[Federal Register: December 27, 2004 (Volume 69, Number 247)]
[Notices]
[Page 77251-77255]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27de04-74]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families (ACF)
Notice of Public Comment on the Proposed Adoption of ANA Program
Policies and Procedures
AGENCY: Administration for Native Americans (ANA).
SUMMARY: Pursuant to section 814 of the Native American Programs Act of
1974; as amended, 42 U.S.C., 2991b-1, the Administration for Native
Americans (ANA) herein describes its proposed interpretive rules,
general statement of policy and rules of agency procedure or practice
in relation to the Social and Economic Development Strategies (SEDS),
Language Preservation and Maintenance (hereinafter referred to as
Native Language), and Environmental Regulatory Enhancement (hereinafter
referred to as Environmental) programs. Under the statute, ANA is
required to provide members of the public an opportunity to comment on
proposed changes in interpretive rules, statements of general policy,
and rule of agency procedure or practice and to give notice of the
final adoption of such changes at least 30 days before the changes
become effective. The notice also provides additional information about
ANA's plan for administering the programs.
DATES: The deadline for receipt of comments is 30 days from date of
publication in the Federal Register.
ADDRESSES: Comments in response to this notice should be addressed to
Sheila Cooper, Director of Programs Operations, Administration for
Native Americans, 370 L'Enfant Promenade, SW., Mail Stop: Aerospace 8-
West, Washington, DC 20447. Delays may occur in mail delivery to
Federal offices; therefore, a copy of comments should be faxed to:
(202) 690-7441. Comments will be available for inspection by members of
the public at the Administration for Native Americans, Aerospace
Center, 901 D Street SW., Washington, DC 20447.
FOR FURTHER INFORMATION CONTACT: Sheila Cooper, toll free at (877) 922-
9262.
SUPPLEMENTARY INFORMATION: Section 814 of the Native American Programs
Act of 1974 (the Act), as amended, requires ANA to provide notice of
its proposed interpretive rules, statements of policy and rule of
agency organization, procedure or practice. These proposed
clarifications, modifications and new text will appear in the three ANA
FY 2005 program announcements: SEDS, Native Language and Environmental.
This notice serves to fulfill this requirement.
Additional Information
I. ANA Application Format
ANA has revised Part Two, ``Application Review Criteria'' of the FY
2005 Program Announcement, specifically the Application Submission
Requirements. Previously, ANA required applicants to include and count
the Objective Work Plan (OWP) form (OMB Control Number 0980-0204), and
the Federal and non-Federal share line-item budget and budget
justification narrative in the page limitation. In FY 2005, ANA has
removed the OWP and the line-item budget and budget justification
narrative from the page limitation. With the exemption of the OWP and
the budget section from the page limitation, ANA has reduced in the FY
2005 program announcements the Application Submission Requirements to
40 pages. The exemption of the OWP and the budget from the page
limitation will enable applicants applying for multi-year awards to
provide more information on the proposed project. (Legal authority:
Section 803 (a) and (d) and 803C of the Native American Programs Act of
1974, as amended, 42 U.S.C. 2991b and 2991b-3.)
II. Required Forms
The Grant Application Data Summary (GADS) form (OMB Clearance
Number 0970 0261 exp. 03/31/2007) is a new ANA form. The Commissioner
for the Administration for Native Americans is required to collect and
disseminate information related to the social and economic conditions
of Native Americans for inclusion in its annual report to Congress. The
data collected on the GADS is required to assist in gathering that
data. The information is also used to ensure that ANA obtains the
proper number of reviewers to review each category of grant
applications. Although not included in prior announcements, GADS
received OMB approval after the publication of the FY 2004
announcement. It will be included in this announcement and future
announcements to be submitted as a part of the application package.
[[Page 77252]]
(Legal authority: Section 803B of the Native American Programs Act of
1974, as amended, 42 U.S.C. 2991B-2.)
III. Evaluation Criteria
(a) ANA has modified five evaluation criteria titles and adjusted
the point values and weight of three criteria. In ANA's FY 2004 grant
competitions, ANA did not rate applications on how closely they
followed the prescribed format. This year, ANA is proposing to revise
the Evaluation Criteria to provide for the award of points in rating
applications based on whether the applicant complied with the
requirements in the announcement with regard to the organization of the
application. ANA will maintain six evaluation criteria and the titles
and merit weight apply to all three ANA program areas. Criterion One
was retitled from ``Project Introduction and Summary/Abstract'' to
``Introduction and Project Summary/Application Format'' and modified to
add points for the Application Format to clarify the importance of
adhering to the application requirements. Criterion Two was retitled
from ``Objectives and Need for Assistance'' to ``Need for Assistance''.
Criterion Three was retitled for clarity from ``Approach'' to ``Project
Approach''. Criterion Four was retitled from ``Organizational
Profiles'' to ``Organizational Capacity'' and the point value was
reduced to allow for the increase in weight and points awarded under
Criterion One. Criterion Five was retitled for clarity from ``Results
or Benefits Expected'' to ``Project Impact/Evaluation'' and the point
value was reduced to allow for the increase in weight and points
awarded under Criterion Six. For FY 2005 program announcements the
titles and assigned point criteria values are: Criterion One--
Introduction and Project Summary/Application Format (10 pts.);
Criterion Two--Need for Assistance (20 pts.); Criterion Three--Project
Approach (25 pts.); Criterion Four--Organizational Capacity (15 pts.);
Criterion Five--Project Impact/Evaluation (15 pts.); Criterion Six--
Budget and Budget Justification/Cost Effectiveness (15 pts.). (Legal
authority: Section 803(a) and (d) and 803C of the Native American
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3.)
(b) In the FY 2004 Program Announcement within the ANA Criterion
Five, ANA used the term ``Performance'' Indicator. In the FY 2005
Program Announcement this term will be changed to ``Impact'' Indicator
to be consistent with the Native American Programs Act of 1974, as
amended. (Legal authority: Section 803(a) and (d) and 803C of the
Native American Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3.)
(c) Standard and Required Impact Indicators: As ANA continues to
improve its competitive grant program ANA has modified (through
addition or deletion) its collection of impact indicators under each of
its programs (SEDS, Native Language and Environmental). The modified
impact indicators will continue to be used to inform Congress and the
public on the effectiveness, success and impact that ANA programs have
in Native American communities and on behalf of Native American
families. Two impact indicators will be required across all three
program areas to serve as a common baseline of data that is required to
be reported in ANA's legislation to demonstrate the diversity of
projects and to monitor the impact of projects on the community. The FY
2005 program announcements still require five impact indicators to be
submitted by the applicant under Criterion Five. ANA has standardized
for consistency and program performance data collection two of the
required impact indicators across all three program areas (SEDS, Native
Language and Environmental). The two standard required impact
indicators are: (1) number of partnerships formed and (2) the amount of
dollars leveraged beyond the required NFS match. In addition to the two
standard required impact indicators, an applicant must also submit
three additional indicators either selected from a suggested list in
each program announcement or applicant project-specific impact
indicators. (Legal authority: Section 803(a) and (d), 803B and 803C of
the Native American Programs Act of 1974, as amended, 42 U.S.C. 2991b,
2991b-2 and 2991b-3.)
The optional impact indicators for SEDS are: (1) Number of
infrastructures and administrative systems, including policies and
procedures developed and implemented; (2) number of codes or ordinances
developed and implemented; (3) number of people to successfully
complete a workshop/training; (4) number of children, youth, families
or elders assisted or participating; (5) number of volunteer hours; (6)
number of faith-based or community-based partnerships; (7) number of
jobs created; (8) number of community-based small businesses
established or expanded; (9) identification of Tribal or Village
government business, industry, energy or financial codes or ordinances
that were adopted or enacted; and (10) number of micro-businesses
started. The optional impact indicators for Language, Category I are:
(1) Number of surveys completed; (2) percent and number of community
members assessed; (3) the rate of language loss or gain; (4) number of
elders consulted; (5) number of language experts consulted; (6) number
of community goals developed to preserve the native language; and (7)
number of infrastructure and administrative systems, including policies
and procedures developed and implemented. (Legal authority: Section
803(a) and (d), 803B and 803C of the Native American Programs Act of
1974, as amended, 42 U.S.C. 2991b, 2991b-2 and 2991b-3.)
The optional impact indicators for Language, Category II are: (1)
Number of people involved in establishment or operation of project; (2)
number of training classes or workshops held to teach language; (3)
number and type of materials developed; (4) number of media products
developed; (5) number of translations achieved; (6) number of
individuals who increased in ability to speak the language; (7) number
of participants who achieve fluency; (8) number of settings the
language is spoken in; and (9) number of infrastructure and
administrative systems, including policies and procedures developed and
implemented. (Legal authority: Section 803(a) and (d), 803B and 803C of
the Native American Programs Act of 1974, as amended, 42 U.S.C. 2991b,
2991b-2 and 2991b-3.)
The optional impact indicators for Environmental are: (1) Number of
environmental regulations, codes or ordinances created; (2) number of
people to successfully complete a workshop/training; (3) number of
workshops/trainings provided; (4) types of capacity building systems
created and implemented to support environmental program functions; (5)
identification of Tribal or Village government regulations, codes or
ordinances that were enacted and adopted; (6) number of regulations,
codes or ordinances successfully enforced; and (7) number of
infrastructure and administrative systems, including policies and
procedures developed and implemented. ANA may add/delete optional
impact indicators to program announcements as necessary to support ANA
initiatives. (Legal authority: Section 803(a) and (d), 803B and 803C of
the Native American Programs Act of 1974, as amended, 42 U.S.C. 2991b,
2991b-2 and 2991b-3.)
(d) ANA corrected the timeframe for use of research data in an
application from 48 to 36 months under the Language, Category II
program.
[[Page 77253]]
IV. ANA Funding Restrictions
In ANA's effort to streamline its program announcements and to
clarify Funding Restriction Policies for applicants, ANA has relocated
general policy statements from the criterion section of the program
announcement text to the Funding Restrictions Policies section.
Formerly listed under ``ANA Administrative Policies'', the bullet point
on funding requests for feasibility studies, business plans, marketing
plans or written materials and the bullet point on proposals from
consortia of Tribes were moved to the section entitled ``ANA Funding
Restrictions''. These restrictions are already reflected in the ANA
eligibility restrictions at 45 CFR 1336.33(b) (2) and (b) (6). The
bullet point on the social service delivery programs was inadvertently
omitted from previous announcements, but ANA is statutorily required to
address these programs. The restriction already appears in the ANA
eligibility regulation at 45 CFR 1336.33(b) (3). ANA will include the
following funding restrictions in all program announcements in
compliance with sections 803(a) and (d) and 803C of the Native American
Programs Act of 1974 as amended, 42 U.S.C. 2991b and 2991b-3 and 45 CFR
1336:
Projects that request funds for feasibility studies,
business plans, marketing plans or written materials, such as manuals,
that are not an essential part of the applicant's project or SEDS long-
range development plan. (Legal authority: Sections 803(a) and (d) and
803C of the Native American Programs Act of 1974 as amended, 42 U.S.C.
2991b and 2991b-3 and 45 CFR 1336.33.)
The support of ongoing social service delivery programs or
the expansion, or continuation, of existing social service delivery
programs. (Legal authority: Sections 803(a) and (d) and 803C of the
Native American Programs Act of 1974 as amended, 42 U.S.C. 2991b and
2991b-3 and 45 CFR 1336.33.)
Proposals from consortia of Tribes that are not specific
to support from and roles of member Tribes. An application from a
consortium must have goals and objectives that will create positive
impacts and outcomes in the communities of its members. ANA will not
fund activities by a consortium of Tribes that duplicates activities
for which member Tribes also receive funding from ANA. (Legal
authority: Sections 803(a) and (d) and 803C of the Native American
Programs Act of 1974 as amended, 42 U.S.C. 2991b and 2991b-3 and 45 CFR
1336.33.)
V. Initial Screening
Prior to competitive panel review, all applications are pre-
screened for completeness. Previously, each application submitted to
ANA in response to a program announcement was pre-screened to ensure
that (a) The application was received by the program announcement
closing date; (b) the application was submitted in accordance with
Section IV, ``Application and Submission Information''; (c) the
applicant is eligible for funding in accordance with Section III,
``Eligibility Information''; (d) the applicant submitted the proper
supporting documentation such as proof of non-profit status,
resolutions, and required government forms; (e) an authorized
representative has signed the application; and (f) the applicant has a
DUNS number. An application that does not meet (a) through (f)
immediately above is determined to be incomplete and is excluded from
the competitive review process.
In an effort to ensure consistency with the way ACF evaluates
competitive discretionary grant applications, ACF has changed its
policy to include only two enforceable screen-out criteria: timeliness
and compliance with stated funding limitations. Additionally, ACF has
approved ANA's request to include two additional screen-out criteria:
inclusion of a signed and dated resolution by the governing body and,
for applicants that are not Tribes or Alaska Native Village
governments, submission of a resolution and proof that a majority of
the governing board of directors is representative of the community to
be served.
Consequently, ANA will screen applications for completeness prior
to the competitive panel review using the following elements: (a) The
application is received by ANA on or before the published program
announcement closing date; (b) the Federal request does not exceed the
ceiling award amount as published in the program announcement; (c) the
application includes a signed and dated resolution of the governing
body; and (d) if the applicant is not a Tribe or Alaska Native village
government, the native non-profit organization submits a resolution and
proof that a majority of the governing board of directors is
representative of the community to be served. An application that does
not contain these elements will be considered incomplete and excluded
from the competitive review process.
VI. Administrative Policies
In ANA's effort to streamline its program announcements and to
clarify administrative policies for applicants, ANA has relocated
general policy statements from the Criterion section of the program
announcement text to the Administrative Policies section. ANA has also
clarified administrative policies that have historically prompted
numerous questions and created application and project development
inconsistencies. For example, ANA removed ``Organizational Capacity''
and reworded the first bullet below for clarity. The second bullet
below clarifies the administrative policy on the funding of projects
versus programs to include the term ``short-term'' to communicate that
projects will not be awarded for longer than three years in most
program areas. The third and fourth bullets were moved from Definitions
to Administrative Policies to establish the policy to determine project
progress before additional funding is committed. For the purposes of
clarity, the fifth bullet combined and reworded the requirement for
community involvement under the definition for ``Community
Involvement'' with a similar paragraph under ``Need for Assistance''.
The sixth bullet supports the needs of ANA and was reworded for
clarity. The seventh bullet was also reworded for clarity. The policy
on the treatment of multiple applications and applications from Tribal
components has been reworded for clarity and broken into two separate
points to ensure application to both Tribes and non-profit
organizations. The revised policy is contained in the eighth and ninth
bullet points of the list below. The ninth bullet corrects the
inadvertent omission of the categories that apply to the board of
directors for non-profit applicants. ANA will now include the following
administrative policies in each program announcement (Legal authority:
Sections 803(a) and (d) and 803C of the Native American Programs Act of
1974, as amended, and 45 U.S.C. 2991b and 2991b-3):
Applicants must comply with the following administrative policies:
All funded applications will be reviewed to ensure that
the applicant has provided a positive statement to give credit to ANA
on all material developed using ANA funds.
ANA funds short-term projects, not programs. Proposed
projects must have definitive goals and objectives that will be
achieved by the end of the project period. All projects funded by ANA
must be completed, or self-sustaining or
[[Page 77254]]
supported by other-than-ANA funding at the end of the project period.
Before funding the second or third year of a multi-year
grant, ANA will require verification and support documentation from the
grantee that objectives and outcomes proposed in the preceding year
were accomplished and that the non-Federal share was met.
ANA reviews the quarterly and annual reports of grantees
to determine if the grantee is meeting its goals, objectives and
activities identified in the Objective Work Plan (OWP).
Applications from national and regional organizations must
clearly demonstrate a need for the project, explain how the project
originated, discuss the community-based delivery strategy of the
project, identify and describe the intended beneficiaries, describe and
relate the actual project benefits to the community and organization
and describe a community-based delivery system. National and regional
organizations must describe their membership, define how the
organization operates and demonstrate Native community and/or Tribal
government support for the project. The type of community to be served
will determine the type of documentation necessary to support the
project.
Applicants proposing an Economic Development project must
address the project's viability. A business plan, if applicable, must
be included to describe the project's feasibility, cash flow and
approach for the implementation and marketing of the business.
ANA will review proposed projects to ensure applicants
have considered all resources available to the community to support the
project.
ANA will not accept applications from Tribal components
that are Tribally authorized divisions unless the ANA application
includes a Tribal resolution.
ANA will only accept one application per eligible entity.
The first application received by ANA will be the application
considered for competition unless ANA is notified in writing which
application should be considered for competitive review.
If the applicant, other than a Tribe or an Alaska Native
Village government, is proposing a project benefiting Native Americans,
Alaska Natives, or both, the applicant must provide assurance that its
duly elected or appointed board of directors is representative of the
community to be served. Applicants must provide information that at
least a majority of the individuals serving on a non-profit applicant's
board fall into one or more of the following categories: (1) A current
or past member of the community to be served; (2) a prospective
participant or beneficiary of the project to be funded; or (3) have a
cultural relationship with the community to be served. (Legal
authority: 45 CFR 1336.33(a).)
VII. Funding Thresholds
This is a clarification to the ANA Environmental Regulatory
Enhancement program announcement funding threshold. The funding
threshold for the Environmental Regulatory Enhancement program will be
$50,000.00 (floor amount) to $250,000.00 (ceiling amount) per budget
period. Applications exceeding the $250,000.00 threshold will be
considered non-responsive and will not be considered for funding under
this announcement. (Legal authority: Sections 803(a) and (d) and 803C
of the Native American Programs Act of 1974, as amended, 42 U.S.C.
2991b and 2991b-3.)
VIII. Definitions
The following definitions will be used in the appropriate program-
specific FY 2005 program announcements. ANA has clarified many areas
that applicants have historically found difficult to understand and
that have previously prompted numerous questions and created
application and project development inconsistencies. The ANA program
announcements will now include additional definitions for the following
terms:
Consortium/Tribal Village: A group of Tribes or Villages that join
together for long-term purposes or for the purpose of an ANA grant.
Impact Indicators: Measurement descriptions used to identify the
outcomes or results of the project. Outcomes or results must be
quantifiable, measurable, verifiable and related to the outcome of the
project to determine that the project has achieved its desired
objective and can be independently verified through ANA monitoring and
evaluation.
Objective Work Plan (OWP): The project plan the applicant will use
in meeting the results and benefits expected for the project. The
results and benefits are directly related to the Impact Indicators. The
OWP provides detailed descriptions of how, when, where, by whom and why
activities are proposed for the project and is complemented and
condensed in the OWP. ANA will require separate OWPs for each year of
the project. (Form OMB 0980-0204 exp 10/31/2006.)
Minor Renovation or Alteration: Work required to change the
interior arrangements or other physical characteristics of an existing
facility, or install equipment so that it may be more effectively used
for the project. Minor alteration and renovation may include work
referred to as improvements, conversion, rehabilitation, remodeling or
modernization, but is distinguished from construction and major
renovations. A minor alteration and/or renovation must be incidental
and essential for the project (``incidental'' meaning the total
alteration and renovation budget must not exceed the lesser of $150,000
or 25 percent of total direct costs approved for the entire project
period).
Total Approved Project Costs: The sum of the Federal request plus
the non-Federal share. (Legal authority: Section 803(a) and (d) and
803C of the Native American Programs Act of 1974, as amended, 42 U.S.C.
2991b and 2991b-3.)
IX. Application Review Information
To ensure that grantees fulfill their obligations to ANA, ANA is
including a review of grantees' past performance when considering the
applicant for a new or ongoing award under all three program areas. The
inclusion of this item in the application consideration process will
assist ANA in making its funding decisions on whether or not to award
to a particular grant applicant. Factors that may impact a grantee's
past performance are their timeliness to report submission
requirements, timely use and proper expenditure of the grant award
funds and the administrative ease of closing out the grantee at the end
of the award period.
The following statement is included under the Application
Consideration for the Review and Selection Process:
Application Consideration: The Commissioner's funding decision is
based on an analysis of the application by the review panel, panel
review scores and recommendations; an analysis by ANA staff; review of
previous ANA grantee's past performance; comments from State and
Federal agencies having contract and grant performance-related
information; and other interested parties.
X. Native Language Program Area
The title for Native Language Category I grants has been changed
from ``Native Language Category I Planning'' to ``Native Language
Category I Assessment''. The change clarifies the purpose of the 12-
month Category I grant. (Legal authority: Section 803(a) and (d) and
803C of the Native American Programs Act of 1974, as amended, 42 U.S.C.
2991b and 2991b-3.)
[[Page 77255]]
The FY 2005 Native Language Program Announcement expands the
Category I--Program Area of Interest and the necessary assessment data
to be collected. ANA recommends each applicant consider the Program
Area of Interest in the development of a project. The Program Area of
Interest under Category I is ``A project for data collection and
compilation that surveys the current language status through a
``formal'' method (e.g., work performed by a linguist and/or a language
survey conducted by community members) or an ``informal'' method (e.g.,
a community consensus of the language status based on elders, Tribal
scholars and/or other community members) with the development of long-
range language preservation goals and uses elders in the development of
these goals. This assessment data should capture, at a minimum, the
following data: number of speakers; age of speakers; gender of
speakers; level(s) of fluency; number of first language speakers
(native language as the first language acquired); number of second
language speakers (native language as the second language acquired);
where native language is used (e.g., home, court system, religious
ceremonies, church, media, school, governance or cultural activities);
source of data (formal and/or informal); and rate of language loss or
gain. (Legal authority: Section 803(a) and (d) and 803C of the Native
American Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3.)
Dated: December 17, 2004.
Quanah Crossland Stamps,
Commissioner, Administration for Native Americans
[FR Doc. 04-28216 Filed 12-23-04; 8:45 am]
BILLING CODE 4184-01-P