96-16187. Availability of Discretionary Grants for Services to Newly Arriving Refugees, Including: Promoting Increased Placement of Newly Arrived Refugees SUP1 in Preferred Communities; Responding to Unanticipated Arrivals or Significant Increases ...

[Federal Register Volume 61, Number 123 (Tuesday, June 25, 1996)]
[Notices]
[Pages 32833-32854]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-16187]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families


Availability of Discretionary Grants for Services to Newly 
Arriving Refugees, Including: Promoting Increased Placement of Newly 
Arrived Refugees 1 in Preferred Communities; Responding to 
Unanticipated Arrivals or Significant Increases in Arrivals of Refugees 
to Communities Where Adequate or Appropriate Services Do Not Exist; 
Providing Orientation Services in Local Communities; Providing Mental 
Health Services on Behalf of Refugees in Local Communities. In 
Addition, There is Available Discretionary Grants for Technical 
Assistance for the Orientation Projects

AGENCY: Office of Refugee Resettlement, ACF, HHS.

    \1\ In addition to persons who meet all requirements of 45 CFR 
400.43, Requirements for documentation of refugee status, 
eligibility for refugee social services also includes: (1) Cuban and 
Haitian entrants, under section 501 of the Refugee Education 
Assistance Act of 1980 (Pub. L. No. 96-422); (2) certain Amerasians 
from Vietnam who are admitted to the U.S. as immigrants under 
section 584 of the Foreign Operations, Export Financing, and Related 
Programs Appropriations Act, 1988, as included in the FY 1988 
Continuing Resolution (Pub. L. No. 100-202); and (3) certain 
Amerasians from Vietnam, including U.S. citizens, under title II of 
the Foreign Operations, Export Financing, and Related Programs 
Appropriations Acts, 1989 (Pub. L. No. 100-461), 1990 (Pub. L. No. 
101-167), and 1991 (Pub. L. No. 101-513). For convenience, the term 
refugee is used in this notice to encompass all such eligible 
persons unless the specific context indicates otherwise.
    Refugees admitted to the U.S. under admissions numbers set aside 
for private-sector-initiative admissions are not eligible to be 
served under the social service program (or under other programs 
supported by Federal refugee funds) during their period of coverage 
under their sponsoring agency's agreement with the Department of 
State--usually two years from their date of arrival or until they 
obtain permanent resident alien status, whichever comes first.
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SUMMARY: This ORR standing announcement invites submission of grant 
applications for funding, on a competitive basis, in five categories: 
(1) to promote the increase of refugee placements in communities where 
they have ample opportunities for early employment and sustained 
economic independence; (2) to provide services to unanticipated 
arrivals, i.e., refugees who have arrived without prior notice in 
communities where adequate or appropriate services for these refugees 
do not exist; (3) to provide ethnically- and linguistically-matched 
orientation services to newly arriving refugees in the local 
communities; (4) to provide technical assistance to the grantees 
including those funded under Category 3, orientation; and (5) to 
provide mental health orientation, staff development, and technical 
expertise to improve services for newly arriving refugee populations.
    This notice revises previous publications. The programs numbered 
(1) and (2) above were first published as Categories 1 and 2 of the 
notice published in the Federal Register on May 18, 1994 (59 FR 25929). 
The notice was revised January 17, 1995 (60 FR 3416). A Category 3, 
added in the revision of January 17, 1995, was canceled as published in 
the Federal Register on February 15, 1996 (61 FR 6018). New categories, 
which are added to this standing announcement, are numbered 3. 
Orientation, 4. Orientation Technical Assistance, and 5. Mental Health 
Services.
    This announcement supersedes all prior announcements of the same 
name.
    The categories are summarized as follows:

Category 1

    Preferred Communities: To increase placement of arriving 
refugees in preferred communities where refugees have

[[Page 32834]]

opportunities to attain early employment and sustained economic 
independence without public assistance. Eligible applicants are 
agencies which resettle refugees under a Reception and Placement 
Cooperative Agreement with the Department of State or the Department 
of Justice. Preferred communities awards will be Cooperative 
Agreements. ORR's involvement will include: review and approval of 
preferred community sites and review and approval of the design of 
program reports on progress toward project goals and outcomes.

Category 2

    Unanticipated Arrivals: To provide services for significant 
numbers of, or increases in, the number of unanticipated refugees 
who have arrived in communities that are unable to provide adequate 
or appropriate services. The arrivals may be new populations to the 
U.S., or new to the location requesting additional resources. The 
arrivals may also be a significant and unanticipated additional 
number of a particular ethnic group in a community. Awards in this 
category will be grants.

Category 3

    Orientation: To provide funds for grantees to serve newly 
arriving refugees through orientation services that are ethnically- 
and linguistically-matched to the targeted refugee population.
    Under Category 3, applications will be accepted for orientation 
programs designed to provide newly arriving refugees with 
information on local resources, community services and institutions, 
American mores, customs, laws, responsibilities associated with 
being new residents of their communities, and other appropriate 
topics.
    Applications will be accepted from prospective grantees to 
provide services in communities where new refugees are arriving and 
where available orientation materials are not appropriate or 
adequate. Awards in this category will be made as grants.

Category 4

    Technical Assistance to Orientation grantees: To provide 
technical assistance to orientation projects awarded under Category 
3 and other orientation programs serving refugees.

Category 5

    Mental health services: To improve services to newly arrived 
populations who have been made vulnerable in their resettlement by 
having suffered mental and/or physical torture prior to or during 
their escape. Applications are encouraged from agencies that support 
resettlement services by providing staff development consultation to 
staff who work directly with traumatized populations. In addition, 
and if appropriate to the newly arriving refugee populations, 
projects may be funded to develop technical knowledge concerning 
particular groups and the clinical interventions that effectively 
treat them. The knowledge and experience gained by these projects 
will be made available throughout the refugee resettlement program.
    Categories 1, 3, 4, and 5 solicit applications for project 
periods up to three years. Awards, on a competitive basis, will be 
for one-year budget periods. Applications for continuation grants, 
to extend activities beyond the one-year budget period, will be 
entertained on a noncompetitive basis in subsequent years within the 
three year project period, subject to the availability of funds, 
timely and successful completion of activities during the budget 
period, and determination that such continuations would be in the 
best interest of the Government.
    Awards for Category 2 will be for a single 17-month budget 
period. Applicants should view these resources as a temporary 
solution to an emergency created by unanticipated arrivals. ORR 
expects that by the end of the project period, States will have 
incorporated services for these particular refugees into their 
refugee services network funded by ORR social service formula 
allocations.
    Projects and services allowed under this announcement for each 
category are described below. Each application will be considered for 
one category only and must state specifically for which category the 
application is being submitted. An applicant may apply for more than 
one category; however, each category must be applied for in a separate 
application.

Available Funds

    In FY 1996, ORR expects to make individual new grant awards in 
amounts ranging from approximately $20,000 to $150,000. Amounts in 
subsequent years will depend upon the availability of funding, need, 
and the best interests of the Government. Approximately $800,000 will 
be available for awards under Preferred Communities; $500,000 under 
Unanticipated Arrivals; $400,000 for Orientation; $250,000 under 
Orientation Technical Assistance; and $400,000 for Mental Health 
Projects.
    The Director reserves the right to award more or less than the 
funds described above depending upon the quality of the applications, 
or such other circumstances as may be deemed to be in the best interest 
of the Government.

Authorization

    Authority for this activity is contained in Section 412(c)(1)(A) of 
the Immigration and Nationality Act, which authorizes the Director ``to 
make grants to, and enter into contracts with, public or private 
nonprofit agencies for projects specifically designed-- * * * (iii) to 
provide where specific needs have been shown and recognized by the 
Director, health (including mental health) services, social services, 
educational and other services.'' In addition, section 412(a)(2)(B)-(C) 
gives the Director the responsibility to promote and encourage refugee 
resettlement in communities where the prospects for early self-
sufficiency are good and the history of welfare utilization is low.

Application Submission

    This announcement contains forms and instructions for submitting an 
application. Applications must stipulate the category for which funding 
is being sought. Applicants may submit applications for more than one 
category; however, each category must be applied for in a separate 
application.

Standing Announcement

    This is a standing announcement, effective until canceled or 
modified by the Director of the Office of Refugee Resettlement. The 
Director will observe the following closing dates for all categories: 
August 15 the first year; and January 15 and July 15 of each subsequent 
year.

Organization of This Announcement

    This standing announcement consists of two parts: Part I. the 
program categories under which grants will be awarded and Part II. the 
general application information and guidance.

Eligible Applicants

    For categories 2, 3, 4, and 5, eligible applicants are public and 
private non-profit organizations.
    For category 1, eligible applicants are public and private non-
profit agencies which currently resettle newly arriving refugees under 
a Reception and Placement cooperative agreement with the Department of 
State or with the Department of Justice. This announcement is 
restricted to these agencies because placements of new arrivals occur 
under the terms of the cooperative agreements, and no other agencies 
place new arrivals or participate in determining their resettlement 
sites. Applications shall include documentation that the applicant is a 
recipient of a Reception and Placement Grant. Applications lacking this 
documentation will not be considered.
    For Further Information Contact: Concerning Categories 1, Preferred 
Communities; 2, Unanticipated Arrivals; 5, Mental Health Services, 
contact: Ms. Marta Brenden, Program Officer, Administration for 
Children and Families, Office of Refugee Resettlement, 370 L'Enfant 
Promenade, SW 6th Floor, Washington, DC 20447, Tel: [phone], E-
mail: [e-mail].
    Concerning Category 3, Orientation and 4, Orientation Technical 
Assistance, contact: Ms. Kathy Do, Administration for Children and 
Families, Office of Refugee Resettlement, 370 L'Enfant Promenade, SW 
6th Floor, Washington, DC 20447,

[[Page 32835]]

[phone], E-mail: [e-mail].

PART I--PROGRAM CATEGORIES UNDER WHICH GRANTS WILL BE AWARDED

Category 1: Preferred Communities: Grants to Support Preferred 
Communities

A. Purpose and Scope

    The purpose is to provide funds to be applied toward the costs 
associated with increasing the numbers of refugees placed in preferred 
communities and with reducing the numbers of refugees placed in high 
impact sites.
    A proposed preferred community should have the following: (1) 
favorable circumstances described below, (2) services that meet the 
needs of arriving refugees for achieving self-sufficiency, and (3) 
reception of a minimum of 100 new refugees annually. ORR will consider 
exceptions to the annual standard where the applicant provides 
substantial justification for the request and documents the community's 
history of arrivals, the period of time needed to reach a level of 100 
new refugees, and the record of outcomes for achieving self-sufficiency 
soon after arrival.
    Applicants must plan within their own network for improved 
placements. They may also consider planning cooperatively with other 
prospective applicants to create cost-effective, co-located 
resettlement services where, for example, the pool of newly arriving 
refugees for each network is too small to warrant individual offices.
    Preferred Community sites refer to those localities where refugees 
have the best opportunities to achieve early employment and sustained 
economic independence without public assistance. Preferred communities 
should have a history of low welfare utilization by refugees. In 
addition, refugees should have the potential for earned income at a 
favorable level relative to the cost of living and to public assistance 
benefits in such communities. These communities should also have a 
moderate cost of living; good employment opportunities in a strong, 
entry-level labor market; affordable housing; low out-migration rates 
for refugees; religious facilities, if important to the refugees; local 
community support; receptive school environments; and other related 
community features that contribute to a favorable quality of life for 
arriving refugees.
    Applicants may wish to consider the following ``arrival'' 
categories of refugees for preferred community sites:
    a. Free cases: Those refugees who are determined in the allocation 
process to be ``free cases,'' that is, unrelated or without family ties 
to persons already living in the communities.
    b. New refugee populations: Refugees who have no or few existing 
communities in the United States.
    c. Other refugees: The applicant may identify refugees in the 
reception process who would accept the opportunity for resettlement in 
a preferred community: e.g., refugees who would otherwise be resettled 
under the rubric of ``family reunification,'' but who in fact are 
distant relatives and friends. These refugees may elect placement in a 
preferred community where there are opportunities described above.

B. Preferred Community Site Selection

    ORR recognizes that changes in the selection of resettlement sites 
of refugees may result in changes to an applicant agency's network and 
should be preceded by careful attention and planning. Thus, as part of 
the application preparation, it will be incumbent upon the applicant 
to: (1) consult with ORR about prospective preferred sites; (2) propose 
sites that are either already listed within the applicant's Cooperative 
Agreement with the Department of State (DOS) or that will be proposed 
for DOS approval; (3) coordinate with other voluntary agencies whose 
local affiliates place refugees in the same sites; (4) inform and 
coordinate with State governments for site selection, adequate 
services, and program strategies to be developed; and (5) plan and 
coordinate locally with community resources, such as schools and public 
health agencies.
    The application must, for the first budget year, specify the sites 
selected with a description of each site and the rationale for its 
selection. Applicants are encouraged to include planning activities in 
their application. The application should specify one or more preferred 
communities and should also propose to include one or more unspecified 
sites to be determined following planning activities during the course 
of each budget year. There should also be a description of coordination 
activities that occurred prior to the selection, and the ongoing 
evaluation and planning for placement in preferred communities. 
Additional sites proposed under approved applications during the period 
of the project will require ORR's concurrence under the terms of the 
Cooperative Agreement.
    Preferably, the selected sites should be those that have had 
successful refugee placements and have the capacity for additional 
successful placements. However, the sites may be ones where refugees 
have not previously been placed, but which have all the elements of a 
successful refugee resettlement community, listed in section e. 2, 
below.
    Allowable activities for the preferred communities include services 
that would otherwise be provided through the State formula social 
services. ORR formula social services funding is awarded to States 
proportionate to the number of refugee arrivals during the previous 
three years and does not take into account newly arrived refugees. 
Grantees should view Preferred Communities award as a temporary 
solution to the increase in refugee placements in preferred 
communities.
    Therefore, planning for the application and implementing the 
program must be done in concert with State Refugee Coordinators to 
assure an orderly transition and complement of services. The applicant 
shall describe and document this coordination and planning in the 
application. ORR anticipates that ORR formula social service funds 
provided to the States will reflect, over time, the increase in 
arrivals.

C. Allowable Activities

    ORR will accept applications for the following activities: (1) 
services needed for the increased placements in the preferred 
communities, (2) project planning and coordination activities, and (3) 
national and local project management costs associated with these 
activities.

D. Application Content

    The application must include the following:
    1. Description of the proposed program. Include the rationale for 
meeting the goals of this Announcement: i.e., the increased placement 
of refugees in preferred communities and the diversion of refugees from 
communities with histories of extended use of welfare. Descriptions 
should include anticipated improved resettlement opportunities; the 
employment services available in the new location, including those to 
be funded under this grant, if awarded; and the cost implications in 
both the impacted and preferred sites for the population shifts in 
local resettlement services.
    2. A description and rationale for sites from which placements will 
be diverted. A list of the designated and potential sites and the 
rationale for each site with respect to the following criteria:

--Local community support (e.g., letters, financial and in-kind

[[Page 32836]]

donations, news clippings that the community supports the placement of 
these refugees in their area);
--State consultation (e.g., copies of letters; notes of planning/
coordination meetings);
--Evidence of availability of entry level and other appropriate 
employment opportunities (e.g., letters from current and repeating 
employers of refugees);
--History of low out-migration rates for proposed sites, with 
documentation for the last two years;
--Moderate cost of living (e.g., needs and payment standards from AFDC 
programs from the State, statements of voluntary agency affiliates, 
statements from refugees);
--Low welfare benefit levels relative to earnings potential;
--Qualified staff: give job descriptions and resumes, as available, and 
show how staff will be linguistically and culturally aligned with the 
prospective refugees;
--Affordable housing: provide average rental costs for apartments of a 
specified number of bedrooms and describe access to and distance from 
services and potential employment.

    3. A description of the caseload: e.g., free cases, ethnicity, new 
or existing ethnic group, interventions to be used to promote stability 
of placements, proposed numbers, proposed placement schedule, and back-
up strategy should the proposed placement schedule fail.
    4. A description of national and local project management. A 
statement of expected outcomes, e.g., refugee arrivals and participants 
in social services, such as, employment. Number expected to enter 
employment; 90 day retention rates and/or welfare avoidance, 
reductions, and terminations; expected hourly wage and the number of 
jobs with health benefits. Projected outcomes must include the increase 
in placements in Preferred Communities and the diversion of placements 
from communities where there is a history of extended welfare use.
    5. A description of the national and local planning process, of 
coalitions formed to support the new placements, and the consultative 
process used to support the implementation. If several local agencies 
are planning a coordinated project, e.g., placing refugees from the 
same ethnic groups in the same designated sites, describe the 
coordination of these plans. Include discussion of anticipated outcomes 
of the placement strategy for new arrivals.
    6. Budget, including line items and a narrative justification for 
each line. Clearly state the costs for national and local planning and 
project coordination. Discuss relationship between costs proposed for 
this grant and costs (e.g., for services) which will be covered by 
existing refugee or mainstream funding.

E. Review Criteria

    Preferred Communities applications will be reviewed, scored and 
ranked utilizing the following criteria:
    1. Clarity of description of proposed program and soundness of 
rationale for achieving the goals of the Announcement. Reasonableness 
of cost implications in both the impacted and preferred communities. 
Adequacy of the anticipated improved resettlement opportunities as well 
as the diversion of placements from sites with histories of extended 
welfare usage. Soundness of refugee social services in the new 
community and choice of services to be funded by this grant. (20 
Points)
    2. Clear and comprehensive description of the preferred sites 
proposed in terms of community support, Federal, State, and local 
government consultation, and linkages, cost-of-living, out-migration 
history, housing, and employment availability, welfare benefit levels 
relative to potential earnings, and quality of life features, such as 
school environment and available religious facilities. Adequacy of 
description of sites from which refugees will be diverted and the 
rationale for diverting cases from them. (25 Points)
    3. Appropriateness to the targeted population of the proposed 
shift, and strategies to be used to promote stability of placements. 
(15 Points)
    4. Adequacy of national and local management, including objectives 
and outcomes, reporting procedures, outcome measures, data collection 
and monitoring. (10 Points)
    5. Adequacy of planning process and reasonableness of anticipated 
outcomes. (15 Points)
    6. Reasonableness of the budget and adequacy of line item 
narrative; coordination of these grant funds with other funds. (15 
Points)

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

A. Purpose and Scope

    This grant program is intended to provide an emergency response 
capability by enhancing existing services for unanticipated new 
arrivals who, because of their recent entry into the U.S., are not 
included in ORR's services formula allocation. The funds may be used to 
enable communities to respond to the following situations: (1) the 
arrival of new ethnic populations of refugees and entrants in 
communities where the existing services' system does not have 
appropriate bilingual capacity, or where the arrivals of such 
populations are in communities where refugee services do not presently 
exist; or (2) significant increases in arrivals of an already existing 
ethnic group where the service capacity is not sufficient to 
accommodate them.
    Applications will be accepted only for proposals for services in 
communities which have received, or expect to receive, minimally 100 or 
more persons annually as an unexpected population to a single local 
community. This is a minimum, not a standard. The reasonableness of the 
proposal will depend on the number of unanticipated arrivals relative 
to the anticipated number. The applicant must establish that the 
unanticipated number is statistically significant relative to the 
resident population by documenting all arrivals, both anticipated and 
unanticipated. Applications which do not satisfactorily document all 
arrivals will not be considered.
    ORR encourages the formation of coalitions of organizations which 
propose to serve the new population(s) jointly, with one agency 
designated as grantee, responsible for administration of the project.
    As noted above, grantees should view these resources as a temporary 
solution to the challenge of program transition. This grant program is 
intended to supplement a State's existing refugee services network by 
responding to unmet needs of new refugee populations, with the 
expectation that the State will have incorporated services for these 
new populations into its refugee services network, funded by formula 
social service dollars, by the end of the grant project period.

B. Allowable Services

    ORR will accept applications under this announcement for the type 
of activities generally funded by States under their social services 
formula allocation, in accordance with section 412(c)(1) of the 
Immigration and Nationality Act for refugee social services. In 
general, such service categories are defined as employment services, 
language training, and other support services. Applications under this 
section should contain references to the provision of appropriate 
bilingual and bicultural service delivery. Services provided by all 
grantees, whether private or public, must comport with the regulations 
at 45 CFR sections 400.147, 400.150, and 400.153-.156

[[Page 32837]]

regarding eligibility for services, scope of services, and priorities 
for services.

C. Application Content

    1. A description of the applicant agency's qualifications, 
including key personnel, to carry out the proposed activities for the 
target population.
    2. A discussion of the characteristics of the target population and 
the needs which cannot be addressed by the existing refugee program. 
Include a letter from the sponsoring national voluntary agency or 
agencies substantiating that there will be an unanticipated arrival of 
at least 100 or more refugees or entrants from the target population.
    3. A description of the planning process used in developing the 
proposal, the names and roles of the organizations participating in 
this process, as well as the roles of all organizations which will be 
involved in serving the population.
    4. A description of the strategy to be used and services to be 
provided. If the proposal was developed by a consortium or other 
combination of entities, the role of each agency must be detailed. The 
applicant must describe the specific geographic area(s) and client 
group(s). Include a letter from the State verifying that the services 
are needed, not currently available, and not fundable from existing 
resources; and discussing whether the State intends to integrate these 
services into the State refugee services network.
    5. A description of the anticipated outcomes, including the number 
of job placements, 90-day employment retention, and the anticipated 
evidence of welfare avoidance, reduction and termination.
    6. A management plan for oversight, monitoring, and submission of 
reports.
    7. A line-item budget with narrative justification for each line, 
including a description of the staffing plan.

D. Application Review Criteria

    Applications in the Unanticipated Arrivals category will be 
reviewed, scored, and ranked in accordance with the following criteria:
    1. Qualifications of the applicant agency to carry out the proposed 
activities for the target population to be served. (15 Points)
    2. Adequate discussion of the unique characteristics of the target 
population to demonstrate that the applicant understands the 
characteristics requiring the additional services. (10 Points)
    3. Demonstration that the planning process leading to development 
of the proposal was appropriate. (15 Points)
    4. Appropriateness of the strategy and operational plan in meeting 
the needs of the target population, including joint planning activities 
and leveraging of other refugee programs or mainstream service 
providers. (20 Points)
    5. Appropriateness of the projected outcome measures and level of 
achievement expected. If employment services are a part of the plan, 
project the numbers of refugees to: be active participants; enter 
employment; and reach 90 day retention. (15 Points)
    6. Adequacy of management plan. (10 points)
    7. Appropriateness, cost-effectiveness, and reasonableness of the 
budget, including the staffing plan and qualifications of key 
personnel. (15 Points)

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

A. Purpose and Scope

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

B. Objectives of ORR

    a. To provide comprehensive culturally and linguistically 
appropriate orientation training to new refugee arrivals families 
through bilingual, bi-cultural staff representative of the new 
arrivals' cultural and linguistic make-up.
    b. To identify sub-groups (e.g., home-bound women, the elderly, and 
youth) of new arrivals who are more likely to face significant cultural 
obstacles to their transition to a new life and to provide them 
specialized orientation training customized to their specific needs.
    c. To provide orientation and cross-cultural training to refugee 
and mainstream service providers on new refugee populations.
    d. To provide training to refugee caseworkers and interpreters to 
improve their ability to deliver culturally and linguistically 
appropriate services to new refugee populations.
    e. To provide the mainstream community with information about new 
refugee populations resettled in their community.
    f. To provide new ethnic communities with small amounts of funds to 
form advisory groups for the purpose of community and grass roots 
organizing.

C. Allowable Orientation Activities for

1. Newly Arriving Refugee Populations
    Conducting outreach (for example, home visits and ethnic group 
meetings) to new arrivals to determine needs.
    Convening a local work group/task force on orientation. The 
composition of the group must include representatives of the ethnic 
composition of new arrivals. The primary purpose of the orientation 
work group is to plan and consult with local new arrivals and ethnic 
communities on the type of orientation materials, services, and 
training design which best fit their needs.
    Adapting, if necessary, existing orientation materials to ensure 
that materials are culturally appropriate for the target population.
    Designing and implementing an orientation and cross-cultural 
training

[[Page 32838]]

program by bilingual and bicultural staff for the newly arriving 
refugee population, taking into consideration training customized to 
the specific informational needs of each group, for example, heads of 
households, home-bound women, youth, and the elderly.
    Designing and implementing a mechanism of ensuring customer 
feedback and assessment of each training session. Customers' feedback 
must be incorporated for improvement of future training.
    Compiling records and materials of training activities into a 
training package for replication with other new arrivals.
2. Refugee and Mainstream Service Providers and the Community-at-Large
    Planning and consulting with refugee and mainstream service 
providers on their need for information on new arrivals, and providing 
training to service providers, caseworkers, and interpreters to improve 
their ability to deliver culturally and linguistically appropriate 
services to new refugee populations.
    Designing a mechanism of ensuring customer feedback and conducting 
assessment of each training session. Customers' feedback will be 
incorporated into future training.
    Compiling records and materials of training activities into a 
training package for future replication with other new arrivals.
    Conducting public relations activities, such as providing 
information via a newsletter, informational brochures or video, and 
attending community meetings to provide to the community-at-large 
information about new refugee arrivals resettled in their community.
3. Ethnic Community Groups
    Convening or assisting in convening, members of newly arriving 
ethnic communities to form their own advisory board for self-help 
purposes.
    Recording all community assistance activities in the form of 
reports and case studies for future use by other ethnic communities in 
community organizing and development.

D. Application Content

    Applications for the Community Orientation and Assistance Program 
should contain a detailed description of proposed activities and a plan 
of action, including a timetable for implementation, and anticipated 
measurable outcomes and benefits which directly meet the needs of the 
target population to be served. These areas should be addressed:
    1. An understanding and knowledge of the unique characteristics, 
cultural background, and needs of the target groups to be served, 
including discussion of the service methodology that would be 
linguistically and culturally appropriate for each target group.
    2. An understanding of the domestic and overseas orientation 
services as well as how linkage and coordination can be established 
between the overseas and domestic service providers to maintain 
continuity of services to meet the orientation needs of the new 
arrivals.
    3. Planning and consultation with the target population, e.g., new 
arrivals and refugee and mainstream service providers, to design and 
implement an orientation program that best fits their needs. How the 
applicant proposes to provide a comprehensive and coordinated project 
design, implementation timelines, and achieving measurable outcomes.
    4. Convening, or assist in convening, members of the newly arriving 
ethnic groups in their effort toward organizing for self-help. 
Description of how the proposed advisory groups are to be established.
    5. Public relations activities with the community-at-large focusing 
on mutual understanding and good will between the refugees and local 
communities.
    6. Customer feedback and assessment of the training as well as the 
project's progress, and how the results of customers' feedback will be 
used.

E. Application Review Criteria

    1. Demonstrated knowledge of the unique characteristics of the 
various populations to be served; demonstrated experience in the 
provision of orientation service and/or training; and knowledge of 
which service modality best fits each target population. (25 points)
    2. Demonstrated understanding of overseas and domestic orientation 
services, and the appropriateness of the proposed plan for linkage and 
coordination. (10 points)
    3. Adequacy and applicability of the project management plan in the 
areas of planning, designing, implementing, timelines, and proposed 
measurable outcomes. Qualifications of the applicant to carry out all 
the proposed activities successfully. (25 points)
    4. Demonstrated reasonableness and cost effectiveness in the budget 
with reference to the use of bilingual and bicultural staff in all 
professional capacities, the staffing plan, and qualifications of key 
personnel. (15 points)
    5. Demonstrated knowledge of refugee ethnic communities, and 
experience in community organizing and development. (10 points)
    6. Appropriateness of proposed project's measurable outcomes. (15 
points)

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

A. Purpose and Availability of Funds

    This section announces the availability of Fiscal Year 1996 funds 
for a national technical assistance project for refugee orientation, 
cross-cultural training, and alliance building in communities heavily 
impacted by recent refugee arrivals. The purpose of this category is to 
respond to the immediate needs of States, refugee and/or local service 
agencies, and mainstream agencies: for training and technical 
assistance in cross-cultural awareness and knowledge; for skills 
enhancement in resolving and mediating cross-cultural conflict between 
and among refugee and non-refugee groups; and for providing culturally 
and linguistically appropriate service methodologies to refugee 
communities.
    The successful applicant will provide group training and technical 
assistance in approximately twelve (12) sites identified as impacted by 
new refugee arrivals, and may include the grantees funded under 
Category 3 of this announcement. Partnerships with ORR customers, e.g., 
States, other grantees, community-based organizations (CBOs), and other 
Federal agencies, will be initiated to coordinate nationally in the 
areas of conflict resolution and mediation and to enhance knowledge of 
cross-cultural understanding and alliance building.
    ORR anticipates funding one project through the mechanism of a 
cooperative agreement. ORR will be closely involved in the review and 
approval of the following: site selection criteria, sites and 
recipients of the technical assistance and training, training 
curricula, assessment tools, on-site training and technical assistance 
sessions and materials, and all project-related reports.

B. Allowable Activities

    Proposed activities should be tailored to reflect the orientation, 
cross-cultural and mediation needs of local communities.
    The types of activities which ORR may fund include, but are not 
limited to, the following:

[[Page 32839]]

     Convening a national training and technical assistance 
work group for project consultation and design, to identify expert 
trainers, and to develop strategies for dissemination of project 
outcomes;
     Identifying proven best practices in cross-cultural 
conflict resolution and alliance building for the purpose of adapting 
them to the training and technical assistance needs of the project 
participants;
     Identifying the needs of State and local agencies for 
assistance in orientation, conflict resolution and mediation 
strategies, and culturally and linguistically appropriate service 
delivery;
     Developing a training plan of orientation, conflict 
resolution and mediation for local communities which includes expanding 
the involvement and participation of non-refugee local agencies through 
such activities as group training and on-site individualized sessions 
for all agencies which interface with newly arrived refugees;
     Developing assessment and evaluation tools, and conducting 
assessment of project activities;
     Developing a list of training and technical resources, and 
devising a system for updating and transferring training technology for 
future use;
     Establishing an electronic medium for dissemination of 
information and refugee training resources for use by other 
practitioners.

C. Application Content

    1. A discussion of the purpose of the technical assistance and 
training activities to be conducted under the scope of the grant.
    2. A comprehensive description of the plan for providing 
coordination of project activities at the local, state, and regional 
levels.
    3. A comprehensive list of proposed sites for the technical 
assistance OR a comprehensive list of criteria for site selection.
    4. A discussion of the proposed plan for technical assistance and 
training for each site and target group.
    5. A description of the process to form a national training and 
technical assistance workgroup. A list of the criteria for selection of 
the task force members.
    6. A description of the management of the plan for implementation 
of all project activities.
    7. A description of the expected measurable outcomes for each 
project activity.
    8. A list of the proposed project's key personnel and/or 
consultants.
    9. A proposed budget with narrative justifying each line item.

D. Application Review Criteria

    Applications will be reviewed and scored on a competitive basis 
against the following evaluative criteria. Points are awarded only to 
applications which respond to this competitive area and to these 
criteria:
    1. The extent to which the purpose of the project is met, including 
how the training and technical assistance needs of local sites are 
identified and proposed to be met, and the benefits (measurable 
outcomes vs. process outcomes) to be gained by each target group. (15 
points)
    2. The comprehensiveness of the proposed plan for coordination of 
project services at the local, state, and regional level. The extent to 
which the proposed sites (or site characteristics, if specific sites 
have not been selected) are appropriate and directly related to the 
objectives of the project. (10 points)
    3. The criteria for selection (e.g., qualifications and experience 
in working with refugees, and in fields related to the objectives of 
the project) of proposed members of the national training and technical 
assistance workgroup. (5 points)
    4. The quality of the plan of operation and management. The extent 
to which the plan of management ensures implementation of project 
activities and customer feedback, the adequacy of proposed resources, 
and the ability of the applicant to deliver the services in a timely 
manner. (20 points)
    5. The quality of the proposed training and technical assistance 
plan for each site and target group, the appropriateness of training 
and personnel resources, and the degree to which the training will 
increase the capacity of the trainees to provide quality services to 
their refugee clients and/or increase the capability of the trainees to 
design and implement cross-cultural and conflict resolution strategies. 
(20 points)
    6. The qualifications and experiences of key personnel and/or 
consultants in working with the target population and in fields related 
to the objectives of the project. (10 points)
    7. The quality of the proposed plan of assessment of project 
activities, and appropriateness of proposed project measurable outcomes 
(versus process outcomes). (10 points)
    8. The cost-effectiveness and reasonableness of the proposed 
budget, and budget narrative. (10 points)

Category 5: Mental Health Services

A. Purpose and Scope

    The condition of a refugee's physical and mental health is a major 
factor affecting resettlement and socio-economic adjustment. The most 
serious mental health conditions, such as depression, anxiety-related 
disorders, and post traumatic stress disorders are often seen in 
refugees who have experienced severe trauma, physical abuse, and 
torture.
    Most refugees receive pre- and post-arrival health screening at the 
time of their entry into the United States. It is through screenings 
that physical health conditions are diagnosed and treated. Serious 
mental health conditions are sometimes identified by health screeners 
and service providers, but more frequently they are not diagnosed until 
much later in the resettlement process. These mental health conditions 
interfere with a refugee's progress toward economic self-sufficiency. 
Especially vulnerable are refugees who have experienced traumatic 
events, such as the death of relatives, loss of home, and witnessing of 
atrocities, either before they leave their country of origin and/or 
during migration. Some have experienced physical and psychological 
torture, deprivation, hunger, isolation, and violence. In addition, 
refugees are often further traumatized during the resettlement process 
because their cultural backgrounds are in sharp contrast with 
mainstream American social and cultural practices.
    For many, resettlement means mastering a new language and adjusting 
to U.S. society and its economy, its expectations, customs, and 
cultural values, which may be significantly different from their own. 
These challenges confront all refugees, but are more difficult for 
those who suffered major physical, social, economic and political 
losses.
    Less serious, but also a barrier to economic self-sufficiency, are 
transitory emotional difficulties which can be characterized as social 
adjustment problems. If not adequately addressed, these may accumulate 
over time and hamper the resettlement process. Often these problems are 
handled by supportive bilingual resettlement staff and ESL teachers who 
have an understanding of the refugees' plight and are sensitive to the 
challenges and difficulties refugees face. This support often 
facilitates the refugees' transition to their adoptive country and 
lessens the impact of migration-related stressors, contributing to the 
refugees' progress towards self-sufficiency.

[[Page 32840]]

    Beyond the support from resettlement staff, volunteers, and ESL 
teachers, refugees frequently do not receive mental health services. 
Most community mental health services do not have bilingual staff who 
match the local refugee groups. Also, refugees are often not receptive 
to mental health services because of the stigma attached to mental 
illness. Direct service workers can become overwhelmed by working with 
individuals who have experienced torture and other trauma. Regular 
consultation for direct case workers from experienced mental health 
professionals can provide useful feedback to improve services to 
refugees disabled by trauma and supportive professional relationships.

B. Mental Health Services

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

C. Allowable Activities

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

D. Application Content

    1. A description of the target population(s) and their need for the 
proposed project activities: i.e., orientation; staff development; or 
development of technical assistance.
    2. A description of the planning process used in developing the 
application: the names of the organizations and the roles played in the 
planning; a comprehensive list of all organizations in the community 
working with the target population; and the manner by which all direct 
service professional staff will benefit from the project's orientation, 
consultation and training services.
    3. A description of the project strategy: orientation; staff 
development; and development of technical assistance to address the 
target populations' need for mental health services as listed under 
``allowable activities.''
    4. A statement of the status of need for services and the projected 
outcomes expected from the services provided.
    5. A description of the management plan providing oversight, 
monitoring, and program reports, including the applicant agency's 
qualifications to carry out the proposed activities; and key personnel, 
including consultants for professional mental health services.
    6. A line-item budget with narrative justification for each item.

E. Application Review Criteria

    1. Adequacy of the description of the target population(s) and the 
need for proposed activities. (10 points)
    2. Demonstration that the planning process is community-wide and 
comprehensive in addressing the needs of direct service staff for 
ongoing professional consultation, supervision, and training in working 
with refugees exhibiting needs for mental health services. (20 points)
    3. Appropriateness and adequacy of the strategy of services 
proposed. (30 points)
    4. Relevance and appropriateness of the proposed program outcomes 
to the project's objectives. (20 points)
    5. Adequacy of the management plan, monitoring plan, and proposed 
program reports. Appropriateness of key personnel and consultants 
implementing the project. (10 points)
    6. Reasonableness of the budget; the completeness of the line-item 
narrative. Cost-effectiveness of the budget in providing for the 
services. (10 points)

PART II. GENERAL APPLICATION INFORMATION AND GUIDANCE

    The Director may award more or less than the funds described for 
each category, subject to the quality of the applications or other 
circumstances as may be deemed in the best interest of the government.
    In making awards, the Director of ORR may award less for individual 
projects than the maximums described in the ``Available Funds'' section 
above. No applicant is guaranteed an award.
    Eligible applicants may apply for more than one project and may 
apply in more than one of the categories as described above. However, 
an applicant must submit a full project application for each category 
separately.
    Awards for Categories 1, 3, 4, and 5, on a competitive basis, will 
be for one-year budget periods, although project periods may be for 3 
years. Applications for continuation grants funded under these awards 
beyond the one-year budget period, but within the 3 year project 
period, will be entertained in the subsequent years on a non-
competitive basis, subject to the availability of funds, satisfactory 
progress of the grantee and determination that continued funding would 
be in the best interest of the Government.
    Category 2, Unanticipated Arrivals, has one project period of up to 
17 months.

A. Deadlines and Mailing Instructions

    The initial closing date for submission of applications is August 
15, 1996. Closing dates for subsequent years applications, beginning in 
1997, are January 15 and July 15. Applications postmarked after the 
appropriate closing date will be classified as late.
    Deadline: Mailed applications shall be considered as meeting an 
announced

[[Page 32841]]

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, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462, Washington, 
D.C. 20447, Attention: Ms. Shirley Parker.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark, or a legibly dated, machine produced postmark of a commercial 
mail service appears on the envelope/package containing the 
application(s). An acceptable postmark from a commercial carrier is one 
which includes the carrier's logo/emblem and shows the date the package 
was received by the commercial mail service. Private Metered postmarks 
shall not be acceptable as proof of timely mailing.
    Applications handcarried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8:00 a.m. and 4:30 p.m., at the U.S. Department of 
Health and Human Services, Administration for Children and Families, 
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, 
Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between 
Monday and Friday (excluding Federal holidays). (Applicants are 
cautioned that express/overnight mail services do not always deliver as 
agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.

B. 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.

C. Extension of Deadlines

    ACF may extend the deadline for all applicants because of acts of 
God such as floods, 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 
applicant.

D. Process for Review of Application

    Applicants will be reviewed competitively and scored by an 
independent review panel of experts in accordance with ACF grants 
policy and the criteria stated below. The results of the independent 
review panel scores and explanatory comments will assist the Director 
of ORR in considering competing applications. Reviewers' scores will 
weigh heavily in funding decisions but will not be the only factors 
considered. Applications generally will be considered in order of the 
average scores assigned by the reviewers. Highly ranked applications 
are not guaranteed funding since other factors are taken into 
consideration, including: comments of reviewers and of ACF/ORR 
officials; previous program performance of applicants; compliance with 
grant terms under previous DHHS grants; audit reports; and 
investigative reports. Final funding decisions will be made by the 
Director of ORR.
    The application must stipulate the category for which funding is 
being sought. Where the category is not clearly stipulated, the project 
will not be considered and will not be completed.
    The two letter designation for the standing announcement 
Discretionary Grants is for: category 1. RP; category 2 RU; category 3 
RO; category 4 is RA; and category 5 is RM. On the face page of the SF 
424, block #11, the applicant should identify each application 
accordingly.

E. Application Submission: Forms, Certifications, Assurances, and 
Disclosure

    Applicants requesting financial assistance for a non-construction 
project 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 concerning Lobbying. Prior 
to receiving an award in excess of $100,000, applicants shall furnish 
an executed copy of the lobbying certification. Applicants must sign 
and return the certification with their applications.
    Applicants must make the appropriate certification of their 
compliance with the Drug-Free Workplace Act of 1988. By signing and 
submitting the applications, applicants are providing the certification 
and need not mail back the certification with the applications.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for award. By 
signing and submitting the applications, applicants are providing the 
certification and need not mail back the certification with the 
applications.
    Copies of the certifications and assurance are located at the end 
of this announcement.
    4. SPOC Notification: 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.''
    As of February, 1996, the following jurisdictions have elected not 
to participate in the Executive Order process. Applicants from these 
jurisdictions need take no action in regard to E.O. 12372:
    Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, Oklahoma, Oregon, 
Pennsylvania, South Dakota, Tennessee, Virginia, Washington, American 
Samoa, and Palau.
    All remaining jurisdictions participate in the E.O. process and 
have established Single Points of Contact (SPOCs). Applicants from 
participating jurisdictions should contact their SPOCs as soon as 
possible to alert them to the prospective applications and receive 
instructions. Applicants must submit any required material to the SPOCs 
as soon as possible so that the program office can obtain and review 
SPOC comments as part of the award process. The applicant must submit 
all required materials, if any, to the SPOC and indicate the date of 
this submittal (or the date of contact if no submittal is required) on 
the Standard Form 424, item 16a.
    Under 45 CFR 100.8 (a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Division of Discretionary Grants, 370 
L'Enfant Promenade, S.W., Washington, D.C. 20447.
    A list of the Single Points of Contact for each State and Territory 
is included as Appendix A of this announcement.

[[Page 32842]]

F. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995, Pub. Law 104-13, the 
Department is required to submit to the Office of Management and Budget 
(OMB) for review and approval any reporting and record keeping 
requirements in regulations, including program announcements. All 
information required by this is covered under the following OMB 
Approval Nos:
     SF 424 OMB Clearance No. 0348-0043 Application for Federal 
Assistance Standard Form 424.
     SF 424A OMB Clearance No. 348-044 Budget Information.
     SF 424B OMB Clearance No. 0348-040 Assurances--Non 
Construction Programs.
     SF ORR-6 Revised 9/05/95 OMB Clearance No. 0970-0036. 
Quarterly Performance Report.
    This program announcement meets all information collection 
requirements approved for ACF grant applications under OMB Control 
Number 0970-0139.

G. Applicable Regulations

    Applicable HHS regulations will be provided to grantees upon award.

H. Reporting Requirements

    Grantees are required to file Financial Status (SF-269) every 6 
months and Program Progress Reports on a quarterly basis. Funds issued 
under these awards must be accounted for and reported upon separately 
from all other grant activities.
    The official receipt point for all program performance and 
financial status reports is the Division of Discretionary Grants. The 
original and two copies of each report shall be submitted to the 
Department of Health and Human Services, Administration for Children 
and Families, Division of Discretionary Grants, 370 L'Enfant Promenade, 
S.W., Washington, D.C. 20447.
    The final Financial and Program Progress Reports shall be due 90 
days after the budget expiration date or termination of grant support.
    The Catalog of Federal Domestic Assistance (CFDA) number assigned 
to this announcement is 93.576.

    Date: June 18, 1996.
Lavinia Limon,
Director, Office of Refugee Resettlement.

OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone [phone], 
FAX: [phone]

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: [phone], FAX: [phone]

Alabama

Jon C. Strickland, Alabama Department of Economic and Community 
Affairs, Planning and Economic Development Division, 401 Adams 
Avenue, Montgomery, Alabama 36103-5690, Telephone: [phone], 
FAX: [phone]

California

Grants Coordinator, Office of Planning & Research, 1400 Tenth 
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX [phone]

Delaware

Francine Booth, State Single Point of Contact Executive Department, 
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, 
Telephone: [phone], FAX: [phone]

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: [phone], FAX: [phone]

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740 
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 
922-5438, FAX: [phone]

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254 
Washington Street, S.W.-Room 401J, Atlanta, Georgia 30334, 
Telephone: [phone] or [phone], FAX: [phone]

Illinois

Barbara Beard, State Single Point of Contract, Department of 
Commerce and Community Affairs, 620 East Adams, Springfield, 
Illinois 62701, Telephone: [phone], FAX: [phone]

Indiana

Amy Brewer, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204, Telephone: [phone], FAX: [phone]

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department 
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 
50309, Telephone: [phone], FAX: [phone]

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local 
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: [phone], FAX: [phone]

Maine

Joyce Benson, State Planning Office, State House Station #38, 
Augusta, Maine 04333, Telephone: [phone], FAX: [phone]

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: [phone], FAX: [phone]

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900 
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: 
[phone]

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: [phone], FAX: [phone]

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson 
City, Missouri 65102, Telephone: [phone], FAX: [phone]

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: [phone], 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: [phone], 
FAX: [phone]

New Jersey

Gregory W. Adkins, Assistant Commissioner, New Jersey Department of 
Community Affairs

    Please direct all correspondence and questions about 
intergovernmental review to:

Andrew J. Jaskolka, State Review Process, Intergovernmental Review 
Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone: 
[phone], FAX: [phone]

New Mexico

Robert Peters, State Budget Division, Room 190 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: [phone]

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: [phone]

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: [phone], FAX: [phone]

[[Page 32843]]

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: [phone], FAX: [phone]

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: [phone], FAX: [phone]

Rhode Island

Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: [phone], FAX: [phone]

    Please direct correspondence and questions to:

Review Coordinator, Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, 
South Carolina 29201, Telephone: [phone], FAX: [phone]

Texas

Tom Adams, Governor's Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: [phone]

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, 
Telephone: [phone], FAX: [phone]

Vermont

Nancy McAvoy, State Single Point of Contact, Pavilion Office 
Building, 109 State Street, Montpelier, Vermont 05609, Telephone: 
[phone], FAX: [phone]

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25304, Telephone: [phone], FAX: [phone]

Wisconsin

Martha Kerner, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, 
P.O. Box 7868, Madison, Wisconsin 53707, telephone: [phone], 
FAX: [phone]

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building 
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-
7574, FAX: [phone]

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: [phone], FAX: [phone]

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; [phone], FAX: [phone]

North Mariana Islands

State Single Point of Contact, Planning and Budget Office, Office of 
the Governor, Saipan, CM, Northern Mariana Islands 96950

Virgin Islands

Jose George, 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: [phone], FAX: [phone]

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BILLING CODE 4184-01-C

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Instructions for the SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

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

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

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

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BILLING CODE 4184-01-C

[[Page 32848]]

Instructions for the SF-424A

General Instructions

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

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

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

Lines 1-4, Columns (c) Through (g.)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B. Budget Categories

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

Section C. Non-Federal-Resources

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

Section D. Forecasted Cash Needs

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

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

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

Section F. Other Budget Information

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

Assurances--Non-Construction Programs

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

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will

[[Page 32849]]

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 CFR 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 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 nondiscrimination 
in the sale, rental or financing of housing; (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 U.S.C. 
Secs. 1501-1508 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

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Signature of authorized certifying official

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Title

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Applicant organization

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Date submitted

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[[Page 32851]]

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BILLING CODE 4184-01-C

[[Page 32852]]

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

    By signing and submitting this proposal, the applicant, defined 
as the primary participant in accordance with 45 CFR Part 76, 
certifies to the best of its knowledge and belief that it and its 
principals:
    (a) are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal Department or agency;
    (b) have not within a 3-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
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 indicated 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 3-year period preceding this application/
proposal had one or more public transactions (Federal, State or 
local) terminated for cause or default.
    The inability of a person to provide the certification required 
above will not necessarily result in denial of participation in this 
covered transaction. If necessary, the prospective participate shall 
submit an explanation of why it cannot provide the certification. 
The certification or explanation will be considered in connection 
with the Department of Health and Human Services' (HHS) 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    The prospective primary participant agrees that by submitting 
this proposal, it will include the clause entitled ``Certification 
Regarding Debarment, Suspension, Ineligibility, and Voluntary 
Exclusion--Lower Tier Covered Transactions'' provided below without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

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

(To Be Supplied to Lower Tier Participants)

    By signing and submitting this lower tier proposal, the 
prospective lower tier participant, as defined in 45 CFR Part 76, 
certifies to the best of its knowledge and belief that it and its 
principals:
    (a) are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from 
participation in this transaction by any Federal department or 
agency.
    (b) where the prospective lower tier participant is unable to 
certify to any of the above, such prospective participant shall 
attach an explanation to this proposal.
    The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause entitled 
``Certification Regarding Debarment, Suspension, Ineligibility, and 
Voluntary Exclusion--Lower Tier Covered Transactions'' without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

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

State for Loan Guarantee and Loan Insurance

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

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Signature

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Title

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

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Date

BILLING CODE 4184-01-M

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BILLING CODE 4184-01-C

[[Page 32854]]

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 facility owned or 
leased or contracted for by an entity and used routinely or 
regularly for the provision of health, day care, education, or 
library services to children under the age of 18, if the services 
are funded by Federal programs either directly or through State or 
local governments, by Federal grant, contract, loan, or loan 
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 $1,000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the 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 children's services and that all subgrantees shall 
certify accordingly.

[FR Doc. 96-16187 Filed 6-24-96; 8:45 am]
BILLING CODE 4184-01-P