[Federal Register Volume 61, Number 173 (Thursday, September 5, 1996)]
[Notices]
[Pages 46994-47009]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-22604]
[[Page 46993]]
_______________________________________________________________________
Part IV
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Availability of Financial Assistance for the Mitigation of
Environmental Impacts to Indian Lands Due to Department of Defense
Activities; Notice
Federal Register / Vol. 61, No. 173 / Thursday, September 5, 1996 /
Notices
[[Page 46994]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93612-972]
Availability of Financial Assistance for the Mitigation of
Environmental Impacts to Indian Lands Due to Department of Defense
(DOD) Activities
AGENCY: Administration for Native Americans (ANA), Administration for
Children and Families (ACF), Department of Health and Human Services
(DHHS).
ACTION: Announcement of availability of competitive financial
assistance to assist eligible applicants address environmental problems
and impacts from DOD activities to Indian lands.
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DEFINITION: For purposes of this program announcement, Indian land is
defined as all lands used by American Indian tribes and Alaska Native
Villages.
SUMMARY: The Congress has recognized that DOD activities may have
caused environmental problems for Indian tribes and Alaska Natives.
These environmental hazards can negatively impact the health and safety
as well as the social and economic welfare of Indian tribes and Alaska
Natives. Accordingly, the Congress has taken steps to help those
affected begin to mitigate environmental impacts from DOD activities by
assisting them in the planning, development and implementation of
programs for such mitigation.
This environmental mitigation program was begun through a program
announcement published on December 29, 1993 as a response to the
Department of Defense Appropriations Act, Pub.L. 103-139, which was
enacted on November 11, 1993. This program continues under Pub.L. 103-
335 (the Act), enacted on September 30, 1994. Section 8094A of the Act
states, ``Of the funds appropriated to the Department of Defense (DOD)
for Operations and Maintenace Defense-Wide, not less than $8,000,000
shall be made available until expended to the Administration for Native
Americans within 90 days of enactment of this Act: Provided That such
funds shall be made available only for the mitigation of environmental
impacts, including training and technical assistance to tribes, related
administrative support, the gathering of information, documenting of
environmental damage, and developing a system for prioritizing of
mitigation, on Indian lands resulting from Department of Defense
activities: Provided further, That the Department of Defense shall
provide to the Committees on Appropriations of the Senate and House of
Representatives by September 30, 1995, a summary report of all
environmental damage that has occurred on Indian land as a result of
DOD activities, to include, to the extent feasible, a list of all
documents and records known to the Department that describe the
activity or action causing or relating to such environmental damage.''
The Administration for Native Americans (ANA) and the Department of
Defense (DOD) announce the availability of remaining FY 95 funds for
eligible applicants to begin or continue the process of addressing the
environmental problems and damage caused from DOD activities.
FOR FURTHER INFORMATION CONTACT: Sharon McCully--(202) 690-5780 or John
Bushman--(202) 690-6234 at the Administration for Native Americans,
Department of Health and Human Services, 200 Independence Avenue, S.W.,
Rm 348F, Washington, D.C. 20201-0001.
DATES: The closing dates for submission of applications is November 8,
1996 and November 7, 1997.
A. Introduction and Purpose
The program announcement states the availability of unobligated FY
1995 funds to provide financial assistance to eligible applicants for
the purpose of mitigating environmental impacts on Indian lands related
to DOD activities.
Financial assistance awards made under this program announcement
will be on a competitive basis and the proposals will be reviewed
against the evaluation criteria contained in this announcement.
The Federal government recognizes that substantial environmental
problems, resultant from defense activities, exist on Indian lands and
will geographically range from border to border and from coast to
coast. The nature and magnitude of the problems will most likely be
better defined when affected Indian tribes and Alaska Natives have
completed environmental assessments called for in Phase I of this four-
phase program.
The Federal government has also recognized that Indian tribes,
Alaska Natives and their tribal organizations must have the opportunity
to develop their own plans and technical capabilities and access the
necessary financial and technical resources in order to assess, plan,
develop and implement programs to mitigate any impacts caused by DOD
activities.
The ANA and the DOD recognize the potential environmental problems
created by DOD activities that may affect air, water, soil and human
and natural resources (i.e., forests, fish, plants). It is also
recognized that potential applicants may have specialized knowledge and
capabilities to address specific concerns at various levels within the
four phase program. Under this announcement proposals will be accepted
for any and all of the four phases or one specific phase. These phases
are: Phase I--assessment of Indian lands to develop as complete an
inventory as possible of environmental impacts caused by DOD
activities; Phase II--identification and exploration of alternative
means for mitigation of these impacts and determination of the
technical merit, feasibility and expected costs and benefits of each
approach in order to select one approach; Phase III--development of a
detailed mitigation plan, and costing and scheduling for implementation
of the design, including strategies for meeting statutory or regulatory
requirements and for dealing with other appropriate Federal agencies;
and, Phase IV--implementation of the mitigation plan.
The following are some known areas of concern. It is expected that
applicants may identify additional areas of concern in their
applications:
Damage to treaty protected spawning habitats caused by
artillery practice or other defense activities;
Damage to Indian lands and improvements (e.g. wells,
fences) and facilities caused by bombing practice;
Damage caused to range and forest lands by gunnery range
activities;
Low-level flights over sacred sites and religious
ceremonies which disrupt spiritual activities;
Movement of soil covering the remains of buried Indian
people and artifacts requiring, by tradition, their reburial in
traditional rituals;
Operation of dams by the Army Corps of Engineers which has
had adverse impacts on spawning beds and treaty fishing rights and
water quality due to problems of siltation; reduced stream flows;
increased water temperatures; and, dredge and fill problems;
Leaking of underground storage tanks on lands taken from
Indians for temporary war-time use by the DOD;
Unexploded ordnance from gunnery and bombing practice on
Indian lands resulting in significant damage to rangelands, wildlife
habitat, stock water wells, etc.;
Disposal activities related to removal of unexploded
ordnance, nuclear waste materials, toxic materials,
[[Page 46995]]
and biological warfare materials from Indian lands;
Transportation of live ordnance, nuclear waste, chemical
and biological warfare materials from and across Indian lands;
Seepage of fluids suspected of containing toxic materials
onto Indian lands;
Chlorofluorocarbons (CFC's) resulting from abandoned
containers and/or dumping onto Indian lands;
Polychlorinated biphenyls (PCB's) from transformers which
have been abandoned and/or dumped onto Indian lands;
Public health concerns regarding electromagnetic fields
surrounding Defense-related transmission facilities which cross Indian
lands; and
Reclamation activities required to mitigate any or all of
the above stated conditions and other activities as they become known.
B. Proposed Projects To Be Funded With Unobligated FY 1995 Funds
The purpose of this announcement is to invite single year (up to
seventeen months in duration) or up to thirty-six month proposals from
eligible applicants to undertake any or all of the Phases. Applicants
may apply for projects of up to 36 months duration. A multi-year
project, requiring more than 12 months to develop and complete, affords
applicants the opportunity to develop more complex and in-depth
projects. Funding after the first 12 month budget period of an approved
multi-year project is non-competitive and subject to availability of
funds. (see Part E for further information)
Phase I: The purpose of Phase I is to conduct the research and
planning needed to identify environmental impacts to Indian lands
caused by DOD activities on or near Indian lands and to plan for
remedial investigations to determine and carry out a preliminary
assessment of these problems. These activities may include, but not be
limited to, the following:
Conduct site inspections to identify problems and causes
related to DOD activities;
Identify and develop approaches to handle raw data that
will assist in performing comprehensive environmental assessments of
problems and causes related to DOD activities;
Identify approaches and develop methodologies which will
be used to develop the activities to be undertaken in Phases II and
III;
Identify other Federal agency programs, if any, that must
be involved in mitigation activities and their requirements;
Identify potential technical assistance and expertise
required to address the activities to be undertaken in Phases II and
III; and
Identify other Federal environmental restoration programs
that could be accessed to cooperatively coordinate and mobilize
resources in addressing short and long-term activities developed under
Phase III.
Phase I should result in adequately detailed documentation of the
problems and sources of help in solving them to provide a useful basis
for examining alternative mitigation approaches in Phase II.
Phase II: The purpose of Phase II activities is to examine
alternative approaches for mitigation of the impacts identified in
Phase I and to lead toward the mitigation design to be developed in
Phase III. Phase II activities may include, but need not be limited to
the following:
Conduct remedial investigation and/or feasibility studies
as necessary;
Plan for the design of a comprehensive mitigation strategy
to address problems identified during Phase I which address areas such
as land use restoration, clean-up processes, contracting and liability
concerns; regulatory responsibilities; and resources necessary to
implement clean up actions;
Design strategies that coordinate with or are
complementary to existing DOD cleanup programs such as the Defense
Environmental Restoration Program which promotes and coordinates
efforts for the evaluation and cleanup of contamination at DOD
installations;
Review possible interim remedial strategies that address
immediate potential hazards to the public health and environment in
order to provide alternative measures i.e., providing alternate water
supplies, removing concentrated sources of contaminants, or
constructing structures to prevent the spread of contamination;
Identify specific types of technical assistance and
management expertise required to assist in developing specific
protocols for environmental assessments, remedial investigations,
feasibility studies, interim remedial actions and strategic planning
for existing and future mitigation activities;
Review other types of assessments that need to be
considered, reviewed and incorporated into the conduct and/or design
process such as:
--Estimates of clean-up cost;
--Estimate of impacts of short-term approach;
--Estimate of impacts of long-term approach;
--Cultural impacts;
--Economic impacts;
--Human health-risk impacts; and
Document approaches and procedures which have been
developed in order to negotiate with appropriate Federal agencies for
necessary cleanup action and to keep the public informed.
In establishing the basis for a design process, particularly when
there are multiple problems, the applicants may want to consider a
prioritization process as follows:
Emergency situations that require immediate clean-up;
Time-critical sites, i.e. sites where the situation will
deteriorate if action is not taken soon;
Projects with minimum funding requirements;
Projects with intermediate-level funding requirements;
Projects with maximum funding requirements.
Achieving compliance with Federal environmental protection
legislation is the driving force behind all Federal clean-up
activities. The following is a list of major Federal environmental
legislation that should be recognized in a regulatory review as all
Federal, state and local regulatory requirements which could have major
impacts in the design of mitigation strategies:
Indian Environmental General Assistance Program Act of
1992;
Clean Air Act (CAA);
Clean Water Act (CWA);
Safe Drinking Water Act (SDWA);
Surface Mining Control and Reclamation Act of 1977
(SMCRA);
Marine Protection, Research and Sanctuaries Act of 1972
(MPRSA);
Toxic Substances Control Act (TSCA);
Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA);
Nuclear Waste Policy Act of 1982 (NWPA);
Comprehensive Environmental Resource Conservation and
Liability Act (CERCLA or Superfund);
Resource Conservation and Recovery Act of 1976 (RCRA);
Hazardous and Solid Waste Amendments of 1984 (HSWA);
National Environmental Policy Act of 1969 (NEPA); Other
Federal legislation that should be included in the regulatory review
and that should be of assistance are the tribal specific legislative
acts, such as:
American Indian Religious Freedom Act;
National Historic Preservation Act of 1991;
Indian Environmental Regulatory Enhancement Act of 1990;
Other regulatory considerations could involve applicable tribal,
village, state
[[Page 46996]]
and local laws, codes, ordinances, standards, etc. which should also be
reviewed to assist in planning, the mitigation design, and development
of the comprehensive mitigation strategy.
Phase II should result in a carefully documented examination of
alternative approaches and the selection of an approach to be used in
the Phase III design process.
Phase III: The purpose of Phase III is the completion of activities
initiated under Phase II, the initiation of new activities required to
implement programs, and the design of on-site actions required to
mitigate environmental damage from DOD activities.
The Phase III activities may include but need not be limited to:
Development and implementation of a detailed management
plan to: guide corrective action; resolve issues rising from
overlapping or conflicting jurisdictions; guide a cooperative and
collaborative effort among all parties to ensure there are no
duplicative or conflicting regulatory requirements governing the
cleanup actions; and, establish a tribal or village framework and/or
parameter(s) that will guide the negotiations process for one or
multiple cleanup actions;
Establishment of priorities for mitigation programs when
there are multiple clean-up sites; consider at a minimum the nature of
the hazard involved: such as its physical and chemical characteristics,
including concentrations and mobility of contaminants; the pathway
indicating potential for contaminant transport via surface water,
ground water and air/soil, and any other indicators that are identified
during the environmental assessment, including the prioritization
process identified under Phase II;
Program design and implementation of information
dissemination strategies prior to start up of on-site implementation of
mitigation program activities;
Development of a legal and jurisdictional strategy that
addresses DOD/contractor liability issues to ensure quality, cost-
effective mitigation services, and to evaluate any measures providing
equitable risk between the DOD and the remediation contractor, as well
as to incorporate Tribal Employment Rights Office (TERO) and other
policies and procedures, if required;
Design of an approval process and other processes
necessary for the implementation of tribal and village codes and
regulations for current and future compliance enforcement of all
mitigation actions;
Development/design of a documentation strategy to ensure
all DOD and contractor cleanup activities are conducted and completed
in a environmentally clean and safe manner for the social and economic
welfare, as well as public health of Indian and Alaska Native people
and the surrounding environment;
Development and conduct of certified training programs
that will enable a local work force to become technically capable to
participate in the mitigation activities, if they so choose; and
Conduct of any other activities deemed necessary to carry
out Phases I, II and III activities.
Phase III should result in a comprehensive plan for conducting all
aspects of mitigation action contemplated.
Phase IV: The Phase IV activities are the implementation of
mitigation plans specified in the detailed plan completed in Phase III.
C. Eligible Applicants
The following organizations are eligible to apply:
Federally recognized Indian tribes;
Incorporated Non-Federally and State recognized Indian
tribes;
Alaska Native villages, tribes or tribal governing bodies
(IRA or traditional councils) as recognized by the Bureau of Indian
Affairs;
Nonprofit Alaska Native Regional Associations and/or
Corporations with village specific projects;
Nonprofit Native Organizations in Alaska with village
specific projects;
Other tribal or village organizations or consortia of
Indian tribes.
In addition, current ANA grantees who meet the above eligibility
criteria, but do not have a mitigation grant under Program Announcement
93612-952 are also eligible to apply for a grant award under this
program announcement.
D. Available Funds
Subject to availability of funds, approximately $7 million of
financial assistance is available under this program announcement for
eligible applicants. All remaining unobligated FY 95 funds will be
available for this purpose. It is expected that about 25 awards will be
made, ranging from $100,000 to $1 million. Each eligible applicant
described above (Part C) can receive only one grant award under this
announcement.
E. Multi-Year Projects
This announcement is soliciting applications for project periods up
to 36 months. Awards, on a competitive basis, will be for a one-year
budget period, although project periods may be as long as 36 months.
Funding after the 12 month budget period of an approved multi-year
project is non-competitive. The non-competitive funding for the second
and third years is contingent upon the grantee's satisfactory progress
in achieving the objectives of the project according to the approved
work plan, the availability of Federal funds, compliance with the
applicable statutory, regulatory and grant requirements, and
determination that continued funding is in the best interest of the
Government.
F. Grantee Share of Project
Grantees must provide at least five (5) percent of the total
approved cost of the project. The total approved cost of the project is
the sum of the Federal share and the non-Federal share. The non-Federal
share may be met by cash or in-kind contributions, although applicants
are encouraged to meet their match requirements through cash
contributions. The funds for the match must be from a private source,
or state source where the funds were not obtained from the Federal
government by the state, or a Federal source where legislation or
regulation authorizes the use of these funds for matching purposes.
Therefore, a project requesting $300,000 in Federal funds (based on an
award of $100,000 per budget period), must include a match of at least
$15,789 (5% total project cost). Applicants may request a waiver of the
requirement for a 5% non-Federal matching share. Since the matching
requirement is very low it is not expected that waivers will be
requested. However, the procedure for requesting a waiver can be found
in 45 CFR 1336, Subpart E- Financial Assistance Provisions.
It is the policy of ANA to apply the waiver of the non-Federal
matching share requirement for the purposes of this particular program
announcement.
G. Intergovernmental Review of Federal Programs
This program is not covered by Executive Order 12372.
H. Application Process
(1) Availability of Application Forms: In order to be considered
for a grant under this program announcement, an application must be
submitted on the forms supplied, including Form-424, and in the manner
prescribed by ANA. The application kits containing the necessary forms
and instructions may be obtained from: Department of Health and Human
Services,Administration for
[[Page 46997]]
Children and Families, Administration for Native Americans, Room 348F,
Hubert H. Humphrey Building, 200 Independence Avenue S.W., Washington,
D.C. 20201-0001, (202) 690-7776.
(2) Application Submission: Each application should include one
signed original and two (2) copies of the grant application, including
all attachments. Assurances and certifications must be completed.
Submission of the application constitutes certification by the
applicant that it is in compliance with Drug-Free Workplace and
Debarment and these forms do not have to be submitted. The application
must be hand delivered or mailed by the closing date to: Department of
Health and Human Services, Administration for Children and Families,
Administration for Native Americans, Rm 348-F, 200 Independence Avenue,
S.W., Washington, D.C. 20201-0001, Attn: 93612-972.
Hand delivered applications are accepted during the normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at the Administration for Children and
Families, Administration for Native Americans, 200 Independence Avenue,
S.W. Washington, D.C. 20201-0001.
The application must be signed by an individual authorized: 1) to
act for the applicant tribe, village or organization, and 2) to assume
the applicant's obligations under the terms and conditions of the grant
award.
(3) Application Consideration: The Commissioner of the
Administration for Native Americans determines the final action to be
taken with respect to each grant application received under this
announcement. The following points should be taken into consideration
by all applicants:
Incomplete applications and applications that do not
otherwise conform to this announcement will not be accepted for review.
Applicants will be notified in writing of any such determination by
ANA.
Complete applications that conform to all the requirements
of this program announcement are subjected to a competitive review and
evaluation process. An independent review panel consisting of reviewers
familiar with environmental problems of Indian tribes and Alaska Native
villages will evaluate each application against the published criteria
in this announcement. The results of this review will assist the
Commissioner in making final funding decisions.
The Commissioner's decision will also take into account
the comments of ANA staff, state and Federal agencies having
performance related information, and other interested parties.
As a matter of policy the Commissioner will make grant
awards consistent with the stated purpose of this announcement and all
relevant statutory and regulatory requirements under 45 CFR Parts 74
and 92 applicable to grants under this announcement.
After the Commissioner has made decisions on all
applications, unsuccessful applicants will be notified in writing
within approximately 120 days of the closing date. Successful
applicants are notified through an official Financial Assistance Award
(FAA) document. The Administration for Native Americans staff cannot
respond to requests for funding decisions prior to the official
notification to the applicants. The FAA will state the amount of
Federal funds awarded, the purpose of the grant, the terms and
conditions of the grant award, the effective date of the award, the
project period, the budget period, and the amount of the non-Federal
matching share requirement.
I. Review Process
1. Initial Application Review
Applications submitted by the closing date and verified by the
postmark date under this program announcement will undergo a pre-review
to determine that:
The applicant is eligible in accordance with the Eligible
Applicants Section of this announcement.
The application materials submitted are sufficient to
allow the panel to undertake an in-depth evaluation (All required
materials and forms are listed in the Grant Application Checklist.)
2. Competitive Review of Accepted Applications
Applications which pass the pre-review will be evaluated and rated
by an independent review panel on the basis of the evaluation criteria.
These criteria are used to evaluate the quality of a proposed project,
and to determine the likelihood of its success.
3. Determination of Ineligibility
Applicants who are initially rejected from competitive evaluation
because of ineligibility, may appeal an ANA decision of applicant
ineligibility. Likewise, applicants may also appeal an ANA decision
that an applicant's proposed activities are ineligible for funding
consideration. The appeals process is stated in the final rule
published in the Federal Register on August 19, 1996 (61 FR 42817).
J. Review Criteria
A proposed project should reflect the purposes stated and described
in the Introduction and Program Purpose (Section A) of this
announcement. No additional weight or preference is given to
applications because of an increased number of phases proposed. Also,
competition is not based on proposals of the same phase or phases but
on the merit of the application independent of phase consideration. The
evaluation criteria are:
(1) Goals and Available Resources (15 points):
(a) The application presents specific mitigation goals related to
the proposed project. It explains how the tribe or village intends to
achieve those goals identified in the application and clearly documents
the involvement and support of the community in the planning process
and implementation of the proposed project. The above requirement may
be met by submission of a resolution by a tribe or tribal organization
stating that community involvement has occured in the project planning
and will occur in the implementation of the project.
(b) Available resources (other than ANA) which will assist, and be
coordinated with the project are described. These resources may be
personnel, facilities, vehicles or financial and may include other
Federal and non-Federal resources.
(2) Organizational Capabilities and Qualifications (10 points).
(a) The management and administrative structure of the applicant is
explained. Evidence of the applicant's ability to manage a project of
the proposed scope is well defined. The application clearly
demonstrates the successful management of prior or current projects of
similar scope by the organization and/or by the individuals designated
to manage the project.
(b) Position descriptions or resumes of key personnel, including
those of consultants, are presented. The position descriptions and
resumes relate specifically to the staff proposed in the Approach Page
and in the proposed Budget of the application. Position descriptions
very clearly describe the position and its duties and clearly relate to
the personnel staffing required for implementation of the project
activities. Either the position descriptions or the resumes present the
qualifications that the applicant believes are necessary for overall
quality management of the project.
(3) Project Objectives, Approach and Activities (45 points). The
Objective Work Plan in the application includes
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project objectives and activities related to the long term goals for
each budget period proposed and demonstrates that these objectives and
activities:
Are measurable and/or quantifiable;
Are based on a fully described and locally determined
balanced strategy for mitigation of impacts to the environment;
Clearly relate to the tribe or village long-range goals
which the project addresses;
Can be accomplished with available or expected resources
during the proposed project period;
Indicate when the objective, and major activities under
each objective will be accomplished;
Specify who will conduct the activities under each
objective; and
Support a project that will be completed, self-sustaining,
or financed by other than ANA funds at the end of the project period.
(4) Results or Benefits Expected (20 points). The proposed project
will result in specific measurable outcomes for each objective that
will clearly contribute to the completion of the project and will help
the tribe or village meet its goals. The specific information provided
in the application on expected results or benefits for each objective
is the basis upon which the outcomes can be evaluated at the end of
each budget year.
(5) Budget (10 points).
There is a detailed budget provided for each budget period
requested. (This is especially necessary for multi-year applications.)
The budget is fully explained. It justifies each line item in the
budget categories in Section B of the Budget Information of the
application, including the applicant's non-Federal share and its
source. Sufficient cost and other detail is included and explained to
facilitate the determination of cost allowability and the relevance of
these costs to the proposed project. The funds requested are
appropriate and necessary for the scope of the project.
K. Guidance to Applicants
The following is provided to assist applicants to develop a
competitive application.
(1) Program Guidance:
The Administration for Native Americans will fund projects
that present the strongest prospects for meeting the stated purposes of
this program announcement. Projects will not be funded on the basis of
need alone.
In discussing the problems being addressed in the
application, relevant historical data should be included so that the
appropriateness and potential benefits of the proposed project will be
better understood by the reviewers and decision-maker.
Supporting documentation, if available, should be included
to provide the reviewers and decision-maker with other relevant data to
better understand the scope and magnitude of the project.
The applicant should provide documentation showing support
for the proposed project from authorized officials, board of directors
and/or officers through a letter of support or resolution. It would be
helpful, particularly for organizations, to delineate the membership,
make-up of the board of directors, and its elective procedures to
assist reviewers in determining authorized support.
(2) Technical Guidance.
Applicants are strongly encouraged to have someone other
than the author apply the evaluation criteria in the program
announcement and to score the application prior to its submission, in
order to gain a better sense of its quality and potential
competitiveness in the review process.
ANA will accept only one application under this program
announcement from any one applicant. If an eligible applicant sends two
applications, the one with the earlier postmark will be accepted for
review unless the applicant withdraws the earlier application.
An application from an Indian tribe, Alaska Native Village
or other eligible organization must be submitted by the governing body
of the applicant.
The application's Form 424 must be signed by the
applicant's representative (tribal official or designate) who can act
with full authority on behalf of the applicant.
The Administration for Native Americans suggests that the
pages of the application be numbered sequentially from the first page
and that a table of contents be provided. The page numbering, along
with simple tabbing of the sections, would be helpful and allows easy
reference during the review process.
Two (2) copies of the application plus the original are
required.
The Cover Page should be the first page of an application,
followed by the one-page abstract.
Section B of the Program Narrative should be of sufficient
detail as to become a guide in determining and tracking project goals
and objectives.
The applicant should specify the entire length of the
project period on the first page of the Form 424, Block 13, not the
length of the first budget period. ANA will consider the project period
specified on the Form 424 as governing.
Line 15a of the Form 424 should specify the Federal funds
requested for the first Budget period, not the entire project period.
Applicants proposing multi-year projects need to describe
and submit project objective workplans and activities for each budget
period. (Separate itemized budgets for the Federal and non-Federal
costs should be included).
Applicants for multi-year projects must justify the entire
time-frame of the project and also project the expected results to be
achieved in each budget period and for the total project period.
(3) Projects or activities that generally will not meet the
purposes of this announcement.
Proposals from consortia of tribes or villages that are
not specific with regard to support from, and roles of member tribes.
The purchase of real estate or construction.
L. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Pub. L. 104-13, the
Department is required to submit to the Office of Management and Budget
(OMB) for review and approval any reporting and record keeping
requirements in regulations including program announcements. This
program announcement does not contain information collection
requirements beyond those approved for ANA grant applications under the
Program Narrative Statement by OMB.
M. Due Date for Receipt of Applications
The closing date for applications submitted in response to this
program announcement are November 8, 1996 and November 7, 1997.
N. Receipt of Applications
Applications must either be hand delivered or mailed to the address
in Section H, Application Process: Application Submission.
The Administration for Native Americans will not accept
applications submitted electronically nor via facsimile (FAX)
equipment.
Deadline: Applications shall be considered as meeting the announced
deadline if they are either:
1. Received on or before the deadline date at the place specified
in the program announcement, or
2. Sent on or before the deadline date and received by the granting
agency in the time for the independent review under DHHS GAM Chapter 1-
62 (Applicants are cautioned to request a legibly dated U.S. Postal
Service postmark or to obtain a legibly dated
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receipt from a commercial carrier or U.S. Postal Service. Private
Metered postmarks shall not be acceptable as proof of timely mailing.)
Late Applications. Applications which do not meet the criteria
above are considered late applications. The granting agency shall
notify each late applicant that its application will not be considered
in the current competition.
Extension of Deadlines. The granting agency may extend the deadline
for all applicants because of acts of God such as floods, hurricanes,
etc., or when there is a widespread disruption of the mails. However,
if the granting agency does not extend the deadline for all applicants,
it may not waive or extend the deadline for any applicants.
(Catalog of Federal Domestic Assistance Program Number 93.612 Native
American Programs)
Dated: August 27, 1996.
Gary N. Kimble,
Commissioner, Administration for Native Americans.
BILLING CODE 4184-01-P
[[Page 47000]]
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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 (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided.
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
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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 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 Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column heading 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 duty 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,
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or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. 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. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 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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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 participant shall
submit an explanation of why it cannot provide the certification. The
certification or explanation will be considered in connection with the
Department of Health and Human Services' (HHS) determination whether to
enter into this transaction. However, failure of the prospective
primary participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
The prospective primary participant agrees that by submitting this
proposal, it will include the clause entitled ``Certification Regarding
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower
Tier Covered 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
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Organization
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Date
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