[Federal Register Volume 59, Number 95 (Wednesday, May 18, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-12033]
[[Page Unknown]]
[Federal Register: May 18, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Availability of Discretionary Grants to Promote Increased Placement
of Newly Arrived Refugees* in Preferred Communities, or to Respond
to Unanticipated Arrivals or Significant Increases in Arrivals of
Refugees to Communities Where Adequate or Appropriate Services Do
Not Exist
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*In addition to persons who meet all requirements of 45 CFR
400.43, eligibility for refugee social services also includes: (1)
Cuban and Haitian entrants, under section 501 of the Refugee
Education Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain
Amerasians from Vietnam who are admitted to the U.S. as immigrants
under section 584 of the Foreign Operations, Export Financing, and
Related Programs Appropriations Act, 1988, as included in the FY
1988 Continuing Resolution (Pub. L. No. 100-202); and (3) certain
Amerasians from Vietnam, including U.S. citizens, under title II of
the Foreign Operations, Export Financing, and Related Programs
Appropriations Act, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No.
101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term
refugee is used in this notice to encompass all such eligible
persons unless the specific context indicates otherwise.
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AGENCY: Office of Refugee Resettlement (ORR).
SUMMARY: This Standing Announcement invites submission of grant
applications for funding, on a competitive basis, in two categories:
Category 1--Preferred Communities: To promote increased placement
of arriving refugees in Preferred Communities where refugees have the
best opportunities to achieve early employment and sustain economic
independence without public assistance. Preferred communities should
have a history of low welfare utilization by newly arriving refugees.
In addition, refugees should have a favorable earned income potential
relative to the cost of living and to public assistance benefits in
such communities. Quality of life and sociocultural adjustment factors
will also be considered. Concurrently, ORR seeks to decrease placements
in communities where there has been a history of extended welfare use.
Awards in this category will be made as Cooperative Agreements.
Category 2--Unanticipated Arrivals or Significant Increases in
Arrivals of Refugees to Communities where Adequate or Appropriate
Services do not Exist: To provide services to significant numbers of
refugee arrivals, who were previously unanticipated, in communities
that are unable to provide appropriate services. Such communities must
demonstrate a specific need for supplementation of available resources
for such populations. The arrivals may be new populations to the U.S.
or merely new to the location requesting additional resources.
Alternatively, the arrivals may be a significant and unanticipated
number of an already existing ethnic group in the community. Awards in
this category will be grants and not Cooperative Agreements.
Projects and services allowed under this announcement are described
in Sections I and II listed below. The application must state
specifically for which of the two types of projects the application is
being submitted.
Awards for Preferred Communities will be for one-year budget
periods, although project periods may be for up to three years.
Applications for continuation grants to extend activities funded beyond
the one-year budget period will be entertained in subsequent years on a
noncompetitive basis, subject to availability of funds, timely and
successful completion of activities during the budget period, and the
Administration for Children and Families (ACF) determination that such
continuations would be in the best interest of the Government.
Awards for Unanticipated Arrivals will be for a single 17-month
budget period. Applicants should view these resources as a temporary
solution to the problem of inadequate resources for services to be
provided to the unanticipated arrivals.
Available Funds: In FY 1994, ORR expects to make individual grant
awards in amounts ranging from $20,000 to $100,000. Amounts in
subsequent years will depend upon the availability of funding, need,
and the best interests of the Government. In FY 1994, approximately
$400,000 will be available for awards for Preferred Communities and
$200,000 for Unanticipated Arrivals.
The Director reserves the right to award more or less than the
funds described above depending upon the quality of the applications or
such other circumstances as may be deemed to be in the best interest of
the Government.
Authorization: Authority for this activity is contained in section
412(c)(1)(A) of the Immigration and Nationality Act, as amended by the
Refugee Act of 1980, section 311, Pub. L. No. 96-212 (8 U.S.C.
1522(c)), the Refugee Education Assistance Act of 1980, section 501(a),
Pub. L. No. 96-422 (8 U.S.C. 1522 note), insofar as it incorporates by
reference with respect to Cuban and Haitian entrants the authorities
pertaining to assistance for refugees established by section 412(c) of
the INA, as cited above, and the Refugee Assistance Extension Act of
1986, Pub. L. No. 99-605. Section 412(c)(1)(A) authorizes the
Director--
To make grants to, and enter into contracts with, public or
private nonprofit agencies for projects specifically designed--(1)
to assist refugees in obtaining the skills which are necessary for
economic self-sufficiency, including projects for job training,
employment services, day care, professional refresher training, and
other recertification services; (ii) to provide training in English
where necessary (regardless of whether the refugees are employed or
receiving cash or other assistance); and (iii) to provide where
specific needs have been shown and recognized by the Director,
health (including mental health) services, social services,
educational and other services.
In addition, section 412(a)(2)(B)-(C) gives the Director the
responsibility to promote/encourage refugee resettlement in communities
where the prospects for early self-sufficiency are good and the history
of welfare utilization is low.
Application Submission: Forms and instructions for submitting an
application may be obtained by contacting the Office of Refugee
Resettlement at the address below. Applications which fail to stipulate
the category for which funding is being sought will not be considered
for funding.
An original and two copies of all applications should be submitted
to: Administration for Children and Families, Division of Discretionary
Grants, 370 L'Enfant Promenade SW, Sixth Floor, Washington, DC 20447.
Standing Announcement: This is a standing announcement, effective
until canceled by the Director of the Office of Refugee Resettlement.
The closing date for submission of applications to be considered for FY
1994 is July 18, 1994. In future fiscal years, closing dates will be on
November 15, March 15, and July 15 of each year.
FOR FURTHER INFORMATION CONTACT:
Preferred Communities: Ms. Marta Brenden
Unanticipated Arrivals: Ms. Judith May, Office of Refugee Resettlement,
370 L'Enfant Promenade S.W., Washington, D.C. 20447, Telephone: Ms.
Brenden (202) 205-3589, Ms. May (202) 205-3586
I. Category 1: Preferred Communities
A. Purpose and Scope:
The purpose of this program is to enable successful applicants to
defray the costs associated with resettling arriving refugees in
preferred communities and with reducing the numbers of refugees placed
in high impact sites. To be considered under the announcement, a
proposed preferred community would need to receive a minimum of 100
refugees annually.
Preferred Community sites refer to those localities where refugees
have the best opportunities to achieve early employment and sustain
economic independence without public assistance. Preferred communities
should have a history of low welfare utilization by newly arriving
refugees. In addition, refugees should have a favorable earned income
potential relative to the cost of living and to public assistance
benefits in such communities. These communities would also have a
moderate cost of living, good employment opportunities in a strong
entry level labor market, affordable housing, low out-migration rates
for refugees, religious facilities--if important to the refugees--local
community support, receptive school environments, and related community
features which contribute to a favorable quality of life for arriving
refugees.
ORR suggests that applicants will want to consider arriving
refugees for preferred community sites who have the following
characteristics:
Free cases: Those refugees who are determined in the
allocation process to be free cases, which means they are unrelated to
persons already living in high-impact communities.
New refugee populations: Those refugees from populations
recently determined to be refugees who have no/few existing communities
within the impacted areas of the United States.
Other refugees: The applicant may identify refugees who
would accept the opportunity for resettlement (diversion to) in the
preferred community: i.e., there are refugees who are resettled under
the rubric of family reunification, but in fact are distant relatives
and friends. These refugees may voluntarily elect placement in the
designated sites.
B. Preferred Community Site Selection:
ORR recognizes that extensive planning has to occur in order to
increase placements to preferred communities while concurrently
reducing placements in impacted sites. Thus, under the Cooperative
Agreement it will be incumbent upon ORR and the grantee to assure that
planning and coordination occur locally and nationally. This means that
the grantee and its local sites will plan and coordinate with ORR, the
Department of State and other voluntary agencies where their local
affiliates place refugees in the same sites, and State governments for
both site selection and the program strategies to be developed.
The application may be from an agency placing refugees in one
community, or a national resettlement agency which has multiple local
agencies as affiliates. The national agency may want to structure the
application to cover multiple sites during the three-year project
period.
The application may be submitted with or without selected sites. If
the sites have been selected, the application shall include the sites
with a description of the site, the rationale for selection, the
planning process and coordination activities that occurred prior to
selection. If the sites are not yet selected, the application shall
describe the planning process, the rationale to be used for site
selection, and planning and coordination activities that are to occur
prior to selection. In all cases, site selection that occurs after
application approval will require ORR concurrence under the terms of
the Cooperative Agreement.
The site selected may be one that has had successful refugee
placements and may have capacity for additional successful placements.
Or the site may be one where refugees have not previously been placed,
but which has all the elements of a successful refugee resettlement
community, listed in section E. 2, below.
To successfully resettle refugees, the community must have adequate
social services. ORR formula social services funding is awarded
proportionate to the number of new arrivals in the previous three
years. This announcement recognizes that increasing resettlement in
specific sites will not get reflected fully in the ORR formula social
services awards until three years after the placements. For this
reason, services that would otherwise be provided through the State
formula social services allocations may be included in the application
for this announcement. Planning to assure an orderly transition and
complement of services must be done in concert with the State. The
applicant shall describe and document this coordination and planning.
It should be noted that newly arriving refugees are eligible for any
existing services provided under the State's social service formula
allocation and that the State is required to make an appropriate
portion of such funds available for new arrivals. Therefore, the
application shall show specifically how the funds being requested will
complement the services made availble by the State. [It should also be
noted that while a State should not duplicate services, a State must
provide services pursuant to 45 CFR 400.145 to a refugee resettled to a
preferred community site if funds are available and the refugee is not
receiving such services from a voluntary agency and is otherwise
eligible.]
C. Eligible Applicants:
Eligible Applicants are public and private non-profit agencies
which currently resettle newly arriving refugees under a Reception and
Placement Grant with the Department of State or with the Department of
Justice. This announcement is restricted to these agencies, because
placements of new arrivals are implemented under the terms of these
grants and no other agencies place new arrivals or participate in
determining the sites where they will be placed. Applications shall
include documentation that the applicant is a recipient of a Reception
and Placement Grant. Applications lacking this documentation will not
be considered.
D. Allowable Activities
ORR will accept applications under this announcement for the costs
incurred in diverting new refugee placements from one area, for
increasing placements in preferred communities, for services needed for
the increased placements in the preferred communities, for the planning
and coordination processes, and for the national and local program
management costs associated with these activities.
E. Application Content:
In preparing the application, the applicant must include the
following:
1. Description of the proposed program. Description should include
anticipated improved resettlement opportunities, the employment
services to be provided and the cost implications in both the impacted
and preferred sites for local resettlement services.
2. A description of sites from which placements will be diverted
and the rationale. A list of the designated and potential sites and the
rationale for each site with respect to the following criteria:
(a) Local community support: show by letters, financial and in-kind
donations, news clippings, etc. that the community supports the
placement of these refugees in their area;
(b) State consultation: provide copies of letters indicating
consultation;
(c) Evidence of availability of entry level and other appropriate
employment opportunities: for example, letters from employers who have
refugees working for them and would hire more;
(d) History of low out-migration rates for proposed sites: show
documentation for the last two years;
(e) Moderate cost of living: for example, statements of volag
affiliates, statements from refugees;
(f) Low welfare grant level relative to earnings potential;
(g) Qualified staff: give job description and show how they will be
linguistically and culturally appropriate to the prospective
refugee(s);
(h) Affordable housing: provide average rental costs for apartments
of specified number of bedrooms and describe access to and distance
from services and potential employment;
3. A description of the caseload(s) (free cases, ethnicity, new or
existing ethnic group, etc.) to be served, what interventions will be
used to promote stability of placements, proposed numbers, proposed
placement schedule, back-up strategy should the proposed placement
schedule fail.
4. Budget, including line items and a narrative justification for
each line. Discuss relationship between costs proposed for this grant
and costs, e.g., for services, which will be covered by existing
refugee or mainstream funding and which will be covered by this grant.
5. A description of the national and local planning process,
establishment of coalitions to support the new placements, and the
consultative process used to support the application and envisioned
during implementation. If several local agencies are planning a
coordinated project, e.g., placing refugees from the same ethnic groups
in the same designated sites, describe the coordination of these plans.
Include discussion of anticipated outcomes of the placement strategy
for new arrivals.
6. A description of national/local project management. A discussion
of the project's anticipated outcomes, e.g., employment and retention
rates, welfare avoidance, reductions, and terminations. A discussion of
proposed monitoring.
F. Application Review Criteria
Preferred Communities applications will be reviewed, scored and
ranked utilizing the following criteria:
1. Description of proposed program, including cost implications in
both the impacted and preferred communities. Description should include
the anticipated improved resettlement opportunities and the employment
services to be provided. (20 Points)
2. Description of the preferred sites proposed in terms of
community support, State/local government consultation, cost-of-living,
out-migration history, housing, and employment availability, welfare
grant levels relative to potential earnings, and quality of life
features, such as school environment and available religious
facilities. Include a description of the sites from which refugees will
be diverted. (25 Points)
3. Appropriateness to the targeted population of the proposed
shift, and strategies to be used to promote stability of placements.
(15 Points)
4. Reasonableness of the budget and adequacy of line item
narrative; coordination of these grant funds with other funds. (15
Points)
5. Adequacy of planning process and reasonableness of anticipated
outcomes. (15 Points)
6. Description of national/local management, including objectives
and outcomes, reporting procedures, data collection and monitoring. (10
Points)
II. Category 2: Unanticipated Arrivals or Increases in Arrivals of
Refugees to Communities where Adequate or Appropriate Services Do Not
Exist
A. Purpose and Scope
The purpose of this program is to enable communities to respond to:
(1) The arrival of new ethnic populations of refugees and entrants in
communities where the existing services system does not have
appropriate bi-lingual capacity, or where the arrivals of such
populations are in communities where refugee services do not presently
exist; or (2) significant increases in arrivals of an already existing
ethnic group where the existing service capacity is not sufficient to
accommodate them. This grant program is intended to provide an
emergency response capability to provide services to unanticipated new
arrivals and arrivals for which the existing services system cannot
respond adequately because available funds are already obligated.
Applications will be accepted only for proposals of service in
communities which have received, or expect to receive, minimally 100 or
more persons annually as an unexpected population to a single local
community. This is a minimum, not a standard. The reasonableness of the
proposal will depend on the number of unanticipated arrivals relative
to the anticipated number. The applicant will need to make the case
that the unanticipated number is significant in the local context.
Applications which do not satisfactorily document all arrivals, both
anticipated and unanticipated, will not be considered.
ORR encourages the formation of coalitions of organizations which
propose to serve the new population(s) jointly, but only one agency may
be designated as grantee, and that agency will be responsible for
administration of the project.
As noted above, grantees should view these resources as a temporary
solution to the challenge of program transition. This grant program is
intended to supplement a State's existing refugee services network by
responding to unmet needs of the new refugee populations, with the
expectation that a State will have incorporated services for these new
populations into their refugee services network, funded by formula
social service dollars, by the end of the grant project period.
B. Eligible Applicants
Public and private non-profit organizations are eligible to apply.
C. Allowable Services
ORR will accept applications under this announcement for the types
of activities generally funded by States under their social services
formula allocation, in accordance with section 412(c)(1) of the
Immigration and Nationality Act for refugee social services. In
general, such service categories are defined as employment services,
language services, and support services. Applications under this
section should contain references to provision of appropriate bi-
lingual and bi-cultural service delivery and the development and
dissemination of appropriate orientation materials. Services provided
by all grantees, whether private or public, must comport with the
regulations at 45 CFR parts 147(b), 150, and 153-156 regarding
eligibility for services, scope of services and priorities for
services.
D. Application Content
1. A description of the applicant agency's qualifications,
including key personnel, to carry out the proposed activities for the
target population to be served.
2. A discussion of the characteristics of the target population and
the needs which cannot be addressed with the refugee program currently
in existence in the community. Include a letter from the sponsoring
national voluntary agency or agencies substantiating that there will be
the unanticipated arrival of at least 100 or more refugees or entrants
from the target population.
3. A Description of the planning process used in developing the
proposal, and the names and roles of the organizations participating in
this process, as well as the roles of all organizations which will be
involved in serving the population.
4. A description of the strategy to be used and services to be
provided. If the proposal was developed by a consortium or other
combination of entities, the role of each must be detailed. The
applicant must describe the specific geographic area(s) and client
group(s). Include a letter from the State verifying that the services
are needed, not currently available and not fundable from existing
resources, and discussing whether the State intends to integrate these
services into the State refugee services network.
5. A description of the anticipated outcomes, including the number
of job placements and 90-day retentions; and the anticipated cases of
welfare avoidance, reductions and terminations.
6. A management plan providing for oversight, monitoring, and
submission of reports.
7. A line-item budget with narrative justification for each line,
including a description of the staffing plan.
E. Application Review Criteria:
Applications in the Unanticipated Arrivals category will be
reviewed, scored, and ranked in accordance with the following criteria:
1. Qualifications of the applicant agency to carry out the proposed
activities for the target population to be served. (15 Points)
2. Adequate discussion of the unique characteristics of the target
population to demonstrate that the applicant understands the
characteristics requiring the additional services. (10 Points)
3. Demonstration that the planning process leading to development
of the proposal was appropriate. (15 Points)
4. Appropriateness of the strategy and operational plan in meeting
the needs of the target population, including joint planning activities
and leveraging of other Refugee Program or mainstream service
providers. (20 Points)
5. Appropriateness of the anticipated outcomes. (15 Points)
6. Adequacy of management plan. (10 points)
7. Appropriateness, cost-effectiveness, and reasonableness of the
budget, including the staffing plan and qualifications of key
personnel. (15 Points)
III. Administrative Requirements
A. Availability of Application Forms
Federal forms necessary for submission of an application, as
described below, are available at most local libraries and
Congressional District Offices for reproduction. If copies are not
available at these sources, they may be obtained by writing or
telephoning the following office: Office of Refugee Resettlement, 370
L'Enfant Promenade SW., Washington, DC. 20447, Telephone: (202) 401-
9251.
B. Application Format and Procedures
Applications for awards under this program announcement must be
submitted on Standard Form (SF) 424 provided for that purpose. Each
application should include one signed original and two additional
copies of the following:
l. The 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, he or she is
certifying that he or she will comply with the Federal requirements
concerning the drug-free workplace and debarment regulations.
2. A completed Budget Information--Non-Construction Programs form
(SF-424A).
3. A signed Assurances--Non-Construction Programs form (SF-424B).
4. A Project Narrative consisting of the elements described under
Category I, Part E, or Category II, Part D, above.
C. Deadlines
1. Applications will be considered to have met the announced
deadline if they are either:
(a) Received on or before the deadline date at the address
specified in this announcement, or
(b) Sent on or before the deadline date and received by the
granting agency, Administration for Children and Families (ACF), in
time for the independent review. (Applicants must be 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 acceptable as proof of timely
mailing.)
2. Applications which do not meet the criteria in paragraph a. of
this section are considered late applications. The ACF shall notify
each late applicant that its application will not be considered in the
current competition.
3. The ACF may extend the deadline for all applicants because of
acts of God such as floods, hurricanes, etc., or when there is a
widespread disruption of the mails. However, if the ACF does not extend
the deadline for all applicants, it may not waive or extend the
deadline for any applicant.
4. Once an application has been submitted, it is considered as
final and no additional materials will be accepted by ORR. An
application with an original signature and two copies is required.
Applications, if mailed, should be addressed to: Administration for
Children and Families, Division of Discretionary Grants, 370 L'Enfant
Promenade, SW, 6th Floor, Washington, DC 20447.
Applications, if hand delivered, should be taken to: Administration
for Children and Families, Division of Discretionary Grants, 901 D
Street SW, 6th Floor, Washington, DC 20447.
IV. Intergovernmental Review
This program is covered by 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.
All States and Territories except Alabama, Alaska, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,
Oklahoma, Oregon, South Dakota, Virginia, Washington, Pennsylvania,
American Samoa and Palau have elected to participate in the Executive
Order process and have established Single Points of Contact (SPOCs).
Applicants from these eighteen jurisdictions need take no action
regarding Executive Order 12372. 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
the program office can obtain and review SPOC comments as 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 424, 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.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 6th Floor,
OFM/DDG, 370 L'Enfant Promenade SW., Washington, DC 20447.
A list of Single Points of Contact for each State and Territory is
included as Appendix A of this announcement.
V. Applicable Regulations
Applicable HHS regulations will be provided to grantees upon award.
VI. Post-Award Requirements--Records and Reports
Grantees are required to file Financial Status (SF-269) on a semi-
annual basis and Program Progress Reports on a quarterly basis. Funds
shall be accounted for and reported upon separately from all other
grant activities. Successful applicants will be given specific
instructions by ORR, following the award of the grant, for reporting
grant performance.
The official recipient of all correspondence is the Division of
Discretionary Grants. The original copy of each report shall be
submitted to the Grants Management Specialist, Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants, 6th Floor, OFM/DDG, 370 L'Enfant Promenade SW.,
Washington, DC 20447. A copy should be sent simultaneously to the
Division of Operations, ORR. The mailing address is: Office of Refugee
Resettlement, Division of Operations, Aerospace Building, Sixth Floor,
370 L'Enfant Promenade, SW., Washington, DC 20447.
The final Financial and Program Progress Reports shall be due 90
days after the project expiration date or termination of grant support.
ORR expects grantees to maintain adequate records to track and
report on project outcomes and expenditures by budget line item.
The following certifications are attached: Drug-Free Workplace,
Debarment, and Anti-Lobbying.
The Catalog of Federal Domestic Assistance (CFDA) number assigned
to this announcement is 93.576.
Dated: May 12, 1994.
Lavinia Limon,
Director, Office of Refugee Resettlement.
Appendix A
Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, ATTN: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix Arizona 85012, Telephone (602) 280-1315
Arkansas
Ms. Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Service, Department of Finance and Administration,
P.O. Box 3278, Little Rock, Arkansas 72203, Telephone (501) 682-1074
California
Mr. Glenn Stober, Grants Coordinator, Office of Planning and
Research, 1400 Tenth Street, Sacramento, California 95814, Telephone
(916) 323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado
80203, Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Mr. Rodney T. Hallman, State Single Point of Contact, Office of
Grants Mgmt and Development, 717 14th Street, N.W., Suite 500,
Washington, D.C. 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8114
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington Street, SW., Room 534A, Atlanta, Georgia 30334,
Telephone (404) 656-3855
Illinois
Mr. Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Ms. Jean S. Blackwell, Budget Director, State Budget Agency, 212
State House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Mr. Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Ms. Karen Arone, State Clearinghouse, Executive Office of
Communities and Development, 100 Cambridge Street, Room 1803,
Boston, Massachusetts 02202, Telephone (617) 727-7001
Michigan
Mr. Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, telephone (601) 949-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attn: Mr. Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffery H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Mr. Gregory W. Adkins, Acting Director, Division of Community
Resources, New Jersey Department of Community Affairs, Trenton, New
Jersey 08625-0803, Telephone (609) 292-6613
Please direct correspondence and questions to:
Andrew J. Jaskolka, State Review Process, Division of Community
Resources, CN 814, Room 609, Trenton, New Jersey 08625-0803,
Telephone (609) 292-9025
New Mexico
Mr. George Elliott, Deputy Director, State Budget Division, Room
190, Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Mr. Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to:
Review Coordinator, Office of Strategic Planning
South Carolina
Omeagia Burgees, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN: Ms.
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building, 109 State Street,
109 State Street, Montpelier, Vermont 05602, Telephone (802) 828-
3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations Office, Wisconsin
Department of Administration, 101 South Webster Street, P.O. Box
7864, Milwaukee, Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Ms. Sheryl Jeffries, State Single Point of Contact, Herachler
Building, 4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone
(307) 777-7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose E. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, No. 41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to:
Ms. Linda Clarke, Telephone (809) 774-0750
BILLING CODE 4184-01-P
TN18MY94.008
BILLING CODE 4184-01-C
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit 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 be submitted as part of the application.)
BILLING CODE 4184-01-P
TN18MY94.009
TN18MY94.010
BILLING CODE 4184-01-C
Instruction for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project, except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity of 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
program.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Column (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.
Lines 6 a-i--Show that totals of Liens 6A to 6H in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal-Resources
Line 8-11--Enter Enter amounts of non-Federal resources that
will be used on the grant. If in-kind contributions are included,
provide a brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and inkind 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
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 time.
Section F. Other Budget Information
Line 21--Enter Use this space to explain amounts for individual
direct object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanation or comments deemed
necessary.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 517 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
patients records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974) 16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
Date Submitted--------------------------------------------------------
BILLING CODE 4184-01-P
TN18MY94.011
TN18MY94.012
BILLING CODE 4184-01-C
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined
as the primary participant in accordance with 45 CFR Part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) have not within a 3-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 or otherwise criminally or
civilly charged by a governmental entity (Federal, State of local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) 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.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction.'' provided below without
modification in all lower tier covered transactions and in all
solicitation for lower tier covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tire Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR Part 76,
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 from
participation in this transaction by any federal department or
agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion--Lower Tier Covered Transactions.'' without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
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[FR Doc. 94-12027 Filed 5-17-94; 8:45 am]
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ILLING CODE 4184-01-C
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Agency For Health Care Policy and Research
Requests for Nominations of Members of Clinical Practice
Guideline Panel on Prevention of Osteoporosis
The Agency for Health Care Policy and Research (AHCPR) has
announced a request for proposals and intends to award a contract to a
non-profit organization to develop a clinical practice guideline and to
develop related medical review criteria, standards of quality, and
performance measures for Prevention of Osteoporosis. The contractor
will establish a panel of health care experts and consumers to assist
in developing a clinical practice guideline on Prevention of
Osteoporosis and to assist in developing medical review criteria,
standards of quality, and performance measures. The AHCPR, on behalf of
the contractor, invites nominations of qualified individuals to serve
as chairperson(s) and members of the panel.
Background
The Omnibus Budget Reconciliation Act of 1989 (Pub. L. 101-239)
added a new title IX to the Public Health Service Act (the Act), which
established the Agency for Health Care Policy and Research (AHCPR) to
enhance the quality, appropriateness, and effectiveness of health care
services, and access to such services. (See 42 U.S.C. 299-299c-6 and
1320b-12.) The Agency for Health Care Policy and Research
Reauthorization Act of 1992 (Pub. L. 102-410), enacted on October 13,
1992, extended the authorization of AHCPR and amended certain
provisions related to the development of clinical practice guidelines.
In keeping with its legislative mandates, AHCPR is arranging for the
development, periodic review, and updating of clinically relevant
guidelines that may be used by physicians, other health care
practitioners, educators, and consumers to assist in determining how
diseases, disorders, and other health conditions can most effectively
and appropriately be prevented, diagnosed, treated, and clinically
managed. Medical review criteria, standards of quality, and performance
measures are then developed based on the guidelines produced.
Section 912 of the Act (42 U.S.C. 299b-1(b)), as amended by Public
Law 102-410, requires that the guidelines:
1. Be based on the best available research and professional
judgment;
2. Be presented in formats appropriate for use by physicians, other
health care practitioners, medical educators, medical review
organizations, and consumers;
3. Be presented in treatment-specific or condition specific forms
appropriate for use in clinical practice, educational programs, and
reviewing quality and appropriateness of medical care;
4. Include information on the risks and benefits of alternative
strategies for prevention, diagnosis, treatment, and management of the
particular health condition(s); and
5. Include information on the costs of alternative strategies for
prevention, diagnosis, treatment, and management of the particular
health condition(s), where cost information is available and reliable.
Section 913 of the Act (42 U.S.C. 299b-2) describes two mechanisms
through which AHCPR may arrange for development of guidelines:
1. Panels of qualified experts and health care consumers may be
convened; and
2. Contracts may be awarded to public and private non-profit
organizations. The AHCPR has elected to use the contract process for
development of a clinical practice guideline for Prevention of
Osteoporosis.
Section 914 of the Act (42 U.S.C. 299b-3(a)), as amended by Public
Law 102-410, identifies factors to be considered in establishing
priorities for guidelines, including the extent to which the guidelines
would:
1. Improve methods for disease prevention;
2. Improve methods of diagnosis, treatment, and clinical
management, and thereby benefit a significant number of individuals;
3. Reduce clinically significant variations among clinicians in the
particular services and procedures utilized in making diagnoses and
providing treatments; and
4. Reduce clinically significant variations in the outcomes of
health care services and procedures.
Also, in accordance with title IX of the PHS Act and section 1142
of the Social Security Act, the AHCPR Administrator is to assure that
the needs and priorities of the Medicare program are reflected
appropriately in the agenda and priorities for development of
guidelines.
Panel Nominations
The panel that will assist the contractor in developing the
clinical practice guideline for Prevention of Osteoporosis will consist
of two co-chairpersons and ten to fifteen other members. The work will
be divided into two phases. Phase I is development of the clinical
practice guideline. Phase II is development of medical review criteria,
standards of quality, and performance measures based on the guideline.
The role of the panel members is to assist the contractor to:
develop a decisionmaking process; determine the focus of the guideline
and the questions to be addressed; advise and monitor the review and
analysis of the scientific literature; consider and advise on principal
health care issues; monitor and provide counsel on development of
medical review criteria, standards of quality, and performance
measures; and review and approve the interim and final drafts of the
different versions of the guideline. The co-chairpersons will provide
leadership in carrying out these roles.
To assist in identifying members for the panel, AHCPR is requesting
recommendations from a broad range of interested individuals and
organizations, including physicians representing primary care and
relevant specialties, physicians' assistants, nurses, nurse
practitioners, pharmacists, allied health and other health care
practitioners, health care institutions, and consumers with pertinent
experience or information. In making panel selections, AHCPR will
maintain, to the extent possible, a balance of individuals selected
from academic settings and individuals selected without full-time
academic appointments. At least two members of this panel shall be
individuals who do not derive their primary source of revenue directly
from the performance of procedures discussed in this guideline. Some
participants in the guideline process (panel members, consultants, peer
or pilot reviewers) should have expertise in epidemiology, health
services research, or health economics, and familiarity with the
clinical condition being studied. To the extent possible, the panel
should have appropriate representation in terms of gender, minority
populations, and geographic areas of the United States.
The AHCPR is especially interested in receiving nominations of
individuals with:
(1) Experience in developing and/or commitment to developing
clinical guidelines, medical review criteria, standards of quality, and
performance measures;
(2) Relevant training and clinical experience;
(3) Relevant experience in basic and/or clinical research in
prevention of osteoporosis, including publication of relevant peer-
reviewed articles;
(4) Demonstrated interest in quality of care, medical outcomes, and
medical effectiveness;
(5) Knowledge of the epidemiology of prevention of osteoporosis;
(6) Experience in health services research or health economics,
with expertise in the areas of prevention of osteoporosis; and
(7) Personal experience of prevention of osteoporosis, either as a
patient, family member, or friend of a patient, or as a person who
actively works with consumer groups interested in prevention of
osteoporosis. The AHCPR encourages nominations of women and individuals
who are members of minority population groups. Nominees should have no
substantial financial interests or professional affiliations that would
significantly jeopardize the integrity of the guideline development
process or the final products.
This notice requests nominations of qualified individuals to serve
on the panel as members or as co-chairpersons. The functions of the
panel co-chairpersons are critical to the process of developing
guidelines. Co-chairpersons provide leadership regarding methodology,
literature review, panel deliberations, and preparation of the final
products. Nominations for co-chairpersons should take into
consideration the criteria specified below, which AHCPR will use in
approving final selections:
Relevant training and clinical experience;
Demonstrated interest in quality assurance and research on
the clinical condition(s) under consideration and the related treatment
of the condition(s), including publication of relevant peer-reviewed
articles;
Commitment to the need to produce clinical practice
guidelines;
Recognition in the field with a record of leadership in
relevant activities;
Broad public health view of the utility of particular
procedures or clinical services;
Demonstrated capacity to respond to consumer concerns;
Prior experience in developing guidelines for the clinical
condition in question; and
No substantial financial interests or professional
affiliations that would significantly impair the scientific integrity
of the guidelines or final products.
Subsequent to approval by AHCPR, the contractor will appoint the
panel co-chairpersons. After the panel co-chairpersons have been
appointed, nominations for members of the panel will be reviewed by the
contractor and the co-chairpersons, prior to proposing panel members to
AHCPR. Following AHCPR review and approval of proposed members'
qualifications, review of the overall composition of the panel to
ensure representation of a range of expertise and experience, and
review of potential conflict of interest, the contractor will appoint
panel members.
Nominations should indicate whether the individual is being
recommended to serve on the panel as a co-chairperson or as a member.
Each nomination must include two copies of the individual's curriculum
vitae or resume, and two copies of a letter of nomination with a
statement of the rationale for the specific nomination.
To be considered, nominations must be received by June 15, 1994 at
the following address: Jean R. Slutsky, Project Officer, Office of the
Forum for Quality and Effectiveness in Health Care, Agency for Health
Care Policy and Research, Willco Building, 6000 Executive Boulevard,
suite 310, Rockville, MD 20852, Phone: (301) 594-4015, Fax: (301) 594-
4027.
For Additional Information: Additional information on the guideline
development process is contained in the AHCPR Program Note, ``Clinical
Practice Guideline Development,'' dated August 1993. This document
describes AHCPR's activities with respect to clinical practice
guidelines, including the process and criteria for selecting panels.
This document may be obtained from the AHCPR Publications
Clearinghouse, P.O. Box 8547, Silver Spring, MD 20907; or call Toll-
Free: 1-800-358-9295.
Information may also be obtained by contacting Carole Hudgings,
Ph.D., Acting Director, Office of the Forum for Quality and
Effectiveness in Health Care, Agency for Health Care Policy and
Research, Willco Building, 6000 Executive Blvd, suite 310, Rockville,
MD. 20852. Information about this contract, RFP No. 282-94-2013, may be
obtained from Margaret S. Roseman, Division of Acquisition Management,
Government Acquisition Branch, room 5-101, Parklawn Bldg., 5600 Fishers
Lane, Rockville, MD 20857, (301)443-2475.
Requests for copies of the contract solicitation may be transmitted
by facsimile to 301-443-3238.
Dated: May 10, 1994.
Linda K. Demlo,
Acting Administrator.
[FR Doc. 94-12033 Filed 5-17-94; 8:45 am]
BILLING CODE 4160-90-P
