

System of Personnel Administration (5 U.S.C.

900, Subpart F).

6. Will comply with all Federal statutes

relating to nondiscrimination. These include

but are not limited to: (a) Title VI of the Civil

Rights Act of 1964 (P.L. 88–352) which

prohibits discrimination on the basic of race,

color or national origin; (b) Title IX of the

Education Amendments of 1972, as amended

(20 U.S.C. §§ 1681–1683, and 1685–1686),

which prohibits discrimination on the basic

of sex; (c) Section 504 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. §§ 6101–

6107), which prohibits, discrimination on the

basis of age; (e) the Drug Abuse Office and

Treatment Act of 1972 (P.L. 92–255), as

amended, relating to nondiscrimination on

the basis of drug abuse; (f) the

Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and

Rehabilitation Act of 1970 (P.L. 91–616), as

amended, relating to nondiscrimination on

the basis of alcohol abuse or alcoholism; (g)

§§ 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. §§ 290 dd–3 and 290

ee 3), as amended, relating to confidentiality

of alcohol and drug abuse patient records; (h)

Title VIII of the Civil Rights Act of 1968 (42

U.S.C. §§ 3601 et seq.), as amended, relating

to nondiscrimination in the sale, rental or

financing of housing; (i) any other

nondiscrimination provisions in the specific

statue(s) under which application for Federal

assistance is being made; and, (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

(P.L. 91–646) which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally-assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply, as applicable, with

provisions of the Hatch Act (5 U.S.C.

§§ 1501–1508 and 7324–7328) which limit

the political activities of employees whose

principal employment activities are funded

in whole or in part with Federal funds.

9. Will comply, as applicable, with the

provisions of the Davis-Bacon Act (40 U.S.C.

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

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

Contract Work Hours and Safety Standards

Act (40 U.S.C. §§ 327–333), regarding labor

standards for federally-assisted construction

subagreements.

10. Will comply, if applicable, with flood

insurance purchase requirements of Section

102(a) of the Flood Disaster Protection Act of

1973 (P.L. 93–234) which requires recipients

in a special flood hazard area to participate

in the program and to purchase flood

insurance if the total cost of insurable

construction and acquisition is $10,000 or

more.

11. Will comply with environmental

standards which may be prescribed pursuant

to the following: (a) institution of

environmental quality control measures

under the National Environmental Policy Act

of 1969 (P.L. 91–190) and Executive Order

(EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection

of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in

accordance with EO 11988; (e) assurance of

project consistency with the approved State

management program developed under the

Coastal Zone Management Act of 1972 (16

U.S.C. §§ 1451 et seq.); (f) conformity of

Federal actions to State (Clean Air)

Implementation Plans under Section 176(c)

of the Clean Air Act of 1955, as amended (42

U.S.C. §§ 7401 et seq.); (g) protection of

underground sources of drinking water under

the Safe Drinking Water Act of 1974, as

amended (P.L. 93–523); and, (h) protection of

endangered species under the Endangered

Species Act of 1973, as amended (P.L. 93–

205).

12. Will comply with the Wild and Scenic

Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)

related to protecting components or potential

components of the national wild and scenic

rivers system.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

amended (16 U.S.C. § 470), EO 11593

(identification and protection of historic

properties), and the Archaeological and

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

§§ 469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award of

assistance.

15. Will comply with the Laboratory

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

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

to the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

Poisoning Prevention Act (42 U.S.C. §§ 4801

et seq.) which prohibits the use of lead-based

in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act

Amendments of 1996 and OMB Circular No.

A–133, ‘‘Audits of States, Local

Governments, and Non-Profit Organizations.’’

18. Will comply with all applicable,

requirements of all other Federal laws,

executive orders, regulations, and policies

governing this program.

lllllllllllllllllllll

Signature of Authorizing Official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Applicant Organization

lllllllllllllllllllll

Date Submitted

Attachment D—Certification Regarding

Drug-Free Workplace Requirements

This certification is required by the

regulations implementing the Drug-Free

Workplace Act of 1988: 45 CFR Part 76,

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

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

agency may designate a central receipt point

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

criminal drug convictions. For the

Department of Health and Human Services,

the central point is: Division of Grants

Management and Oversight, Office of

Management and Acquisition, Department of

Health and Human Services, Room 517–D,

200 Independence Avenue, SW Washington,

DC 20201.

Certification Regarding Drug-Free Workplace

Requirements (Instructions for Certification)

1. By signing and/or submitting this

application or grant agreement, the grantee is

providing the certification set out below.

2. The certification set out below is a

material representation of fact upon which

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35015

reliance is placed when the agency awards

the grant. If it is later determined that the

grantee knowingly rendered a false

certification, or otherwise violates the

requirements of the Drug-Free Workplace

Act, the agency, in addition to any other

remedies available to the Federal

Government, may take action authorized

under the Drug-Free Workplace Act.

3. For grantees other than individuals,

Alternate I applies.

4. For grantees who are individuals,

Alternate II applies.

5. Workplaces under grants, for grantees

other than individuals, need not be identified

on the certification. If known, they may be

identified in the grant application. If the

grantee does not identify the workplaces at

the time of application, or upon award, if

there is no application, the grantee must keep

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

office and make the information available for

Federal inspection. Failure to identify all

known workplaces constitutes a violation of

the grantee’s drug-free workplace

requirements.

6. Workplace identifications must include

the actual address of buildings (or parts of

buildings) or other sites where work under

the grant takes place. Categorical descriptions

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

transit authority or State highway department

while in operation, State employees in each

local unemployment office, performers in

concert halls or radio studios).

7. If the workplace identified to the agency

changes during the performance of the grant,

the grantee shall inform the agency of the

change(s), if it previously identified the

workplaces in question (see paragraph five).

8. Definitions of terms in the

Nonprocurement Suspension and Debarment

common rule and Drug-Free Workplace

common rule apply to this certification.

Grantees’ attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled

substance in Schedules I through V of the

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

and as further defined by regulation (21 CFR

1308.11 through 1308.15);

Conviction means a finding of guilt

(including a plea of nolo contendere) or

imposition of sentence, or both, by any

judicial body charged with the responsibility

to determine violations of the Federal or

State criminal drug statutes;

Criminal drug statute means a Federal or

non-Federal criminal statute involving the

manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee

directly engaged in the performance of work

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

employees; (ii) All indirect charge employees

unless their impact or involvement is

insignificant to the performance of the grant;

and, (iii) Temporary personnel and

consultants who are directly engaged in the

performance of work under the grant and

who are on the grantee’s payroll. This

definition does not include workers not on

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

even if used to meet a matching requirement;

consultants or independent contractors not

on the grantee’s payroll; or employees of

subrecipients or subcontractors in covered

workplaces).

Certification Regarding Drug-Free Workplace

Requirements

Alternate I. (Grantees Other Than

Individuals)

The grantee certifies that it will or will

continue to provide a drug-free workplace by:

(a) Publishing a statement notifying

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in the

grantee’s workplace and specifying the

actions that will be taken against employees

for violation of such prohibition;

(b) Establishing an ongoing drug-free

awareness program to inform employees

about—

(1) The dangers of drug abuse in the

workplace;

(2) The grantee’s policy of maintaining a

drug-free workplace;

(3) Any available drug counseling,

rehabilitation, and employee assistance

programs; and

(4) The penalties that may be imposed

upon employees for drug abuse violations

occurring in the workplace;

(c) Making it a requirement that each

employee to be engaged in the performance

of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement

required by paragraph (a) that, as a condition

of employment under the grant, the employee

will—

(1) Abide by the terms of the statement;

and

(2) Notify the employer in writing of his or

her conviction for a violation of a criminal

drug statute occurring in the workplace no

later than five calendar days after such

conviction;

(e) Notifying the agency in writing, within

ten calendar days after receiving notice under

paragraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers of convicted

employees must provide notice, including

position title, to every grant officer or other

designee on whose grant activity the

convicted employee was working, unless the

Federal agency has designated a central point

for the receipt of such notices. Notice shall

include the identification number(s) of each

affected grant;

(f) Taking one of the following actions,

within 30 calendar days of receiving notice

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

employee who is so convicted—

(1) Taking appropriate personnel action

against such an employee, up to and

including termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(2) Requiring such employee to participate

satisfactorily in a drug abuse assistance or

rehabilitation program approved for such

purposes by a Federal, State, or local health,

law enforcement, or other appropriate

agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

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

(e) and (f).

(B) The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant.

Place of Performance (Street address, city,

county, state, zip code):

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Check if there are workplaces on file that

are not identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition

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

unlawful manufacture, distribution,

dispensing, possession, or use of a controlled

substance in conducting any activity with the

grant.

(b) If convicted of a criminal drug offense

resulting from a violation occurring during

the conduct of any grant activity, he or she

will report the conviction, in writing, within

10 calendar days of the conviction, to every

grant officer or other designee, unless the

Federal agency designates a central point for

the receipt of such notices. When notice is

made to such a central point, it shall include

the identification number(s) of each affected

grant.

Attachment E—Certification Regarding

Debarment, Suspension and Other

Responsibility Matters

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective primary participant is

providing the certification set out below.

2. The inability of a person to provide the

certification required below will not

necessarily result in denial of participation in

this covered transaction. The prospective

participant shall submit an explanation of

why it cannot provide the certification set

out below. The certification or explanation

will be considered in connection with the

department or agency’s determination

whether to enter into this transaction.

However, failure of the prospective primary

participant to furnish a certification or an

explanation shall disqualify such person

from participation in this transaction.

3. The certification in this clause is a

material representation of fact upon which

reliance was placed when the department or

agency determined to enter into this

transaction. If it is later determined that the

prospective primary participant knowingly

rendered an erroneous certification, in

addition to other remedies available to the

Federal Government, the department or

agency may terminate this transaction for

cause for default.

4. The prospective primary participant

shall provide immediate written notice to the

department or agency to which this proposal

is submitted if at any time the prospective

primary participant learns that its

certification was erroneous when submitted

or has become erroneous by reason of

changed circumstances.

5. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

35016 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meanings set out in the Definitions

and Coverage sections of the rules

implementing Executive Order 12549. You

may contact the department or agency to

which this proposal is being submitted for

assistance in obtaining a copy of those

regulations.

6. The prospective primary participant

agrees by submitting this proposal that,

should the proposed covered transaction be

entered into, it shall not knowingly enter into

any lower tier covered transaction with a

person who is proposed for debarment under

48 CFR part 9, subpart 9.4, debarred,

suspended, declared ineligible, or voluntarily

excluded from participation in this covered

transaction, unless authorized by the

department or agency entering into this

transaction.

7. The prospective primary participant

further agrees by submitting this proposal

that it will include the clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

provided by the department or agency

entering into this covered transaction,

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

8. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from the covered

transaction, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

10. Except for transactions authorized

under paragraph 6 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency may

terminate this transaction for cause or

default.

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

(1) The prospective primary participant

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective lower tier participant is

providing the certification set out below.

2. The certification in this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

3. The prospective lower tier participant

shall provide immediate written notice to the

person to which this proposal is submitted if

at any time the prospective lower tier

participant learns that its certification was

erroneous when submitted or had become

erroneous by reason of changed

circumstances.

4. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meaning set out in the Definitions

and Coverage sections of rules implementing

Executive Order 12549. You may contact the

person to which this proposal is submitted

for assistance in obtaining a copy of those

regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

[[Page 33043]] should the proposed covered

transaction be entered into, it shall not

knowingly enter into any lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in

this covered transaction, unless authorized

by the department or agency with which this

transaction originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or voluntary

excluded from covered transactions, unless it

knows that the certification is erroneous. A

participant may decide the method and

frequency by which it determines the

eligibility of its principals. Each participant

may, but is not required to, check the List of

Parties Excluded from Federal Procurement

and Nonprocurement Programs.

8. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

9. Except for transactions authorized under

paragraph 5 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency with

which this transaction originated may pursue

available remedies, including suspension

and/or debarment.

Certification Regarding Debarment,

Suspension, Ineligibility an Voluntary

Exclusion—Lower Tier Covered Transactions

(1) The prospective lower tier participant

certifies, by submission of this proposal, that

neither it not its principals is presently

debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily

excluded from participation in this

transaction by any Federal department or

agency.

(2) Where the prospective lower tier

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Attachment F—Certification Regarding

Environmental Tobacco Smoke

Public Law 103227, Part C Environmental

Tobacco Smoke, also known as the Pro

Children Act of 1994, requires that smoking

not be permitted in any portion of any indoor

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35017

routinely owned or leased or contracted for

by an entity and used routinely or regularly

for provision of health, day care, education,

or library services to children under the age

of 18, if the services are funded by Federal

programs either directly or through State or

local governments, by Federal grant, contract,

loan, or loan guarantee. The law does not

apply to children’s services provided in

private residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

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

administrative compliance order on the

responsible entity. By signing and submitting

this application the applicant/grantee

certifies that it will comply with the

requirements of the Act.

The applicant/grantee further agrees that it

will require the language of this certification

be included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

Attachment G—Certification Regarding

Lobbying

Certificate for Contracts, Grants, Loans, and

Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

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

the undersigned, to any person for

influencing or attempt to influence an officer

or employee of an agency, a Member of

Congress, an officer of employee of Congress,

or an employee of a Member of Congress in

connection with the awarding of any Federal

contract, the making of any Federal grant, the

making of any Federal loan, the entering into

of any cooperative agreement, and the

extension, continuation, renewal,

amendment, or modification of any Federal

contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan, or cooperative agreement, the

undersigned shall complete and submit

Standard Form–LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly. This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

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

who fails to file the required certification

shall be subject to a civil penalty of not less

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

such failure.

Statement for Loan Guarantees and Loan

Issuance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form–LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions. Submission of this statement is

a prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

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Signature

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Title

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Organization

BILLING CODE 4184–01–P

35018 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

BILLING CODE 4184–01–C

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35019

Instructions for Completion of SF–LLL,

Disclosure of Lobbying Activities

The disclosure form shall be completed by

the reporting entity, whether subawardee or

prime Federal recipient, at the initiation or

receipt of a covered Federal action, or a

material change to a previous filing, pursuant

to title 31 U.S.C. section 1352. The filling of

a form is required for each payment or

agreement to make payment to any lobbying

entity for influencing or attempting to

influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with a

covered Federal action. Complete all items

that apply for both the initial filing and

material change report. Refer to the

implementing guidance published by the

Office of Management and Budget for

additional information.

1. Identify the type of covered Federal

action for which lobbying activity is and/or

has been secured to influence the outcome of

a covered Federal action.

2. Identify the status of the covered Federal

action.

3. Identify the appropriate classification of

this report. If this is a followup report caused

by a material change to the information

previously reported, enter the year and

quarter in which the change occurred. Enter

the date of the last previously submitted

report by this reporting entity for this

covered Federal action.

4. Enter the full name, address, city, State

and zip code of the reporting entity. Include

Congressional District, if known. Check the

appropriate classification of the reporting

entity that designates if it is, or expects to be,

a prime or subaward recipient. Identify the

tier of the subawardee, e.g., the first

subawardee of the prime is the 1st tier.

Subawards include but are not limited to

subcontracts, subgrants and contract awards

under grants.

5. If the organization filing the report in

item 4 checks ‘‘Subawardee,’’ then enter the

full name, address, city, State and zip code

of the prime Federal recipient. Include

Congressional District, if known.

6. Enter the name of the Federal agency

making the award or loan commitment.

Include at least one organizational level

below agency name, if known. For example,

Department of Transportation, United States

Coast Guard.

7. Enter the Federal program name or

description for the covered Federal action

(item 1). If known, enter the full Catalog of

Federal Domestic Assistance (CFDA) number

for grants, cooperative agreements, loans, and

loan commitments.

8. Enter the most appropriate Federal

identifying number available for the Federal

action identified in item 1 (e.g., Request for

Proposal (RFP) number; Invitation for Bid

(IFB) number; grant announcement number;

the contract, grant, or loan award number;

the application/proposal control number

assigned by the Federal agency). Include

prefixes, e.g., ‘‘RFP–DE–90–001.’’

9. For a covered Federal action where there

has been an award or loan commitment by

the Federal agency, enter the Federal amount

of the award/loan commitment for the prime

entity identified in item 4 or 5.

10. (a) Enter the full name, address, city,

State and zip code of the lobbying registrant

under the Lobbying Disclosure Act of 1995

engaged by the reporting entity identified in

item 4 to influence the covered Federal

action.

(b) Enter the full names of the individual(s)

performing service, and include full address

if different from 10(a). Enter Last Name, First

Name, and Middle Initial (MI).

11. The certifying official shall sign and

date the form, print his/her name, title, and

telephone number.

Note: According to the Paperwork

Reduction Act, as amended, no persons are

required to respond to a collection of

information unless it displays a valid OMB

Control Number. The valid OMB control

number for this information collection is

OMB No. 0348–0046. Public reporting

burden for this collection of information is

estimated to average 10 minutes per

response, including time for reviewing

instructions, searching existing data sources,

gathering and maintaining the data needed,

and completing and reviewing the collection

of information. Send comments regarding the

burden estimate or any other aspect of this

collection of information, including

suggestions for reducing this burden, to the

Office of Managemente and Budget,

Paperwork Reduction Project (0348–0046),

Washington, DC 20503.

DEPARTMENT OF HEALTH AND HUMAN

SERVICES (DHHS)

ADMINISTRATION FOR CHILDREN AND

FAMILIES (ACF)

STANDARD TERMS AND CONDITIONS—

DISCRETIONARY GRANTS

The attached Financial Assistance Award

is subject to Federal legislation and to DHHS

and ACF regulations and policies. These

include the following:

1. For institutions of higher education,

hospitals, other non-profit organizations, and

commercial (for-profit) organizations, Title

45 of Code of Federal Regulations (45 CFR)

Part 74, ‘‘Uniform Administrative

Requirements for Awards and Sub-awards to

Institutions of Higher Education, Hospitals,

Other Non-Profit Organizations; and

Commercial Organizations; and Certain

Grants and Agreements with States, Local

Governments and Indian Tribal

Governments.’’ http://www.access.gpo.gov/

nara/cfr/waisdx_99/45cfr74_99.html

2. For States, local governments and

Federally recognized Indian Tribes, 45 CFR

Part 92, ‘‘Uniform Administrative

Requirements for Grants and Cooperative

Agreements to State and Local

Governments.’’ http://www.access.gpo.gov/

nara/cfr/waisidx_99/45cfr92_99.html

3. Other DHHS regulations codified in Title

45 of the Code of Federal Regulations: http:/

/www.access.gpo.gov/nara/cfr/waisidx_00/

45cfrv1_00.html

Part 16—Procedures of the Departmental

Grants Appeals Board

Part 30—Claims Collections

Part 46—Protection of Human Subjects

Part 76—Government-wide Debarment and

Suspension (Non-Procurement) and

Government-wide Requirements for DrugFree Workplace (Grants)

Part 80—Nondiscrimination Under Programs

Receiving Federal Assistance through the

DHHS Effectuation of Title VI of the Civil

Rights Acts of 1964

Part 81—Practice and Procedure of Hearings

Under Part 80 of this Title

Part 84—Nondiscrimination on the Basis of

Handicap in Programs and Activities

receiving Federal Financial Assistance

Part 86—Nondiscrimination on the Basis of

Sex in Education Programs and Activities

receiving or benefiting from Federal

Financial Assistance

Part 91—Nondiscrimination on the Basis of

Age in DHHS programs or Activities

receiving Federal Financial Assistance

Part 93—New Restriction on Lobbying

Part 100—Intergovernmental review of DHHS

Program and Activities

4. 37 CFR Part 401—Right to Inventions

made by Nonprofit Organizations and Small

Business firms under Government Grants,

Contracts, and Cooperative Agreements.

http://www.access.gpo.gov/nara/cfr/

waisidx_00/37cfr401_00.html

5. The recipient organization must carry

out the project according to the application

as approved by the Administration for

Children and Families (ACF), including the

proposed work program and any

amendments, all of which are incorporated

by reference in these terms and conditions.

6. If this is a multi-year project and it is

not the final budget period, the grantee is

advised that future awards for continuation

of this project will be dependent upon the

availability of Federal funds, satisfactory

progress by the granted, and ACF’s

determination that continued funding is in

the best interest of the Federal government.

7. Grantees shall liquidate all obligations

incurred under the award no later than 90

days after the end of the project period. The

only exceptions to this rule are the basic

Head Start grants with an indefinite project

period. For these grants, liquidation of

obligations should occur no later than 90

days after each budget period. In either case,

an unobligations balance from a prior budget

period does not authorize a grantee to

obligate funds in excess of the total federally

approved budget reflected on the FAA for the

current budget period.

8. The DHHS Inspector General maintains

a toll free number, 800–HHS–TIPS (800–447–

8477), for receiving information concerning

fraud, waste or abuse under grants and

cooperative agreements. Such reports are

kept confidential, and callers may decline to

give their names if they choose to remain

anonymous. http://www.dhhs.gov/progorg/

oei/hotline/hhshot.html

9. The grantee will take all necessary

affirmative steps to ensure that small,

minority and women-owned business firms

are utilized when possible as sources of

supplies services, equipment and

construction. To the extent practicable, all

equipment and products purchased with

funds made available through this award

should be American made.

10. Failure to submit reports (i.e., financial,

progress, or other required reports) on time

may be the basis for withholding financial

35020 Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices

assistance payments, suspension termination

or denial or refunding. A history of such

unsatisfactory performance may result in

designation of ‘‘high-risk’’ status for the

recipient organization and may jeopardize

potential future funding from DHHS.

11. Under Section 508 of Public Law 103–

333, the following condition is applicable to

all Federal awards:

‘‘When issuing statements, press releases,

requests for proposals, bid solicitations and

other documents describing projects or

programs funded in whole or in part with

Federal money, all grantees receiving Federal

funds, including but not limited to State and

local governments and recipient of Federal

research grants shall clearly state (1) the

percentage of the total costs of the program

or project which will be financed with

Federal money, (2) the dollar amount of

Federal funds for the project or program, and

(3) the percentage and dollar amount of total

costs of the project or program that will be

refinanced by nongovernmental sources.’’

12. Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

as the Pro-Children’s Act of 1994 requires

that smoking not be permitted in any portion

of any indoor facility owned or leased or

contracted for by an entity and used

routinely or regularly for the provision of

health, day care, education, or library

services to children under the age of 18, if

the services are funded by Federal programs

either directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantees. The law does not apply

to children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. http:///www.ed.gov/legislation/

GOALS2000/TheAct/sedc1043.html

13. For purposes of this award each item

of equipment with acquisition cost of less

than $5,000 is included under supplies, is

allowable as a direct cost of this project, and

does not require prior approval of the Grants

Officer. Conversely, an item of equipment

with an acquisition cost of $5,000 or more is

NOT considered an allowable project cost

without prior approval of the Grants

Management Officer.

14. The Grantee shall comply with all

provisions of OMB Circular A–133 (revised

June 24, 1997), ‘‘Audit of State, Local

Governments and Non-Profit Organizations.’’

http://www.whitehouse. gov/omb/circulars/

a133/a133.html Grantees that expend a total

of $300,000 or more in Federal funds are

required to submit an annual audit within

nine months after the end of the audit period.

The Reporting Package should include: (1)

SF–SAC–Data Collection Form for Reporting

on Audits of State, Local Governments and

Non-Profit Organizations. http://

harvester.census.gov/fac/collect/

formoptions.html; (2) Summary of prior audit

findings; (3) Auditors reports and (4)

Corrective action plans. Copies of this

Reporting Package are to be sent to: Single

Audit Clearinghouse, Bureau of the Census,

1201 East 10th Street, Jeffersonville, Indiana

47132.

15. Grantee shall comply with the

particular set of Federal cost principles that

applies in determining allowable cost.

Allowability of costs shall be determined in

accordance with the cost principles

applicable to the entity incurring the costs:

• The allowability of costs incurred by

State, local or Federally-recognized Indian

tribal governments is determined in

accordance with the provisions of OMB

Circular A–87, ‘‘Cost Principles for States

and Local Governments.’’ http://

www.whitehouse. gov/omb/circulars/a087/

a087.html

• The allowability of costs incurred by

nonprofit organizations (except for those

listed in Attachment C of Circular A–122) is

determined in accordance with the

provisions of OMB Circular A–122, ‘‘Cost

Principles for Nonprofit Organizations’’ and

paragraph (b) of 45 CFR, 74.27. http://

www.whitehouse. gov/omb/circulars/a122/

a122.html

• The allowability of costs incurred by

institutions of higher education is

determined in accordance with the

provisions of OMB Circular A–21, ‘‘Cost

Principles for Educational Institutions.’’

http://www.whitehouse. gov/omb/circulars/

a021/a021.html

• The allowability of costs incurred by

hospital is determined in accordance with

the provisions of Appendix E of 45 CFR Part

74, ‘‘Principles for Determining Cost

Applicable to Research and Development

Under Grants and Contracts with Hospitals.’’

• The allowability of cost incurred by

commercial organizations and those nonprofit organizations listed in Attachment C to

Circular A–122 is determined in accordance

with the provision of the Federal Acquisition

Regulation (FAR) at 48 CFR Part 31, except

that independent research and development

costs are unallowable http://

www.access.gpo.gov/nara/cfr/waisidx_99/

48cfr31_99.html

Office of Management and Budget

It is estimated that in 2001 the Federal

Government will outlay $305.6 billion in

grants to State and local governments.

Executive Order 12372, ‘‘Intergovernmental

Review of Federal Programs,’’ was issued

with the desire to foster the

intergovernmental partnership and

strengthen federalism by relying on State and

local processes for the coordination and

review of proposed Federal financial

assistance and direct Federal development.

The Order allows each State to designate an

entity to perform this function. Below is the

official list of those entities. For those States

that have a home page for their designated

entity, a direct link has been provided below.

States that are not listed on this page have

chosen not to participate in the

intergovernmental review process, and

therefore do not have a SPOC. If you are

located within one of these States, you may

still send application materials directly to a

Federal awarding agency.

Arkansas

Tracy L. Copeland, Manager, State

Clearinghouse, Office of Intergovernmental

Services, Department of Finance and

Administration, 1515 W. 7th St., Room

412, Little Rock, Arkansas 72203,

Telephone: (501) 682–1074, Fax: (501)

682–5206, tlcopeland@dfa.state.ar.us

California

Grants Coordination, State Clearinghouse,

Office of Planning and Research, P.O. Box

3044, Room 222, Sacramento, California

95812–3044, Telephone: (916) 445–0613,

Fax: (916) 323–3018,

state.clearinghouse@opr.ca.gov

Delaware

Charles H. Hopkins, Executive Department,

Office of the Budget, 540 S. Dupont

Highway, 3rd Floor, Dover, Delaware

19901, Telephone: (302) 739–3323, Fax:

(302) 739–5661, chopkins@state.de.us

District of Columbia

Ron Seldon, Office of Grants Management

and Development, 717 14th Street, NW.,

Suite 1200, Washington, DC 20005,

Telephone: (202) 727–1705, Fax: (202)

727–1617, ogmd-ogmd@degov.org

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2555 Shumard Oak

Blvd., Tallahassee, Florida 32399–2100,

Telephone: (850) 922–5438, (850) 414–

5495 (direct), Fax: (850) 414–0479

Georgia

Georgia State Clearinghouse, 270 Washington

Street, SW., Atlanta, Georgia, 30334,

Telephone: (404) 656–3855, Fax: (404)

656–7901, gach@mail.opb.state.ga.us

Illinois

Virginia Bova, Department of Commerce and

Community Affairs, James R. Thompson

Center, 100 West Randolph, Suite 3–400,

Chicago, Illinois 60601, Telephone: (312)

814–6028, Fax (312) 814–8485,

vbova@commerce.state.il.us

Iowa

Steven R. McCann, Division of Community

and Rural Development, Iowa Department

of Economic Development, 200 East Grant

Avenue, Des Moines, Iowa 50309,

Telephone: (515) 242–4719, Fax: (515)

242–4809, steve.mccann@ided.state.ia.us

Kentucky

Ron Cook, Department for Local Government,

1024 Capital Center Drive, Suite 340,

Frankfort, Kentucky 40601, Telephone:

(502) 573–2382, Fax: (502) 573–2512,

ron.cook@mail.state.ky.us

Maine

Joyce Benson, State Planning Office, 184

State Street, 38 State House Station,

Augusta, Maine 04333, Telephone: (207)

287–3261, (207) 287–1461 (direct), Fax:

(207) 287–6489, joyce.benson@state.me.us

Maryland

Linda Janey, Manager, Clearinghouse and

Plan Review Unit, Maryland Office of

Planning, 301 West Preston Street—Room

1104, Baltimore, Maryland 21201–2305,

Telephone: (410) 767–4490, Fax: (410)

767–4480, linda@mail.op.state.md.us

Federal Register / Vol. 66, No. 127 / Monday, July 2, 2001 / Notices 35021

Michigan

Richard Pfaff, Southeast Michigan Council of

Governments, 535 Griswold, Suite 300,

Detroit, Michigan 48226, Telephone: (313)

961–4266, Fax: (313) 961–4869,

pfaff@semcog.org

Mississippi

Cathy Mallette, Clearinghouse Officer,

Department of Finance and

Administration, 1301 Woolfolk Building,

Suite E, 501 North West Street, Jackson,

Mississippi 39201, Telephone: (601) 359–

6762, Fax: (601) 359–6758

Missouri

Lois Pohl, Federal Assistance Clearinghouse,

Office of Administration, P.O. Box 809,

Truman Building, Room 840, Jefferson

City, Missouri 65102, Telephone: (573)

751–4834, Fax: (573) 522–4395,

pohll_@mail.oa.state.mo.us

Nevada

Heather Elliott, Department of

Administration, State Clearinghouse, 209

E. Musser Street, Room 200, Carson City,

Nevada 89701, Telephone: (775) 684–0209,

Fax: (775) 684–0260,

helliott@govmail.state.nv.us

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire

Office of State Planning, Attn:

Intergovernmental Review Process, Mike

Blake, 2–1⁄2 Beacon Street, Concord, New

Hampshire 03301, Telephone: (603) 27–

2155, Fax: (603) 271–1728,

jtaylor@osp.state.nh.us

New Mexico

Ken Hughes, Local Government Division,

Room 201 Bataan Memorial Building,

Santa Fe, New Mexico 87503, Telephone:

(505) 827–4370, Fax: (505) 827–4948,

khughes@dfa.state.nm.us

North Carolina

Jeanette Furney, Department of

Administration, 1302 Mail Service Center,

Raleigh, North Carolina 27699–1302,

Telephone: (919) 807–2323, Fax: (919)

733–9571, jeanette.furney@ncmail.net

North Dakota

Jim Boyd, Division of Community Services,

600 East Boulevard Ave, Dept 105,

Bismarck, North Dakota 58505–0170,

Telephone: (701) 328–2094, Fax: (701)

328–2308, jboyd@state.nd.us

Rhode Island

Kevin Nelson, Department of Administration,

Statewide Planning Program, One Capitol

Hill, Providence, Rhode Island 02908–

5870, Telephone: (401) 222–2093, Fax:

(401) 222–2083, knelson@doa.state.ri.us

South Carolina

Omeagia Burgess, Budget and Control Board,

Office of State Budget, 1122 Ladies Street,

12th Floor, Columbia, South Carolina

29201, Telephone: (803) 734–0494, Fax:

(803) 734–0645,

aburgess@budget.state.sc.us

Texas

Denise S. Francis, Director, State Grants

Team, Governor’s Office of Budget and

Planning, P.O. Box 12428, Austin, Texas

78711, Telephone: (512) 305–9415, Fax:

(512) 936–2681,

dfrancis@governor.state.tx.us

Utah

Carolyn Wright, Utah State Clearinghouse,

Governor’s Office of Planning and Budget,

State Capitol, Room 114, Salt Lake City,

Utah 84114, Telephone (801) 538–1535,

Fax: (801) 538–1547,

cwright@gov.state.ut.us

West Virginia

Fred Cutlip, Director, Community

Development Division, West Virginia

Development Office, Building #6, Room

553, Charleston, West Virginia 25305,

Telephone (304) 558–4010, Fax: (304) 558–

3248, fcutlip@wvdo.org

Wisconsin

Jeff Smith, Section Chief, Federal/State

Relations, Wisconsin Department of

Administration, 101 East Wilson Street—

6th Floor, P.O. Box 7868, Madison,

Wisconsin 53707, Telephone: (608) 266–

0267, Fax: (608) 267–6931,

jeffrey.smith@doa.state.wi.us

American Samoa

Pat M. Galea’i, Federal Grants/Programs

Coordinator, Office of Federal Programs,

Office of the Governor/Department of

Commerce, American Samoa Government,

Pago Pago, American Samoa 96799,

Telephone: (684) 633–5155, Fax: (684)

633–4195, pmgaleai@samoatelco.com

Guam

Director, Bureau of Budget and Management

Research, Office of the Governor, P.O. Box

2950, Agana, Guam 96910, Telephone:

011–671–472–2285, Fax: 011–472–2825,,

jer@ns.gov.gu

Puerto Rico

Jose Caballero / Mayra Silva, Puerto Rico

Planning Board, Federal Proposals Review

Office, Minillas Government Center, P.O.

Box 41119, San Juan, Puerto Rico 00940–

1119, Telephone: (787) 723–6190, Fax:

(787) 722–6783

North Mariana Islands

Ms. Jacoba T. Seman, Federal Programs

Coordinator, Office of Management and

Budget, Office of the Governor, Saipan, MP

96950, Telephone: (670) 664–2289, Fax:

(670) 664–2272, omb.jseman@saipan.com

Virgin Islands

Ira Mills, Director, Office of Management and

Budget, #41 Norre Gade Emancipation

Garden Station, Second Floor, Saint

Thomas, Virgin Islands 00802, Telephone:

(340) 774–0750, Fax: (340) 766–0069,

lrmills@usvi.org

[FR Doc. 01–16447 Filed 6–29–01; 8:45 am]

BILLING CODE 4184–01–P