[Federal Register Volume 62, Number 102 (Wednesday, May 28, 1997)]
[Notices]
[Pages 28864-28884]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13922]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. OPRE-97-1]
Availability of Funds and Requests for Applications for Welfare
Reform Studies and Analyses
AGENCY: Office of Planning, Research, and Evaluation; ACF; DHHS.
ACTION: Announcement of the availability of funds and requests for
applications for welfare reform studies and analyses (OPRE-97-1).
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SUMMARY: The Administration for Children and Families (ACF) announces
that competing applications are being accepted for funding to stimulate
research and support a wide range of studies and analyses of varied
aspects of welfare program changes at the national, state and local
levels. This research will address the effects of welfare reform
changes on families and children; the experiences of states and
localities involved in implementing changes; or the experiences,
responses and impacts on other entities or programs involved in
implementing changes. Organizations eligible to apply for this Federal
funding include public entities; private for-profit organizations (if
fee is waived); and public or private nonprofit organizations,
including universities. Federal funding under this announcement is
intended to support research analysis and evaluation exclusively, not
program operation or service provision. Projects funded under this
announcement are intended to complement other aspects of the ACF
research strategy for welfare reform evaluation and study. Funding
under this announcement is intended to stimulate research and support a
wide range of studies or components of studies and analyses of welfare
program changes brought about by the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996, and specifically the Temporary
Assistance to Needy Families (TANF) program. Subject to the
availability, funding under this announcement is authorized by section
1110 of the Social Security Act governing Social Services Research and
Demonstration activities (Catalog of Federal Domestic Assistance
93.647) and is intended to support research analysis and evaluation,
not program operation or service provision. ACF anticipates providing
up to $1.95 million for the total group of approved projects in FY 1997
and up to $750,000 in FY 1998, subject to the availability of funds in
each year, and a like amount in succeeding years. We estimate that this
level of funding will support 4 to 8 separate projects under this
announcement in FY 1997.
CLOSING DATE: The closing date for submission of applications is July
28, 1997. Mailed applications postmarked after the closing date will be
classified as late.
MAILING ADDRESS: Lois B. Hodge, Administration for Children and
Families, Division of Discretionary Grants--Room 6C-462, 370 L'Enfant
Promenade, S.W., Washington, D.C. 20447.
For hand delivered applications or applications sent via over-night
mail services, use: ACF MAIL ROOM--2nd floor. Attn: Lois B. Hodge,
Administration for Children and Families, Division of Discretionary
Grants, 901 D Street, S.W., Washington, D.C. 20024
FOR FURTHER INFORMATION CONTACT: Administration for Children and
Families; Office of Planning, Research and Evaluation, 370 L'Enfant
Promenade, S.W., Washington, DC 20447.
Nancye Campbell (202) 401-5760
Mark Fucello (202) 401-4538
Overview
The Personal Responsibility and Work Opportunity Reconciliation Act
of 1996 brings historic changes to state control over the design of
Federally funded public assistance under title IV-A of the Social
Security Act as well as changes regarding how states choose to delegate
decisions and administrative control to local agencies and authorities.
These changes create the need to explore a broad array of issues to
understand the effects on families and the varied institutions involved
and to document programs and initiatives put in place to encourage and
support self-sufficiency among welfare recipients.
ACF's national strategy for welfare reform research and evaluation
is multi-faceted, including initiatives such as the State Welfare
Reform Evaluation projects, the Child Care Research Partnership
projects, the Project on State-Level Child Outcomes, the National
Longitudinal Study of Children and Families in the Child Welfare
System, and Departmental collaborations on topics such as employment
stability and immigration and public assistance. The purpose of this
announcement is to stimulate research and augment ongoing studies that
are consistent with ACF's multi-faceted strategy and address areas not
adequately covered by other projects in our welfare reform research and
evaluation agenda. While we have identified some specific areas of
interest to ACF within this announcement, researchers are encouraged to
submit their own ideas and rationale for potential topics. This broad
approach will assist ACF in continuing to develop research questions
pertinent to welfare reform programs and policies and to fund projects
that offer the most promise to adequately address such questions.
Currently, there is a great deal of activity in research institutes
and firms,
[[Page 28865]]
universities, and philanthropic foundations focused on various aspects
of the changes occurring in state and local design of welfare programs.
ACF is interested in partnering with such entities and providing
support to enhance or expand studies by other funders as well as to
provide full support for a range of studies or projects that address
some of the most critical questions about outcomes for families and
children, program design and implementation at various levels, and
program management in the new public assistance environment.
With the changes brought about by enactment of the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996, and in
particular the provisions of the Temporary Assistance to Needy Families
(TANF) program, it will be extremely important to policy makers and
program administrators at all levels of government to fully understand
how programs are implemented, how the culture of welfare offices is
changing, how children and families are progressing under new rules and
requirements, how specific subgroups or populations are affected, and
whether policies and services are effective. Well-executed
implementation analyses are important to providing early feedback on
the new flexibility accorded to States under TANF as are illustrations
of the changing culture of local public assistance offices brought
about by TANF. Likewise, the implementation of Tribal TANF programs
should be assessed to provide needed feedback. ACF is interested in
supporting studies of this type.
We have special interest in studies that aim to understand and
monitor family and child well-being, to complement the work being done
as part of the Project on State-Level Child Outcomes, because such
studies will be critical to increasing knowledge and measuring the
success of reforms on family economic independence and child well-
being. We encourage additional projects focusing on child outcomes.
Further, analyses that can illustrate and examine outcomes for children
and families will be needed to answer the array of questions presented
about TANF's effects on family self-sufficiency and child well-being.
Understanding the complex issues surrounding the relationship
between employment stability and child care is a necessary aspect of
measuring the effects of reforms. To supplement the projects to be
funded under the ACF Child Care Research Partnership program
announcement, analyses that focus on the relationship between child
care and employment, including quality of care and associated child
development and well-being, are important.
While State-level evaluations of welfare reform begun under waiver
authority and supported through ACF's State Welfare Reform Evaluation
initiative will provide very useful information, additional analyses
that examine changes resulting from TANF across a spectrum of
environments (e.g., neighborhoods, communities, political subdivisions,
public and other institutions, service providers) are needed to
understand the breadth and scope of welfare reform that is being
undertaken and its effects on other entities and programs.
As an important part of ACF's national strategy for welfare reform
evaluation and analysis, we intend to fund projects through this
announcement to address questions not adequately addressed elsewhere in
other ACF research and evaluation projects, such as those noted above.
Under this announcement we expect to fund a varied group of projects
that complement those efforts and provide information on program
implementation, address a range of program and policy questions of
importance to states, the Federal government and the general public,
and examine family and child well-being.
This program announcement consists of three parts. Part I describes
the activities supported by this announcement and application
requirements. Part II describes the application review process. Part
III provides information and instructions for the development and
submission of applications. The forms to be used for submitting an
application follow Part III.
Part I--Project Purpose and Design
Purpose
The primary purpose of this announcement is to stimulate research
to further ACF's national strategy for welfare reform evaluation and
analysis by supporting short-term and multi-year studies and
evaluations (or components of such projects) to document and examine
the experience of state or local agencies in implementing welfare
reform and to better understand the effects of welfare reform on low-
income children and families. A wide range of well-designed studies and
evaluations will be considered under this announcement. We may provide
principal or possibly sole funding for short-term, small-scale
projects, such as process studies to provide rapid feedback on TANF
implementation or the implementation of programs or services aimed at
assisting families to obtain employment or respond to other aspects of
welfare reform.
Through the short-term studies, we are particularly interested in
obtaining information about the implementation and effects of
innovative initiatives to help welfare families become self-sufficient
but the study of other topics will also be considered. Through the
multi-year projects, we are primarily interested in supporting
supplements or enhancements to existing studies funded by others in
order to address important questions regarding agencies, communities,
and low-income families and children affected by welfare reform which
may not otherwise be included in an existing study. ACF will also
consider fully funding multi-year studies subject to the availability
of funds and agency research priorities; however, we do not expect to
provide full funding for large-scale, multi-year impact studies.
The studies may be descriptive in nature, collecting and reporting
on information about the characteristics of individuals and
organizations involved with and affected by welfare reform. They may
examine the effects of specific welfare reform policies (e.g., work
requirements or time limits) or address a broad range of welfare reform
issues and outcomes. They may be focused on specific geographic areas
or include multiple sites. They may document the effects of welfare
reform over time at various levels (e.g, national, state, local,
community, family and individual) or provide a quick report on the
early stages and effects of reform initiatives.
ACF's interests in TANF implementation (at the state, local, and
Tribal levels); child and family outcomes and well-being; and welfare
office culture change are not the only research topics for which
funding will be provided under this announcement. We invite a broad
response to this announcement for well-designed studies which can be
expected to add significantly to the research knowledge base. We wish
to partner with those supporting well-designed evaluations or analyses
which are currently planned or under way in the research and evaluation
community so that we may consider funding types of studies that expand
the agenda we have outlined here.
Project Design
As discussed above, funding under this announcement is expected to
be used to support studies and evaluations which differ from one
another in focus,
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scope and scale. State and local welfare agencies, policy makers, and
the general public will benefit greatly from a very broad range of
different types of public assistance research projects. For that reason
ACF does not prescribe here specific research or evaluation designs,
but rather we invite varied approaches to advance understanding of
welfare reform and child and family functioning. While the research
methods for studies submitted may differ, they must be well designed
and the project's methods must be adequate and appropriate to address
the questions identified for the study. As discussed in the Review
Criteria section below, applicants must have experience and a proven
track record in conducting studies of the scope and scale proposed. In
making decisions, ACF will consider an applicant organization's
experience as well as the experience and qualifications of researchers
and staff.
As indicated above, we expect to support projects which address
different and varied issue areas. Below are some general topics of
interest to ACF which are intended to be illustrative only. We invite
and expect proposals focused on other issue areas as well.
We are interested in answering questions related to the public
assistance programs put in place, the agencies operating the programs
and changes in their organizational culture, the community environment
and the participants and families involved.
Important questions need to be addressed regarding time limits as
they relate to organizational entities and to individuals and families.
From a state/local agency perspective, a study might seek to understand
what state/local welfare agencies are doing to assist families subject
to time limits to gain adequate employment before losing their cash
benefits or how the provisions are being implemented and explained at
the worker level. It is important to understand the implications and
effects of the time limit on other service providers and other service
delivery systems. And it is critically important to examine the
response of individuals to the time limits and the effects on families
and children.
Issues surrounding work are critically important and many important
questions exist. These might include questions regarding the operation
and effects of policies to move recipients into jobs and help them
retain employment, policies to increase employment through linkages or
subsidies to employers, and policies intended to effect behavior such
as sanctions and disregards.
In addition, other issues related to employment such as supportive
services and service coordination are important topics. How are
critical aspects of child care being addressed in different programs?
Are child care supply and demand, accessibility, costs, and quality
factors in supporting families' entry into the work force?
ACF is interested in studies that address important questions about
the progress of individuals with special needs. There is a strong need
to develop and study models for addressing domestic violence within
welfare families. ACF is interested in helping to provide credible
information about promising service approaches and strategies in this
area.
With requirements to move TANF recipients into the unsubsidized
labor force, many programs may exempt individuals with disabilities or
their parents from mandatory work and training activity or other
program requirements. The result could be that these individuals would
lose the opportunity to become self-sufficient and the public
assistance community would miss an opportunity to learn how to improve
services to disabled recipients and children to better enable families
to move toward productive work. ACF is interested in building on the
current knowledge about how to assist and integrate families with
disabled people into the work force and help them confront obstacles to
self-sufficiency.
Under TANF, many teen parents will require alternate adult-
supervised living arrangements (e.g. Second Chance Homes) and other
services when they cannot live at home. Analysis and evaluation of
transitioning into independent living arrangements will be necessary to
the success of welfare reform for these young parents at risk. Analysis
and evaluation of programs and policies focused on school attendance
requirements and successful transition from school to work are also
needed.
Another issue area that should be addressed concerns innovative
service delivery systems or methods (e.g., home visiting; neighborhood
saturation via linkages and collaborations among multiple agencies; and
integrated service delivery systems). In addition, questions about
improving the material, emotional, and developmental well-being of
children via fathers' role in children's and families' lives are also
important.
Further, it is important to understand how local jurisdictions,
Tribal organizations, and welfare offices have responded to different
state approaches to implementing TANF, including how differences in
implementation may affect family outcomes. This may include issues
related to changes in the culture of welfare offices in response to
TANF, family outcomes in special jurisdictions such as reservations,
and changes in the management of program components under TANF now
operated by different providers, including Tribes, or sectors of the
community (e.g., public, for-profit contractor, non-profit service
providers).
These topics are illustrative of some of the areas of interest to
ACF and are consistent with its overall welfare reform research and
evaluation agenda. This announcement seeks to stimulate sound research,
evaluation and study of a wide range of topical areas related to
welfare reform and a variety of study designs that aim to answer
different sorts of questions about policy, service management and
delivery, and outcomes for family and child well-being. ACF's purpose
is to further its welfare reform research and evaluation agenda by
supplementing and complementing other research projects through this
announcement by providing sole funding in some cases and by entering
into partnerships in other cases with local and national public and
private funders.
Eligible Applicants
Organizations eligible to apply for financial assistance under this
announcement include public entities; private for-profit organizations
(if fee is waived); and public or private nonprofit organizations,
including universities. Any nonprofit organization submitting an
application must submit proof of its nonprofit status in its
application at the time of submission. The nonprofit agency can
accomplish this by providing a copy of the applicant's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in Section 501(c)(3) of the IRS code or by
providing a copy of the currently valid IRS tax exemption certificate,
or by providing a copy of the articles of incorporation bearing the
seal of the State in which the corporation or association is domiciled.
While a variety of organizations and entities are eligible to apply
for funding under this announcement, potential applicants should
carefully review the Review Criteria in Part II to determine that they
meet the requirements for experience and expertise for conducting
rigorous, well-designed evaluations and studies of the type and scope
discussed herein. Applicants are reminded that funding under this
announcement is not
[[Page 28867]]
available to support programs or service provision but rather research
and evaluation.
Funding Instruments--Grants and Cooperative Agreements
ACF will issue the Financial Assistance Awards under this agreement
as either grants or cooperative agreements. Cooperative agreements will
be the instrument used to make awards when the amount of Federal
involvement that is anticipated by ACF for a particular project is
greater than is required and allowed under a grant. Cooperative
agreements will be documents which outline the terms of ACF's
involvement as well as the responsibilities of the recipient
organization or agency. For example, multi-year awards may begin as
cooperative agreements in the first year and may be converted to grants
after recipients' capabilities have been established or a grant could
be converted to a cooperative agreement when developments in a
particular project call for greater ACF involvement.
Funding
ACF anticipates providing up to $1.95 million for the total group
of approved projects in FY 1997, subject to the availability of funds.
All grants and cooperative agreements will be awarded by September 30,
1997. ACF anticipates providing up to $750,000 in FY 1998, subject to
the availability of funds, and like amounts in succeeding years. We
estimate that this level of funding will support 4 to 8 separate
projects under this announcement in FY 1997 (some of which will be
parts of other, larger work). Federal funding under this announcement
is intended to support research analysis and evaluation, not program
operation or service provision.
As indicated, ACF anticipates funding both short-term projects and
longer-term studies. In Federal FY 1997 recipients of multi-year awards
may be approved for project periods of up to 60 months and will receive
an initial Financial Assistance Award for a budget period of 12 months.
Multi-year project recipients will be allowed to apply for additional
funding in FY 1998 and subsequent years within the overall project
period on a non-competitive basis.
We also encourage short-term projects which can provide useful and
timely information to program administrators, e.g., implementation
analysis. For these studies, we expect to make one-time awards for
project and budget periods of 17 months. Applicants who are seeking
funds to support short-term studies will be expected to complete the
work within a maximum of 17 months. Studies which cannot be completed
within that time frame will be considered for multi-year awards as
described above.
We may provide sole funding for projects, provide principal
funding, or support only individual components of projects which have
other funders. The latter types of applications (i.e., those with other
funding sources) should include an overview of the funding sources for
all components of the project in addition to the Federal budget
requirements detailed in Section III of this announcement.
Further, to maximize the benefit of the Federal investment to
advance knowledge about welfare reform, ACF may give preference to
applicants who provide evidence of other sources of funding for the
project (e.g., applicant resources or private foundation funding). The
applicant should describe the level, sources, and duration of non-
Federal funds or resources committed to the project. Do not, however,
list these funds on the budget forms SF 424 and SF 424A described in
section III of this announcement. Those forms are for listing only the
Federal funds requested under this announcement. There is no non-
Federal matching requirement for this announcement; however, recipients
will be held accountable for any non-Federal share listed on the SF
424A and the Financial Assistance Award. For this reason, it is
important that applicants who provide evidence of other sources of
funding for the project do not list these sources on the SF 424A.
Part II--The Review Process
A. Review Process and Funding Decisions
Timely applications from eligible applicants will be reviewed and
scored competitively. Reviewers will use the evaluation criteria listed
below to review and score the application.
In addition, ACF may refer applications for review to other Federal
or non-Federal entities when it is determined to be in the best
interest of the Federal Government or the applicant. It may also
solicit comments from ACF Regional Office staff, other Federal
agencies, and, if determined to be appropriate, interested foundations
and national organizations. These comments along with those of the
reviewers will be considered by ACF in making the funding decision.
In making award decisions, ACF will aim to fund a group of studies
that together address a wide range of questions of the greatest
importance to states, the Federal government, and the general public.
In order to ensure that a wide array of questions, topics, and policy
issues will be addressed through projects funded under this
announcement, in making the final selections, in addition to the review
criteria identified below, ACF may consider additional factors
including geographic diversity, racial/ethnic populations served,
opportunities to analyze particular sub-groups of the public assistance
population, and the particular TANF provisions under examination.
Further, as noted under Funding above, to maximize the benefit of
the Federal investment to stimulate research and advance knowledge
about welfare reform, ACF may give preference to applicants who provide
evidence of other sources of funding for the project (e.g., applicant
resources or private foundation funding).
Disposition of Applications
On the basis of the review of an application, ACF will: (a) Approve
the application for funding; or (b) disapprove the application; or (c)
approve the application but not fund it for such reasons as a lack of
funds or a need for further review.
B. Evaluation Criteria
Using the evaluation criteria below, reviewers will review and
score each application. Reviewers will determine the strengths and
weaknesses of each application in terms of the appropriate evaluation
criteria listed below, provide comments, and assign numerical scores.
The point value following each criterion heading indicates the maximum
numerical weight that each criterion may be given in the review
process.
(1) Organizational Experience, Skills, and Responsibilities
(25 points) The application should provide evidence of the
organization's experience in conducting the sort of research analysis
proposed. This experience should include background in research on
populations receiving public assistance, i.e., title IV-A program
benefits, Food Stamps, Medicaid, employment and training program
systems, child care subsidies, etc. The application should list key
individuals who will work on the project, including all professional
staff and (if known) any contractor staff, along with a short
description of the nature of their contribution and relevant staff
experience.
If more than one agency or organization will conduct the study, the
application should identify the
[[Page 28868]]
managing organization (i.e., the entity applying for the Financial
Assistance Award) as well as other organizations involved. The
application should address each organization's experience with regard
to this criterion.
If the research is to be conducted in specific sites or with
specific organizations, evidence of commitment by appropriate entities
to participate fully, as defined by the project design, to support the
requirements of the research (e.g., provide data, participate in
interviews) must be included in the application.
(2) Research Questions: (25 points) The application must include
the principal questions to be addressed by the study and the research
hypotheses related to those questions, if appropriate. If the
application to ACF is for funding of a particular component of a larger
study, the applicant should describe the objective of the entire study
and explain in detail the questions to be addressed by the activities
for which ACF funding is requested. The application will be judged on
the extent to which the questions identified include important
unanswered questions regarding welfare reform or address areas in which
additional information is most critically needed.
(3) Project Design: (40 points) The application should describe in
detail the project's methods for answering the research questions
proposed. Explain why the methods proposed are adequate to address the
research questions. Note any weaknesses in the proposed research design
and what will be done to compensate for those weaknesses. The
application will be judged on the extent to which the evaluation
project design (i.e., methods) proposed is adequate and appropriate to
measure the key outcomes identified and answer the research questions
posed in the application.
(4) Budget Appropriateness: (10 points) The application should
include a narrative justification for budget items and demonstrate that
the project's costs are reasonable and necessary to support the
specific project design and evaluation methods proposed and in view of
the anticipated results and benefits. Applicants should refer to the
budget information presented in the Standard Forms 424 and 424A.
Part III--Instructions for the Development and Submission of
Applications
This part contains information and instructions for submitting
applications in response to this announcement. The forms to be used for
submitting an application follow this part. Please reproduce single-
sided copies of the forms and type your information onto the copies. Do
not use forms directly from the Federal Register announcement, as they
are printed on both sides of the page.
The SF-424 and the SF-424A are available in .PDF file format at
http://mercury.psc.dhhs.gov/forms/sforms.htm They are also available
through FTP at ftp://aosftp.psc.dhhs.gov/pub/forms/sf/
This part concludes with a checklist for assembling an application
package.
A. Deadline for Submittal of Applications
The closing date for submission of applications is July 28, 1997.
Mailed applications postmarked after the closing date will be
classified as late.
Deadline
Mailed applications shall be considered as meeting an announced
deadline if they are either received on or before the deadline date or
sent on or before the deadline date and received by ACF in time for the
independent review to: U.S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants and Audit Resolution, Attention: Lois B. Hodge, 370 L'Enfant
Promenade, S.W., Mail Stop 6C-462, Washington, D.C. 20447.
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). 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 handcarried by applicants, applicant couriers, or by
other representatives of the applicant shall be considered as meeting
an announced deadline if they are received on or before the deadline
date, between the hours of 8:00 a.m. and 4:30 p.m., EST, at the U.S.
Department of Health and Human Services, Administration for Children
and Families, Division of Discretionary Grants and Audit Resolution,
ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D Street,
S.W., Washington, D.C. 20024, between Monday and Friday (excluding
Federal holidays). The address must appear on the envelope/package
containing the application with the note ``Attention: Lois B. Hodge.
(Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late Applications
Applications which do not meet the criteria above are considered
late applications. ACF shall notify each late applicant that its
application will not be considered in the current competition.
Extension of Deadlines
ACF may extend the deadline for all applicants because of acts of
God such as floods and hurricanes, widespread disruption of the mails,
or when it is anticipated that many of the applications will come from
rural or remote areas. However, if ACF does not extend the deadline for
all applicants, it may not waive or extend the deadline for any
applicants.
B. Instructions for Preparing the Application
In order to assist applicants in completing the application, the
Standard Forms 424 and 424A and required certifications have been
included at the end of Part III of this announcement. Please prepare
your application in accordance with the following instructions:
1. SF 424 Page 1, Application Cover Sheet
Please read the following instructions before completing the
application cover sheet. An explanation of each item is included.
Complete only the items specified.
Item 1. ``Type of Submission''--Non-Construction.
Item 2. ``Date Submitted'' and ``Applicant Identifier''--Date
application is submitted to ACF and applicant's own internal control
number, if applicable.
Item 3. ``Date Received By State''--State use only (if applicable).
Item 4. ``Date Received by Federal Agency''--Leave blank.
Item 5. ``Applicant Information'' ``Legal Name''--Enter the legal
name of applicant organization. For applications developed jointly,
enter the name of the lead organization only. There must be a single
applicant for each application. The applicant identified will be the
entity to which an award under this
[[Page 28869]]
announcement will be issued, if the application is approved.
``Organizational Unit''--Enter the name of the primary unit within
the applicant organization which will actually carry out the project
activity. If this is the same as the applicant organization, leave the
organizational unit blank.
``Address''--Enter the complete address that the organization
actually uses to receive mail, since this is the address to which all
correspondence will be sent. Do not include both street address and
P.O. box number unless both must be used in mailing.
``Name and telephone number of the person to be contacted on
matters involving this application (give area code)''--Enter the full
name and telephone number of a person who can respond to questions
about the application. This person should be accessible at the address
given.
Item 6. ``Employer Identification Number (EIN)''--Enter the
employer identification number of the applicant organization, as
assigned by the Internal Revenue Service, including, if known, the
Central Registry System suffix.
Item 7. ``Type of Applicant''--Self-explanatory.
Item 8. ``Type of Application''--New
Item 9. ``Name of Federal Agency''--DHHS/ACF
Item 10. ``Catalog of Federal Domestic Assistance Number''--93.647
Item 11. ``Descriptive Title of Applicant's Project''--Welfare
Reform Studies and Analyses--OPRE 97-1
Item 12. ``Areas Affected by Project''--Self-explanatory
Item 13. ``Proposed Project''--Enter the proposed start date for
the project and projected completion date. (Note: it is likely that
most awards will not be made prior to September 1, 1997 and all project
start dates must be within Federal fiscal year 1997 (i.e., before
September 30, 1997).
Item 14. ``Congressional District of Applicant/Project''--Enter the
number of the Congressional district where the applicant's principal
office is located.
Items 15 ``Estimated Funding Levels''--
In completing item 15, enter only the dollar amount of Federal
funds requested for the first 12 months of the award in box 15a. Note:
if applicant is applying for a one-time, short-term study, the amount
of Federal funds requested for the full period, up to a maximum of 17
months, should be entered in 15a. Boxes 15b, 15c, 15d, 15e and 15f
should be left blank. Box 15g should equal the amount listed in box
15a.
The amount listed in 15a should be no greater than the maximum
amount available under this announcement for the initial 12-month
budget period or for short-term studies, for the full project period,
up to the maximum 17 month period.
The total Federal budget proposed, as listed in 15a and 15g, should
be inclusive of any indirect costs.
Item 16. ``Is Application Subject to Review By State Executive
Order 12372 Process?''
Check ``No.'' We have determined that this program announcement is
not subject to Executive Order 12372, Intergovernmental Review of
Federal Programs, because it is a program that is national in scope and
does not directly affect State and local governments. Applicants are
not required to seek intergovernmental review of their applications
within the constraints of E.O. No 12372.
Item 17. ``Is the Applicant Delinquent on any Federal Debt?''--
Check the appropriate box. This question applies to the applicant
organization, not the person who signs as the authorized
representative. Categories of debt include audit disallowances, loans
and taxes.
Item 18. ``To the best of my knowledge and belief, all data in this
application/preapplication are true and correct. The document has been
duly authorized by the governing body of the applicant and the
applicant will comply with the attached assurances if the assistance is
awarded.''--To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for signature
of this application by this individual as the official representative
must be on file in the applicant's office, and may be requested from
the applicant.
Item 18a-c. ``Typed Name of Authorized Representative, Title,
Telephone Number''--Enter the name, title and telephone number of the
authorized representative of the applicant organization.
Item 18d. ``Signature of Authorized Representative''--Signature of
the authorized representative named in Item 18a. At least one copy of
the application must have an original signature.
Item 18e. ``Date Signed''--Enter the date the application was
signed by the authorized representative.
2. SF 424A--Budget Information--Non-Construction Programs
This is a form used by many Federal agencies. For this application,
Sections A, B, and E are to be completed. Sections C and D do not need
to be completed.
Section A--Budget Summary.
Line 1:
Column (a): Enter ``Welfare Reform Studies and Analyses--OPRE 97-1'';
Column (b): Enter 93.647
Columns (c) and (d): Leave blank.
Column (e): enter the appropriate amounts needed to support the project
for the first 12-month budget period or if applying for a one-time
award to support a short-term study, enter the amount needed to support
the project up to the maximum 17 month period.
Column (f): leave blank
Column (g): Same amount entered into (e)
Section B--Budget Categories. This budget should include only the
Federal funding for the proposed project for the first 12-month budget
period or for up to a 17-month period if applying for one-time support
for a short-term study. The total budget should equal item 15g, total
funding, on the SF 424 (cover sheet). Under column (5), enter the same
amounts by object class category entered in column (1). Columns (2),
(3), and (4) should remain blank.
A separate budget justification should be included to explain fully
and justify major items, as indicated below. The types of information
to be included in the justification are indicated under each category.
The budget justification should immediately follow the second page of
the SF 424A.
Personnel--Line 6a. Enter the total costs of salaries and wages of
applicant/grantee staff. Do not include the costs of consultants, which
should be included on line 6h, ``Other.''
Justification: Identify the project director, if known. Specify by
title or name the percentage of time allocated to the project, the
individual annual salaries, and the Federal cost to the project of the
organization's staff who will be working on the project.
Fringe Benefits--Line 6b. Enter the total costs of fringe benefits.
Justification: Provide a break-down of amounts and percentages that
comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, etc.
Travel--6c. Enter total costs of out-of-town travel (travel
requiring per diem) for staff of the project. Do not enter costs for
consultant's travel or local transportation, which should be included
on Line 6h, ``Other.''
Justification: Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, transportation costs and
subsistence allowances.
Equipment--Line 6d. Enter the total costs of all equipment to be
acquired by
[[Page 28870]]
the project. For grants governed by the administrative requirements of
either 45 CFR part 92 or 45 CFR part 74, equipment is defined as
tangible, non-expendable personal property having a useful life of more
than one year and an acquisition cost of $5,000 or more per unit.
Justification: Equipment to be purchased with Federal funds must be
justified. The equipment must be required to conduct the project, and
the applicant organization or its subgrantees must not 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.
Supplies--Line 6e. Enter the total costs of all tangible expendable
personal property (supplies) other than those included on Line 6d.
Justification: Specify general categories of supplies and their
costs.
Contractual--Line 6f. Enter the total costs of all contracts,
including procurement contracts (except those which belong on other
lines such as equipment, supplies, etc.) and contracts with secondary
recipient organizations. Also include any contracts with organizations
for the provision of technical assistance. Do not include payments to
individuals on this line.
Justification: Attach a list of contractors, indicating the names
of the organizations, the purposes of the contracts, and the estimated
dollar amounts of the awards as part of the budget justification.
Whenever the applicant/grantee intends to delegate part or all of the
project to another agency, the applicant/grantee must complete this
section (Section B, Budget Categories) for each delegate agency by
agency title, along with the supporting information. The total cost of
all such agencies will be part of the amount shown on Line 6f. Provide
backup documentation identifying the name of contractor, purpose of
contract, and major cost elements.
Construction--Line 6g. Not applicable. New construction is not
allowable.
Other--Line 6h. Enter the total of all other costs. Where
applicable, such costs may include, but are not limited to: insurance;
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. Note that costs identified as ``miscellaneous'' and
``honoraria'' are not allowable.
Justification: Specify the costs included.
Total Direct Charges--Line 6i. Enter the total of Lines 6a through
6h.
Indirect Charges--6j. Enter the total amount of indirect charges
(costs). If no indirect costs are requested, enter ``none.'' This line
should be used when the applicant (except local governments) has a
current indirect cost rate agreement approved by the Department of
Health and Human Services or another Federal agency.
Local and State governments should enter the amount of indirect
costs determined in accordance with HHS requirements. When an indirect
cost rate is requested, these costs are included in the indirect cost
pool and should not be charged again as direct costs to the grant. In
the case of training grants to other than State or local governments
(as defined in title 45, Code of Federal Regulations, part 74), the
Federal reimbursement of indirect costs will be limited to the lesser
of the negotiated (or actual) indirect cost rate or 8 percent of the
amount allowed for direct costs, exclusive of any equipment charges,
rental of space, tuition and fees, post-doctoral training allowances,
contractual items, and alterations and renovations.
Justification: Enclose a copy of the indirect cost rate agreement,
if indirect costs are requested.
Total--Line 6k. Enter the total amounts of lines 6i and 6j.
Program Income--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. As stated under Eligible
Applicants above, private for-profit entities must waiver any fees in
order to compete for these funds.
Justification: Describe the nature, source, and anticipated use of
program income in the Project Narrative Statement.
Section C--Non-Federal Resources. Not applicable--Leave blank.
However, as noted in the program announcement, applicants which are
utilizing multiple funders should include a discussion or presentation
of such funding in the application.
Section D--Forecasted Cash Needs. Enter the amount of cash needed
by quarter from the award made by ACF during the first year.
Section E--Budget Estimate of Federal Funds Needed For Balance of
the Project. ACF expects to make funds available for approved project
period up to 60 months. In this section, provide annual estimates of
the Federal funds needed for the balance of the project.
Justification: Describe the anticipated use of latter year project
expenses in the Project Narrative Statement.
Section F--Other Budget Information. Not applicable--Leave blank.
3. Project Narrative Statement
The Project Narrative Statement should be clear, concise, and
address the issues mentioned under Part I and should address how the
application meets the evaluation criteria described in section B of
Part II. The applicant should follow the sequence of the review
criteria below (as outlined in section B, part II) when composing the
project narrative.
(a) Organizational Experience, Skills, and Responsibilities:
(b) Research Questions
(c) Project Design
(d) Budget Appropriateness
The narrative should be typed double-spaced. There is no page
limitation, but all pages of the narrative (including charts,
references, footnotes, tables, maps, exhibits, appendices, etc.) must
be sequentially numbered. Please do not use covers, binders, or tabs.
4. Assurances/Certifications
Applicants requesting financial assistance for non-construction
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard
Form 424B with their applications.
Applicants must provide a certification regarding lobbying when
applying for an award in excess of $100,000. Applicants must sign and
return the certification with their applications.
Applicants must disclose lobbying activities on the Standard Form
LLL when applying for an award in excess of $100,000. Applicants who
have used non-Federal funds for lobbying activities in connection with
receiving assistance under this announcement shall complete a
disclosure form to report lobbying. Applicants must sign and return the
disclosure form, if applicable, with their applications.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for an award.
By signing and submitting the application, the applicant is providing
the certification regarding environmental tobacco smoke and need not
mail back the certification with the applications.
Applicants must make the appropriate certification of their
compliance with
[[Page 28871]]
the Drug-Free Workplace Act of 1988. By signing and submitting the
application, the applicant is providing the certification and need not
mail back the certification with the applications.
Applicants must make the appropriate certification of their
compliance with the Pro-Children Act of 1994. By signing and submitting
the application, the applicant is providing the certification and need
not mail back the certification with the application.
Copies of the certifications and assurances are attached. Please
reproduce single-sided copies of the forms. Do not use forms directly
from the Federal Register announcement, as they are printed on both
sides of the page. A duly authorized representative of the applicant
organization must certify that the applicant is in compliance with
these assurances and certifications.
Any non-profit organization submitting an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
D. Submitting the Application
Each application package must include an original and two copies of
the complete application. All pages of the narrative (including charts,
tables, maps, exhibits, etc.) must be sequentially numbered and
unbound. In order to facilitate handling, Please do not use covers,
binders, or tabs.
E. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public Law 104-13, the
Department is required to submit to OMB for review and approval any
reporting and recordkeeping requirements in regulations, including
Program Announcements. 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. This Program
Announcement does not contain information collection requirements
beyond those approved for ACF grant announcements/applications under
OMB Control Number OMB-0970-0139.
F. 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
Program 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, Colorado,
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,
American Samoa and Palau have elected to participate in the Executive
Order process and have established Single Points of Contact (SPOCs).
Applicants from these twenty-three jurisdictions need take no action
regarding E.E. 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. Applications 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 sixty (60) days from the
application deadline to comment on proposed new or competing
continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to differentiate clearly between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Mail Stop 6C-462, Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Appendix B to this Announcement.
G. Checklist for a Complete Application
The checklist below is for your use to ensure that your application
package has been properly prepared.
--One original application, signed and dated, plus two copies--without
covers, binders, or tabs.
--A complete application consists of the following items in this order:
Application for Federal Assistance (SF 424);
Assurances--Non-construction programs (SF 424B); and
Certification Regarding Lobbying.
Budget Information--Non-construction programs (SF 424A);
Budget Justification for SF 424A Section B--Budget
Categories;
Copy of the applicant's approved indirect cost rate
agreement, if appropriate;
Project Narrative that addresses and follows the sequence
of the Evaluation Criteria in Part II section B.
Dated: May 21, 1997.
Howard Rolston,
Director, Office of Planning, Research and Evaluation.
BILLING CODE 4184-01-P
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BILLING CODE 4184-01-C
[[Page 28873]]
Instructions for the SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, Send it to the address provided by the
sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State, if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) a 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
tile 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 allowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 28874]]
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[[Page 28875]]
[GRAPHIC] [TIFF OMITTED] TN28MY97.002
BILLING CODE 4184-01-C
[[Page 28876]]
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 or
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
-----------------------------------------------------------------------
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Section A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple function or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g).
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns 9(e) and (f).
For supplemental grants and changes in existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the total for all columns used.
Section B. Budget Categories
In the column headings (1) though (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-1--Show the totals of Lines 6a to 6h in each column.
Line 6i--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 all or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the Federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources.
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals in Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeedings funding periods (usually in years). This section need
not be completed for revisions (amendments, changes, or supplements)
to funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing
[[Page 28877]]
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.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with the provisions of the Hatch
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523); and (h) protection of endangered species
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (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 or
OMB Circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
----------------------------------------------------------------------
Date Submitted
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
[[Page 28878]]
agency determined to enter into this transaction. If it is later
determined that the prospective primary participant knowingly
rendered an erroneous certification, addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system or 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 participant in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a 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.
* * * * *
[[Page 28879]]
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 nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
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 AGENCY-WIDE 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 reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false conviction, 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 grantees does not
identify the workplace 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)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time} 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.
[55 FR 21690, 21702, May 25, 1990]
[[Page 28880]]
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,''
in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form--LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions. Submission of this statement is a prerequisite for
making or entering into this transaction imposed by section 1352,
title 31, U.S. Code. Any person who fails to file the required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-C
[[Page 28881]]
[GRAPHIC] [TIFF OMITTED] TN28MY97.003
[[Page 28882]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded 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.
Appendix B--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware: 19903,
Telephone (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Virginia Bova, State Single Point Of Contact, Department of Commerce
and Community Affairs, James R. Thompson Center, 100 West Randolph,
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028,
FAX: (312) 814-1800
Indiana
Frances Williams, State Budget Agency, 212 State House,
Indianapolis, Indiana 46204-2796, Telephone: (317) 232-5619, FAX:
(317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 255-4490, FAX: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-
5617
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about intergovernmental
review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-
5400.
Rhode Island
Kevin Nelson, Review Coordinator, Department of Administration,
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning.
South Carolina
Rodney Grizzle, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street-Room 331, Columbia,
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
[[Page 28883]]
Telephone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street-6th Floor, P.O.
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX:
(608) 267-6931
Wyoming
Matthew Jones, State Single Point of Contact, Office of the
Governor, 200 West 24th Street, State Capital, Room 124, Cheyenne,
Wyoming 82002, Telephone: (307) 777-7446, FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, State Single Point of
Contact, Office of Management and Budget, Office of the Governor,
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272, Contact
Person: Ms. Jacoba T. Seman, Federal Programs Coordinator,
Telephone: (670) 644-2289, FAX: (670) 644-2272
Virgin Islands
Nelson Bowry, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750, FAX: (809) 776-0069.
OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone: (916)
323-7480, FAX: (916) 323-3018
Delaware
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev., 717 14th Street, NW.--Suite 500, Washington, DC 20005,
Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254
Washington Street, SW.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Virginia Bova, State Single Point of Contact, Department of Commerce
and Community Affairs, James R. Thompson Center, 100 West Randolph,
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028,
FAX: (312) 814-1800
Indiana
Frances Williams, State Budget Agency, 212 State House,
Indianapolis, Indiana 46204-2796, Telephone: (317) 232-5619, FAX:
(317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6794
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-
5617
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin. 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about intergovernmental
review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-
5400.
Rhode Island
Kevin Nelson, Review Coordinator, Department of Administration,
Division of
[[Page 28884]]
Planning, One Capitol Hill, 4th Floor, Providence, Rhode Island
02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning.
South Carolina
Rodney Grizzle, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street--Room 331, Columbia,
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267,
FAX: (608) 267-6931
Wyoming
Matthew Jones, State Single Point of Contact, Office of the
Governor, 200 West 24th Street, State Capital, Room 124, Cheyenne,
Wyoming 82002, Telephone: (307) 777-7446, FAX: (307) 632-3909
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, State Single Point of
Contact, Office of Management and Budget, Office of the Governor,
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272, Contact
Person: Ms. Jacoba T. Seman, Federal Programs Coordinator,
Telephone: (670) 644-2289, FAX: (670) 644-2272
Virgin Islands
Nelson Bowry, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750, FAX: (809) 776-0069.
[FR Doc. 97-13922 Filed 5-27-97; 8:45 am]
BILLING CODE 4184-01-M
