[Federal Register: February 20, 2004 (Volume 69, Number 34)]
[Notices]
[Page 7962-7974]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20fe04-61]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Grants and Cooperative Agreements, Etc.: Environmental Regulatory
Enhancement Program
Program Office Name: Administration for Native Americans (ANA).
Funding Opportunity Title: Environmental Regulatory Enhancement.
Announcement Type: Competitive Grant--Initial.
Funding Opportunity Number: HHS-2004-ACF-ANA-NR-0002.
CFDA Number: 93.581.
Due Date for Application: March 31, 2004, 4:30 P.M. (EST).
Summary: The Administration for Native Americans (ANA), within the
Administration for Children and Families, announces the availability of
fiscal year (FY) 2004 funds for the Environmental Regulatory
Enhancement (Environmental) Program. Financial assistance is provided
utilizing the competitive process in accordance with the Native
Americans Programs Act of
[[Page 7963]]
1974, as amended. The Program Areas of Interest are projects that ANA
considers supportive to Native American communities. Although
eligibility for funding is not restricted to projects of the type
listed under this program announcement, these Areas of Interest are
ones which ANA sees as particularly beneficial to the development of
healthy Native American communities.
I. Funding Opportunity Description
The Administration for Native Americans (ANA), within the
Administration for Children and Families, announces the availability of
fiscal year (FY) 2004 funds for new community-based projects under the
competitive area: Environmental Regulatory Enhancement. This
announcement contains information on financial assistance from the
Environmental Regulatory Enhancement Program, authorized under Section
803(d) of the Native American Programs Act of 1974 (Act), 42 U.S.C.
2991b. Despite an increasing environmental responsibility and growing
awareness of environmental issues on Indian lands, there has been a
lack of resources available to tribes to develop tribal environmental
programs that are responsive to tribal needs. In many cases, the lack
of resources has resulted in a delay in action on the part of the
tribes.
In 1990, Congress added Section 803(d) to the Native American
Programs Act of 1974 to address critical issues identified by tribes
before congressional committees, some of which included: The need for
assistance to train professional staff to monitor and enforce tribal
environmental programs; the lack of adequate data for tribes to develop
environmental statutes and establish quality environmental standards;
and the lack of resources to conduct studies to identify sources of
pollution and determine the impact on existing environmental quality.
The Native American Programs Act of 1974 was amended to strengthen
tribal governments through building capacity in order to identify,
plan, develop, and implement environmental programs in a manner that is
consistent with tribal culture. Ultimate success in this program will
be realized when the applicant's desired level of environmental quality
is acquired and maintained.
In this announcement, ANA encourages Native American tribes and
organizational leaders to propose, coordinate and implement community-
based projects and services that meet the needs of its community
members and create options and opportunities for future generations.
This program announcement emphasizes community-based partnerships
and projects. This emphasis will increase the number of grants to local
community organizations and expand the number of partnerships among
locally based non-profit organizations. ANA will accept applications
for funding and award grants to multiple organizations located in the
same geographic area, provided the activities are not duplicative of
previously funded ANA projects in the same geographic area or to the
same grantee. Previously, under each competitive program area, ANA
accepted one application that served or impacted a reservation, Tribe
or Native American community. The reason for this change is to expand
and support large Native American rural and urban communities that
provide a variety of services in the same geographic area. Although
Tribes are limited to three simultaneous ANA grants (one each under
SEDS, Language and Environmental programs) at any one time, this
clarification allows other community-based organizations to apply for
ANA funding to support on-going community-based efforts, provided the
activities do not duplicate currently funded projects serving the same
geographic area.
The Program Areas of Interest are projects that ANA considers
supportive to Native American communities. Although eligibility for
funding is not restricted to projects of the type listed under this
program announcement, these Areas of Interest are ones which ANA sees
as particularly beneficial to the development of healthy Native
American communities.
ANA Administrative Policies: Applicants must comply with the
following Administrative Policies:
An applicant must provide a 20% non-federal
match of the approved project costs.
An application from a Tribe, Alaska Native
Village or Native American organization must be from the governing
body.
A non-profit organization submitting an
application must submit proof of its non-profit status at the time of
submission. The non-profit agency can accomplish this by providing: (i)
A reference to the applicant organization's listing in the Internal
Revenue Service's (IRS) most recent list of tax-exempt organizations
described in the IRS Code; or (ii) a copy of the currently valid IRS
tax exemption certificate; or (iii) a statement from a State taxing
body, State Attorney General, or other appropriate State official
certifying that the applicant organization has a non-profit status and
none of the net earnings accrue to any private shareholders or
individuals; or (iv) a certified copy of the organization's certificate
of incorporation or similar document that clearly establishes non-
profit status; or (v) any of the items in the subparagraphs immediately
above for a State or national parent organization and a statement
signed by the parent organization that the applicant organization is a
local non-profit affiliate. Organizations incorporating in American
Samoa are cautioned that the Samoan government relies exclusively upon
IRS determination of non-profit status; therefore, articles of
incorporation approved by the Samoan government do not establish non-
profit status for the purpose of ANA eligibility.
If the applicant, other than a Tribe or an
Alaska Native Village government, is proposing a project benefiting
Native Americans or Native Alaskans, or both, it must provide assurance
that it's duly elected or appointed board of directors is
representative of the community to be served. To establish compliance,
an applicant should provide supporting documentation and assurance that
its duly elected or appointed board of directors is majority Native
American.
Applicants must describe how the proposed
project objectives and activities relate to a locally determined
strategy.
Proposed projects must consider the maximum use
of all available community-based resources.
Proposed projects must present a strategy to
overcome the challenges that hinder movement toward self-sufficiency in
the community.
Applicants proposing an Economic Development
project should 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 not accept applications from tribal
components, which are tribally authorized divisions of a larger tribe,
which are not approved by the governing body of the tribe.
An applicant can have only one active
Environmental grant operating at any given time.
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 supported by other than
ANA funding at the end of the project period.
[[Page 7964]]
Definitions: Program specific terms and concepts are defined and
should be used as a guide in writing and submitting the proposed
project. The funding for allowable projects in this program
announcement is based on the following definitions:
Authorized Representative: The person or person(s) authorized by
Tribal or Organizational resolution to execute documents and other
actions required by outside agencies.
Budget Period: The interval of time into which the project period
is divided for budgetary or funding purposes, and for which a grant is
made. A budget period usually lasts one year in a multi-year project
period.
Community: A group of people residing in the same geographic area
that can apply their own cultural and socio-economic values in
implementing ANA's program objectives and goals. In discussing the
applicant's community, the following information should be provided:
(1) A description of the population segment within the community to be
served or impacted; (2) the size of the community; (3) geographic
description or location, including the boundaries of the community; (4)
demographic data on the target population; and (5) the relationship of
the community to any larger group or tribe.
Community Involvement: How the community participated in the
development of the proposed project, how the community will be involved
during the project implementation and after the project is completed.
Evidence of community involvement can include, but is not limited to,
certified petitions, public meeting minutes, surveys, needs
assessments, newsletters, special meetings, public Council meetings,
public committee meetings, public hearings, and annual meetings with
representatives from the community. The applicant should document the
community's support of the proposed project. Applications from National
and Regional Indian and Native organizations should clearly demonstrate
a need for the project, explain how the project originated, identify
the beneficiaries, and describe and relate the actual project benefits
to the community and organization. National Indian and Native
organizations should also identify their membership and specifically
discuss how the organization operates and impacts Native American
people and communities.
Completed Project: A project funded by ANA is finished, or self-
sustaining, or funded by other than ANA funds, and the results and
outcomes are achieved by the end of the project period.
Consortia--Tribe / Village: A group of Tribes or villages that join
together either for long-term purposes or for the purpose of an ANA
project. Applicant must identify consortia membership. The consortia
applicant must be the recipient of the funds. A consortia applicant
must be an ``eligible entity'' as defined by this Program Announcement
and the ANA regulations. Consortia applicants should include
documentation (a resolution adopted pursuant to the organization's
established procedures and signed by an authorized representative) from
all consortia members supporting the ANA application. An application
from a consortium should 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 which duplicates
activities for which member Tribes also receive funding from ANA. The
consortium application should identify the role and responsibility of
each participating consortia member and a copy of the consortia legal
agreement or Memoranda of Agreement to support the proposed project.
Construction: The initial building of a facility.
Core Administration: Salaries and other expenses for those
functions that support the applicant's organization as a whole or for
purposes that are unrelated to the actual management or implementation
of the ANA project. However, salaries and activities that are clearly
related to the ANA project are eligible for grant funding.
Economic Development: Involves the promotion of the physical,
commercial, technological, industrial, and/or agricultural capacities
necessary for a sustainable local community. Economic development
includes activities and actions that develop sustainable, stable, and
diversified private sector local economies. For example, initiatives
that support employment options, business opportunities, development
and formation of a community's economic infrastructure, laws and
policies that result in the creation of businesses and employment
options and opportunities that provide for the foundation of healthy
communities and strong families.
Equipment: Tangible, non-expendable personal property, including
exempt property, charged directly to the award having a useful life of
more than one year and an acquisition cost of $5,000 or more per unit.
However, consistent with recipient policy, lower limits may be
established.
Governance: Involves assistance to tribal and Alaska Native village
government leaders to increase their ability to execute local control
and decision-making over their resources.
Implementation Plan: The guidebook the applicant will use in
meeting the results and benefits expected for the project. The
Implementation Plan provides detailed descriptions of how, when, where,
by whom and why activities are proposed for the project and is
complemented and condensed by the Objective Work Plan.
In-kind Contributions: In-kind contributions are property or
services which benefit a federally assisted project or program and
which are contributed by the grantee, non-Federal third parties without
charge to the grantee, or a cost-type contractor under the grant
agreement. Any proposed in-kind match must meet the applicable
requirements found in 45 CFR Part 74 and Part 92.
Letter of Commitment: A third party statement to document the
intent to provide specific in-kind contributions or cash to support the
applicant. The Letter of Commitment must state the dollar amount (if
applicable), the length of time the commitment will be honored, and the
conditions under which the organization will support the proposed ANA
project. If a dollar amount is included, the amount must be based on
market and historical rates charged and paid. The resources to be
committed may be human, natural, physical, or financial, and may
include other Federal and non-Federal resources. For example, a notice
of award from another Federal agency committing $200,000 in
construction funding to complement a proposed ANA funded pre-
construction activity is evidence of a commitment. Statements about
resources which have been committed to support a proposed project made
in the application without supporting documentation will be
disregarded.
Leveraged Resources: The total dollar value of all non-ANA
resources that are committed to a proposed ANA project and are
supported by documentation that exceed the 20% non-federal match
required for an ANA grant. Such resources may include any natural,
financial, and physical resources available within the tribe,
organization, or community to assist in the successful completion of
the project. An example would be a written letter of commitment from an
organization that agrees to provide a supportive action, product, and
service, human or financial
[[Page 7965]]
contribution that will add to the potential success of the project.
Multi-purpose Organization: A community-based corporation whose
charter specifies that the community designates the Board of Directors
and/or officers of the organization through an elective procedure and
that the organization functions in several different areas of concern
to the members of the local Native American community. These areas are
specified in the by-laws and/or policies adopted by the organization.
They may include, but need not be limited to, economic, artistic,
cultural, and recreational activities, and the delivery of human
services such as day care, education, and training.
Multi-year Project: Encompasses a single theme and requires more
than 12 or 17 months to complete. A multi-year project affords the
applicant an opportunity to develop and address more complex and in-
depth strategies that cannot be completed in one year. A multi-year
project is a series of related objectives with activities presented in
chronological order over a two or three year period. Prior to funding
the second or third year, 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 the
non-federal match requirement was met. Applicants proposing multi-year
projects must complete and submit an Objective Work Plan (OWP) and
budget with narrative for each project year, and fully describe
objectives to be accomplished, outcomes to be achieved, and the results
and benefits to determine the successful outcomes of each budget
period. ANA will review the quarterly and annual reports of grantees to
determine if the grantee is meeting its goals, objectives and
activities identified in the OWP.
Objective(s): Specific outcomes or results to be achieved within
the proposed project period that are specified in the Objective Work
Plan. Completion of objectives must result in specific, measurable,
outcomes that would benefit the community and directly contribute to
the achievement of the stated community goals. Applicants should relate
their proposed project objectives to outcomes that support the
community's long-range goals.
Partnerships: Agreements between two or more parties that will
support the development and implementation of the proposed project.
Partnerships include other community-based organizations or
associations, Tribes, Federal and State agencies and private or non-
profit organizations, which may include faith-based organizations.
Performance Indicators: Measurement descriptions used to identify
the outcomes or results of the project. Outcomes or results must be
measurable to determine that the project has achieved its desired
objective and can be independently verified through monitoring and
evaluation.
Real Property: Land, including land improvements, structures, and
appurtenances thereto, excluding movable machinery and equipment.
Renovation or Alteration: The 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. Alteration and renovation may include work referred to as
improvements, conversion, rehabilitation, remodeling, or modernization,
but is distinguished from construction.
Resolution: Applicants are required to include a current signed
Resolution (a formal decision voted on by the official governing body)
in support of the project for the entire project period. The Resolution
should indicate who is authorized to sign documents and negotiate on
behalf of the Tribe or organization. The Resolution should indicate
that the community was involved in the project planning process, and
indicate the specific dollar amount of any non-federal matching funds
(if applicable).
Sustainable Project: A sustainable project is an on-going program
or service that can be maintained without additional ANA funds.
Self-Sufficiency: The ability to generate resources to meet a
community's needs in a sustainable manner. A community's progress
toward self-sufficiency is based on its efforts to plan, organize, and
direct resources in a comprehensive manner that is consistent with its
established long-range goals. For a community to be self sufficient, it
must have local access to, control of, and coordination of services and
programs that safeguard the health, well-being, and culture of the
people that reside and work in the community.
Social Development: Investment in human and social capital for
advancing the well-being members of the Native American community
served. Social development is the action taken to support the health,
education, culture, and employment options that expand an individual's
capabilities and opportunities, and that promote social inclusion and
combat social ills.
Program Area: Environmental Regulatory Enhancement
The strengthening of tribal governments or organizations through
capacity building in order to identify, plan, develop, and implement
environmental programs in a manner that is consistent with tribal
culture for Native American communities.
Program Areas of Interest include:
Projects to develop regulations, ordinances and
laws to protect the environment;
Projects to develop the technical and program
capacity to carry out a comprehensive tribal environmental program and
perform essential environmental program functions to meet Tribal and
Federal regulatory requirements;
Projects that promote environmental training and
education of tribal employees;
Projects that develop technical and program
capability to monitor compliance and enforcement of Tribal and Federal
environmental regulations, ordinances, and laws.
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Program Area Funding: $3,000,000.
Anticipated Number of Awards: 20-30.
Average Projected Award Amount: $50,000 to $250,000.
Length of Project Periods: 12, 17, 24, or 36 months.
Ceiling on Amount of Individual Awards: $250,000 (for planning
purposes).
Floor of Individual Award Amounts: $50,000.
III. Eligibility Information
1. Eligible Applicants
Federally Recognized Indian Tribes;
Incorporated non-Federally and State recognized
Indian Tribes;
Alaska Native Villages, as defined in the Alaska
Native Claims Settlement Act (ANSCA) and/or non-profit village
consortia;
Non-profit Alaska Native Regional Corporations/
Associations in Alaska with village specific projects;
Other Tribal or village organizations or
consortia of Indian Tribes; and
Tribal governing bodies (Indian Reorganization
Act or Traditional Councils) as recognized by the Bureau of Indian
Affairs.
Additional Information on Eligibility: Please refer to section I
``Funding Opportunity Description'' to review general ANA
Administrative Policies for any applicable statutory policies
pertaining to application eligibility.
[[Page 7966]]
Proof of Non-Profit Status: Any non-profit organization submitting
an application must submit proof of its non-profit status in its
application at the time of submission. The non-profit agency can
accomplish this by providing:
A reference to the applicant organization's
listing in the Internal Revenue Service's (IRS) most recent list of
tax-exempt organizations described in the IRS Code; or
A copy of the currently valid IRS tax exemption
certificate; or
A statement from a State taxing body, State
Attorney General, or other appropriate State official certifying that
the applicant organization has a non-profit status and none of the net
earnings accrue to any private shareholders or individuals; or
A certified copy of the organization's
certificate of incorporation or similar document that clearly
establishes non-profit status; or
Any of the items in the subparagraphs
immediately above for a State or national parent organization and a
statement signed by the parent organization that the applicant
organization is a local non-profit affiliate.
Resolution: Applicants are required to include a current signed
Resolution (a formal decision voted on by the official governing body)
in support of the project for the entire project period. The Resolution
must indicate who is authorized to sign documents and negotiate on
behalf of the Tribe or organization. The Resolution should indicate
that the community was involved in the project planning process, and
indicate the specific dollar amount of any non-federal matching funds
(if applicable).
2. Cost Sharing or Matching
Grantees must provide at least 20 percent of the total approved
cost of the project. The total approved cost of the project is the sum
of the ACF 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 through cash contributions. Therefore, a
project requesting $100,000 in Federal funds (based on an award of
$100,000 per budget period) must provide a match of at least $25,000
($100,000 / 80% = $125, 000-$100,000 = $25,000) or 20% total approved
project cost. Grantees will be held accountable for commitments of non-
Federal resources even if over the amount of the required match.
Failure to provide the amount will result in disallowance of Federal
match. Applications that fail to include the required amount of cost-
sharing will be considered non-responsive and will not be eligible for
funding under this announcement. A request for a waiver of the non-
Federal share requirement may be submitted in accordance with 45 CFR
1336.50(b) (3) of the Native American Program regulations.
3. Other (if applicable)
DUNS Number: On June 27, 2003, the Office of Management and Budget
published in the Federal Register a new Federal policy applicable to
all Federal grant applicants after giving notice in the Federal
Register on June 27, 2002 and opportunity for public comment. The
policy requires all Federal grant applicants to provide a Dun and
Bradstreet Data Universal Numbering System (DUNS) number when applying
for Federal grants or cooperative agreements on or after October 1,
2003. The DUNS number will be required whether an applicant is
submitting a paper application or using the government-wide electronic
portal (http://www.Grants.Gov). A DUNS number will be required for every
application for a new award or renewal/continuation of an award,
including applications or plans under mandatory grant programs,
submitted on or after October 1, 2003. A DUNS number may be acquired at
no cost by calling the dedicated toll-free DUNS number request line on
1-866-705-5711 or you may request a number on-line at http://www.dnb.com
.
Applications that fail to include the required amount of cost-
sharing will be considered non-responsive and will not be eligible for
funding under this announcement.
IV. Application and Submission Information
1. Address To Request Application Package
The ANA regional Training and Technical Assistance providers at:
Region I: AL, AR, CT, DC, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD,
ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NY, OH, OK, PA, RI, SC, SD, TN,
TX, VA, VT, WI, W.VA
Native American Management Services, Inc., 6858 Old Dominion Drive,
Suite 302, McLean, Virginia 22101. Toll Free: 888-221-9686, (703)
821.2226 x-234, Fax: (703) 821.3680. Kendra King-Bowes, Project
Manager, E-Mail: kking@namsinc.org, http://www.anaeastern.org.
Region II: AZ, CA, CO, ID, MT, NM, NV, OR, UT, WA, WY
ACKCO, Inc., 2214 N. Central, Suite 250, Phoenix, Arizona 85004.
Toll Free: 800-525.2859, (602) 253.9211, Fax (602) 253.9135. Theron
Wauneka, Project Manager, Email: theron.wauneka@ackco.com,
http://www.anawestern.com.
Region III: Alaska
Native American Management Services, Inc., 11723 Old Glenn Highway,
Suite 201, Eagle River, Alaska 99577. Toll Free 877-770-6230, (907)
694.5711, Fax (907) 694.5775. P.J. Bell, Project Manager, E-Mail:
pjbell@gci.net, http://www.anaalaska.org.
2. Content and Form of Application Submission
Please refer to section I ``Funding Opportunity Description'' to
review general ANA Administrative Policies for any applicable statutory
policies pertaining to application content and form.
Application Submission: An original and two copies of the complete
application are required. The original copy must include all required
forms, certifications, assurances, and appendices, be signed by an
authorized representative, have original signatures, and be submitted
unbound. The two additional copies of the complete application must
include all required forms, certifications, assurances, and appendices
and must also be submitted unbound. Applicants have the option of
omitting from the application copies (not the original) specific salary
rates or amounts for individuals specified in the application budget. A
complete application for assistance under this Program Announcements
consists of Three Parts. Part One includes the SF 424, other required
government forms, and other required documentation. Part Two of the
application is a description of the project's substance. This section
of the application may not exceed 45 pages. Part Three of the
application is the Appendix. This section of the application may not
exceed 20 pages (the exception to this 20-page limit applies only to
projects that require, if relevant to the project, a Business Plan or
any Third-Party Agreements).
Electronic Submission: While ACF does have the capability to
receive program announcement applications electronically through
Grants.gov, electronic submission of applications will not be available
for this particular announcement. There are required application
form(s) specific to ANA that have not yet received clearance from
Grants.gov. While electronic submission of applications may be
available in the next fiscal year for this program, no
[[Page 7967]]
electronic submission of applications will be accepted for this
announcement this year as they would be missing those required ANA
forms and be considered incomplete.
Organization and Preparation of Application: Due to the intensity
and pace of the application review and evaluation process, ANA strongly
recommends applicants organize, label, and insert required information
in accordance with Part One, Part Two and Part Three as presented in
the charts below. The application should begin with the information
requested in Part One of the chart in the prescribed order. Utilizing
this format will insure all information submitted to support an
applicant's request for funding is thoroughly reviewed. Submitting
information in this format will assist the panel reviewer in locating
and evaluating the information. Deviation from this suggested format
may reduce the applicant's ability to receive maximum points, which are
directly related to ANA's funding review decisions.
ANA Application Format: This format applies to all applicants
submitting applications for funding. ANA will now require all
applications to be labeled with a Section Heading in compliance with
the format provided in the program announcement. All pages submitted
(including Government Forms, certifications and assurances) should be
numbered consecutively. The paper size shall be 8\1/2\ x 11 inches,
line spacing shall be a space and a half (1.5 line spacing), printed
only on one side, and have a half-inch margin on all sides of the
paper. The font size should be no smaller than 12-point and the font
type shall be Times New Roman. These requirements do not apply to the
project Abstract Form, Letters of Commitment, the Table of Contents,
and the Objective Work Plan.
Forms and Assurances: The project description should include all
the information requirements described in the specific evaluation
criteria outlined in the program announcement under Part V. In addition
to the project description, the applicant needs to complete all the
standard forms required for making applications for awards under this
announcement. Applicants requesting financial assistance for non-
construction projects must file the Standard Form 424B, ``Assurances:
Non-Construction Programs.'' Applicants must sign and return the
Standard Form 424B with their applications. Applicants must provide a
certification regarding lobbying when applying for an award in excess
of $100,000. Applicants must sign and return the certification with
their applications. Applicants must disclose lobbying activities on the
Standard Form LLL when applying for an award in excess of $100,000.
Applicants who have used non-Federal funds for lobbying activities in
connection with receiving assistance under this announcement shall
complete a disclosure form, if applicable, with their applications. The
forms (Forms 424, 424A-B; and Certifications may be found at:
http://www.acf.hhs.gov/programs/ofs/forms.htm. Fill out Standard Forms 424 and
424A and the associated certifications and assurances based on the
instructions on the forms.
Survey: Private, non-profit organizations are encouraged to submit
with their applications the survey located under ``Grant Related
Documents and Forms'' titled ``Survey for Private, Non-Profit Grant
Applicants'' at http://www.acf.hhs.gov/programs/ofs/forms.htm. (OMB No. 1890-
0014 Exp. 1/31/06).
3. Submission Date and Time
The closing time and date for receipt of applications is 4:30
(Eastern Standard Time) on March 31, 2004. Mailed or hand-delivered
applications received after 4:30 p.m. on the closing date will be
classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Grants Management,
Division of Discretionary Grants, 370 L'Enfant Promenade, SW.,
Washington, DC 20447. This address must appear on the envelope/package
containing the application with the note ``Attention: Lois B. Hodge.''
Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.
Hand-delivered applications must be received at the address below
by 4:30 p.m. (Eastern Standard Time) on or before the closing date.
Applications that are hand delivered will be accepted between the hours
of 8 a.m. and 4:30 p.m., Monday through Friday (excluding Federal
holidays). Applications may be delivered to the U.S. Department of
Health and Human Services, Administration for Children and Families,
Office of Grants Management, Division of Discretionary Grants, ACF Mail
Room, Second Floor Loading Dock, Aerospace Center, 901 D Street, SW.,
Washington, DC 20024. This address must appear on the envelope/package
containing the application with the note ``Attention: Lois B. Hodge.''
Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.
Late Applications: Applications that do not meet the Deadline
criteria above will be considered late applications. ACF shall notify
each late applicant that its application will not be considered for
review in the current competition.
Extension of Deadline: ACF may extend application deadlines when
circumstances such as acts of God (floods, hurricanes, etc.) occur,
when there are widespread disruptions of mail service. Determinations
to extend or waive deadline requirements rests with the Grants
Management Officer.
Required Forms: All requirements for submission are due on or
before the deadline date.
Part One--Federal Forms and Other Required Documents
------------------------------------------------------------------------
Content and location of Part
Part One must include the following One required forms,
certifications, and documents
------------------------------------------------------------------------
SF 424, SF 424 A, and SF 424B.......... http://www.acf.hhs.gov/programs/
ofs/forms.htm
Table of Contents...................... Applicant must include a table
of contents that accurately
identifies the page number and
where the information can be
located. Table of Contents
does not count against
application page limit.
Project Abstract....................... ANA Form: OMB Clearance Number
0980-0204 http://www.acf.hhs.gov/programs/ana
.
Proof of Non-Profit Status............. As described in this
announcement under Section B--
Award Information, subpart
heading ``Acceptable proof of
Non-profit status.''
Resolution............................. Information for submission can
be found in the Program
Announcement Section,
``Content and Form of
Application Submission.''
[[Page 7968]]
Documentation that the Board of As described in this
Directors is majority Native American, announcement under ``ANA
if applicant is other than a Tribe or Administrative Policies''
Alaska Native Village government. section.
Audit Letter........................... A Certified Public Accountant's
``Independent Auditors' Report
on Financial Statement.'' This
is usually only a two to three
page document. (This
requirement applies only to
applicants with annual
expenditures of $300,000 or
more of Federal funds).
Applicant must also include
that portion of the audit
document that identifies all
other Federal sources of
funding,
Indirect Cost Agreement................ Organizations and Tribes must
submit a current indirect cost
agreement (if claiming
indirect costs) that aligns
with the approved ANA project
period. The Indirect Cost
Agreement must identify the
individual components and
percentages that make up the
indirect cost rate.
Non-Federal Share of Waiver Request, A request for a waiver of the
per 45 CFR 1336.50(b). non-Federal share requirement
may be submitted in accordance
with 45 CFR 1336.50(b)(3) of
the Native American Program
regulations (if applicable).
Certification regarding Lobbying May be found at http://www.acf.hhs.gov/
Disclosure of Lobbying Activities--SF programs/ofs/forms.htm.
LLL.
Certification regarding Maintenance of May be found at http://www.acf.hhs.gov/
Effort. programs/ofs/forms.htm
Environmental Tobacco Smoke May be found at http://
Certification. www.acf.hhs.gov/programs/ofs/
forms.htm.
------------------------------------------------------------------------
Part Two--Application Review Criteria
------------------------------------------------------------------------
Application review criteria--
Part two--proposed project this section may not exceed 45
pages
------------------------------------------------------------------------
Criteria One (5 pts)................... Introduction and Project
Summary/Project Abstract.
Criteria Two (20 pts).................. Objectives and Need for
Assistance.
Criteria Three (25 pts)................ Approach: Include an Objective
Work Plan (OWP) Form for each
12 months of the project
period. Only one OWP is needed
to reflect a 17-month project
period.
Criteria Four (20 pts)................. Organizational Capacity.
Criteria Five (20 pts)................. Results or Benefits Expected.
Criteria Six (10 pts).................. Budget and Budget Justification
Summary/Cost Effectiveness.
------------------------------------------------------------------------
Part Three--Appendix
------------------------------------------------------------------------
Appendix
------------------------------------------------------------------------
Part Three--Documentation......... This section may not exceed 20
pages. Part Three includes only
supplemental information or
required support documentation that
addresses the applicant's capacity
to carry out and fulfill the
proposed project. These items
include: letters of agreement with
cooperating entities, in-kind
commitment and support letters,
business plans, and a summary of
the Third Party Agreements. Do not
include books, videotapes, studies
or published reports and articles,
as they will not be made available
to the reviewers, or be returned to
the applicant.
------------------------------------------------------------------------
Additional Forms: Private-non-profit organizations may submit with
their applications the additional survey located under ``Grant Related
Documents and Forms'' titled ``Survey for Private, Non-Profit Grant
Applicants''.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit Per required form..... May be found on http:// By application due
Grant Applicants. http://www.acf.hhs.gov/programs/ date.
ofs/form.htm.
----------------------------------------------------------------------------------------------------------------
4. Intergovernmental Review
Applications are not subject to Executive Order 12372.
5. Funding Restrictions
ANA does not fund:
Activities in support of litigation against the
United States Government that are unallowable under OMB Circulars A-87
and A-122.
ANA has a policy of not funding duplicative
projects or allowing any one community to receive a disproportionate
share of the funds available for award. When making decisions on awards
of grants the Agency will consider whether the project is essentially
identical or similar, in whole or significant part, to projects in the
same community previously funded or being funded under the same
competition. The Agency will also consider whether the grantee is
already receiving funding for a SEDS, Language, or Environmental
project from ANA. The Agency will also take into account in making
funding decisions whether a proposed project would require funding on
an indefinite or recurring basis. This determination
[[Page 7969]]
will be made after it is determined whether the application meets the
requirements for eligibility as set forth in 45 CFR part 1336, Subpart
C, but before funding decisions are complete.
Projects in which a grantee would provide
training and/or technical assistance (T/TA) to other tribes or Native
American organizations that are otherwise eligible to apply for ANA
funding. However, ANA will fund T/TA requested by a grantee for its own
use or for its members' use (as in the case of a consortium), when the
T/TA is necessary to carry out project objectives.
The purchase of real property or construction
because those activities are not authorized by the Native American
Programs Act of 1974, as amended.
Objectives or activities to support core
administration activities of an organization. However, functions and
activities that are clearly project related are eligible for grant
funding (Please refer to the definition for ``core administration
activities'' under Definitions within section I on Funding Opportunity
Description, and the section on indirect costs under section V.1
Application Review Information, Criteria).
Costs associated with fund raising, including
financial campaigns, endowment drives, solicitation of gifts and
bequests, and similar expenses incurred solely to raise capital or
obtain contributions are unallowable under an ANA grant award. However,
any unallowable costs for purposes of computing charges to Federal
awards must be treated as direct costs for purpose of determining
indirect cost rates, and be allocated their share of the organization's
indirect costs if they represent activities that (a) include the
salaries of personnel, (b) occupy space, and (c) benefit from the
organization's indirect costs.
Major renovation or alteration because those
activities are not authorized under the Native American Programs Act of
1974, as amended.
Projects originated and designed by consultants
who provide a major role for themselves and are not members of the
applicant organization, Tribe, or village.
Project activities that do not further the three
interrelated ANA goals of economic development or social development or
governance, or meet the purpose of this program announcement.
6. Other Submission Requirements
Submission by Mail: An Applicant must provide a complete original
and two copies of the application with all required forms and signed by
the authorized representative. The Application must be received at the
address below by 4:30 PM Eastern Standard Time on or before the closing
date. Applications should be mailed to: U.S. Department of Health and
Human Services, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, ``Attention: Lois
B. Hodge'', 370 L'Enfant Promenade, SW., Washington, DC 20447.
For Hand-Delivery: An Applicant must deliver a complete original
and two copies of the application with all required forms and signed by
the authorized representative. Applications shall be considered as
meeting an announced deadline if received on or before the deadline
date, between the hours of 8 a.m. to 4:30 p.m., EST, Monday through
Friday (excluding Federal holidays). Applications may be delivered to
the U.S. Department of Health and Human Services, Administration for
Children and Families, Office of Grants Management, Division of
Discretionary Grants, ACF Mail Room, Second Floor Loading Dock,
Aerospace Center, 901 D Street, SW., Washington, DC, 20024. This
address must appear on the envelope/package containing the application
with the note ``Attention: Lois B. Hodge''. Applicants are cautioned
that express/overnight mail services do not always deliver as agreed.
V. Application Review Information
1. Criteria
Instructions: ACF Uniform Project Description (UPD)
The UPD text should be used as a general guidance in the
development of projects. However, the program specific ANA application
submission format to be used in response to this announcement is
located in Section IV ``Application and Submission Information''.
Purpose: The Project Description is a major area by which an
application is evaluated and ranked in competition with other
applications for financial assistance. The Project Description should
be concise and complete and should address the activity for which
Federal funds are being requested. Supporting documents should be
included if they present information clearly and succinctly. In
preparing your Project Description, all information requested through
each specific evaluation criteria should be provided. ANA uses this and
other information to make funding decisions. It is important,
therefore, that this information be included in the application.
General Instructions: ANA is particularly interested in specific
factual information and statements of measurable goals and performance
indicators in quantitative terms. Project descriptions are evaluated on
a basis of substance, not length. Extensive exhibits are not required.
Cross-referencing should be used rather than repetition. Supporting
information that does not directly pertain to an integral part of the
grant-funded activity should be placed in the appendix. The application
narrative should be in a 12-pitch font. A table of contents and an
executive summary should be included. Each page should be numbered
sequentially, including attachments or appendices. Please do not
include books, videotapes or published reports because they are not
easily reproduced, are inaccessible to the reviewers, and will not be
returned to the applicant.
Introduction: Applicants are required to submit a full Project
Description and shall prepare this portion of the grant application in
accordance with the following instructions and the specified evaluation
criteria. The introduction provides a broad overview of the Project,
and the information provided under each evaluation criteria expands and
clarifies the project program-specific activities and information that
reviewers will need to assess the proposed project.
Project Summary: Provide a summary of the Project Description (a
page or less) with reference to the funding request.
Objectives and Need for Assistance: Clearly identify the physical,
economic, social, financial, institutional, and/or other problem(s)
requiring a solution. The need for assistance must be demonstrated and
the principal and subordinate objectives of the project must be clearly
stated; supporting documentation, such as letters of support and
testimonials from concerned interests other than the applicant, may be
included. Any relevant data based on planning studies should be
included or referred to in the endnotes/footnotes. Incorporate
demographic data and participant/beneficiary information, as needed. In
developing the Project Description, the applicant should provide
information on the total range of projects currently being conducted
and supported (or to be initiated) to ensure they are within the scope
of the program announcement.
Results or Benefits Expected: Identify the results and benefits to
be derived by the community and its members. For example, applicants
are encouraged to describe the qualitative and quantitative data
collected, how this data will measure progress towards the stated
results or benefits, and how
[[Page 7970]]
performance indicators under economic and social development and
governance projects can be monitored, evaluated and verified.
Approach: Outline a plan of action that describes the scope and
detail of how the proposed work will be accomplished. Account for all
functions or activities identified in the application. Cite factors,
which might accelerate or decelerate the work and state your reason for
taking the proposed approach rather than others. Describe any unusual
features of the project such as design or technological innovations,
reductions in cost or time, extraordinary social and community
involvement or ease of project replication by other tribes and Native
organizations. List organizations, cooperating entities, consultants,
or other key individuals who will work on the project along with a
short description of the nature of their effort or contribution.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people served and the number of activities
accomplished. Examples of these activities would be the number of
businesses started or expanded, the number of jobs created or retained,
the number of people trained, the number of youth, couples or families
assisted or the number elders participating in the activity during that
reporting period. When accomplishments cannot be quantified by activity
or function, list them in chronological order to show the dates and
schedule of accomplishments. List organizations, cooperating entities,
consultants, or other key individuals who will work on the project, as
well as a short description of the nature of their effort or
contribution.
Organizational Profiles: Provide information on the applicant
organization(s) and cooperating partners with organizational charts,
financial statements, audit reports or statements from CPA/Licensed
Public Accountants, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information on
compliance with Federal/State/local government standards, documentation
of experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission.
Third-Party Agreements: Include written agreements between grantees
and sub grantees or subcontractors or other cooperating entities. These
agreements must detail scope of work to be performed, work schedules,
remuneration, and other terms and conditions that structure or define
the relationship.
Budget and Budget Justification: Provide line item detail and
detailed calculations for each budget object class identified on the
Budget Information form. Detailed calculations must include estimation
methods, quantities, unit costs, and other similar quantitative detail
sufficient for the calculation to be duplicated. The detailed budget
must also include a breakout by the funding sources identified in Block
15 of the SF-424. Provide a narrative budget justification that
describes how the categorical costs are derived. Discuss the necessity,
reasonableness, and allow-ability of the proposed costs.
Additional Information: The following are requests for additional
information that need to be included in the application: Any non-profit
organization submitting an application must submit proof of its non-
profit status in the application at the time of submission. The non-
profit organization shall submit one of the following: (i) A reference
to the applicant organization's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations described
in the IRS Code; or (ii) a copy of the currently valid IRS tax
exemption certificate; or (iii) a statement from a State taxing body,
State Attorney General, or other appropriate State official certifying
that the applicant organization has a non-profit status and none of the
net earnings accrue to any private shareholders or individuals; or (iv)
a certified copy of the organization's certificate of incorporation or
similar document that clearly establishes non-profit status; or (v) any
of the items in the subparagraphs immediately above for a State or
national parent organization and a statement signed by the parent
organization that the applicant organization is a local non-profit
affiliate. Organizations incorporating in American Samoa are cautioned
that the Samoan government relies exclusively upon IRS determinations
of non-profit status; therefore, articles of incorporation approved by
the Samoan government do not establish non-profit status for the
purpose of ANA program eligibility.
General: The following guidelines are for preparing the budget and
budget justification. Both Federal and non-Federal resources shall be
detailed and justified in the budget and narrative justification. For
purposes of preparing the budget and budget justification, ``Federal
resources'' refers only to the ACF grant for which you are applying.
Non-Federal resources are all other Federal and non-Federal resources.
It is suggested that budget amounts and computations be presented in a
columnar format: first column, object class categories; second column,
Federal budget; next column(s), non-Federal budget(s); and last column,
total budget. The budget justification should be a narrative.
Personnel: The description of the costs of
employee salaries and wages. Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project (in months), or time commitment to the
project (as a percentage or full-time equivalent), annual salary, grant
salary, wage rates, etc. Do not include the costs of consultants or
personnel costs of delegate agencies or of specific project(s) or
businesses to be financed by the applicant.
Fringe Benefits: Costs of employee fringe
benefits unless treated as part of an approved indirect cost rate.
Provide a breakdown of the amounts and percentages that comprise fringe
benefit costs such as health insurance, FICA, retirement insurance,
taxes, etc.
Travel: Costs of project-related travel by
employees of the applicant organization (does not include costs of
consultant travel). Justification: For each trip, show the total number
of traveler(s), travel destination, duration of trip, per diem, mileage
allowances, if privately owned vehicles will be used, and other
transportation costs and subsistence allowances. Travel costs for key
staff to attend ACF-sponsored workshops should be detailed in the
budget.
Equipment: Equipment means an article of
nonexpendable, tangible personal property having a useful life of more
than one year and an acquisition cost, which equals or exceeds the
lesser of (a) the capitalization level established by the organization
for the financial statement purposes, or (b) $5,000. (Note: Acquisition
cost means the net invoice unit price of an item of equipment,
including the cost of any modifications, attachments, accessories, or
auxiliary apparatus necessary to make it usable for the purpose for
which it is acquired. Ancillary charges, such as taxes, duty,
protective in-transit insurance, freight, and installation shall be
included in or excluded from acquisition cost in accordance with the
organization's regular written accounting practices.) Justification:
For each type of equipment requested, provide a description of the
equipment, the cost
[[Page 7971]]
per unit, the number of units, the total cost, and a plan for use on
the project, as well as use or disposal of the equipment after the
project ends. An applicant organization that uses its own definition
for equipment should provide a copy of its policy or section of its
policy, which includes the equipment definition.
Supplies: Costs of all tangible personal
property other than that included under the Equipment category.
Justification: Specify general categories of supplies and their costs.
Show computations and provide other information that supports the
amount requested.
Contractual: Costs of all contracts for services
and goods except for those, which belong under other categories such as
equipment, supplies, construction, etc. Third-party evaluation
contracts (if applicable) and contracts with secondary recipient
organizations, including delegate agencies and specific project(s) or
businesses to be financed by the applicant, should be included under
this category. Justification: All procurement transactions shall be
conducted in a manner to provide, to the maximum extent practical, open
and free competition. Recipients and sub-recipients, other than States
that are required to use Part 92 procedures, must justify any
anticipated procurement action that is expected to be awarded without
competition (sole source) and exceed the simplified acquisition
threshold fixed at 41 U.S.C. 403(11) (currently set at $100,000).
Recipients may be required to make available to ANA pre-award review
and procurement documents, such as request for proposals or invitations
for bids, independent cost estimates, etc. Note: Whenever the applicant
intends to delegate part of the project to another agency, the
applicant must provide a detailed budget and budget narrative for each
delegate agency, by agency title, along with the required supporting
information referred to in these instructions.
Other: Enter the total of all other costs. Such
costs, where applicable and appropriate, may include but are not
limited to insurance, food, medical and dental costs (noncontractual),
professional services costs, space and equipment rentals, printing and
publication, computer use, training costs, such as tuition and
stipends, staff development costs, and administrative costs.
Justification: Provide computations, a narrative description, and a
justification for each cost under this category.
Indirect Charges: Total amount of indirect
costs. This category should be used only when the applicant currently
has an indirect cost rate approved by the Department of the Interior,
Department of Labor, the Department of Health and Human Services (HHS),
or other Federal agency. Justification: An applicant that will charge
indirect costs to the grant must enclose a copy of the current rate
agreement. If the applicant organization is in the process of initially
developing or renegotiating a rate, it should immediately upon
notification that an award will be made, develop a tentative indirect
cost rate proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the cognizant agency's
guidelines for establishing indirect cost rates, and submit it to the
cognizant agency. Applicants awaiting approval of their indirect cost
proposals may also request indirect costs. It should be noted that when
an indirect cost rate is requested, those costs included in the
indirect cost pool should not also be charged as direct costs to the
grant. Also, if the applicant is requesting a rate which is less than
what is allowed under the program, the authorized representative of the
applicant organization must submit a signed acknowledgement that the
applicant is accepting a lower rate than allowed.
Program Income: The estimated amount of income,
if any, expected to be generated from this project. Justification:
Describe the nature, source, and anticipated use of program income in
the budget or refer to the pages in the application, which contain this
information.
Non-Federal Resources: Amounts of non-Federal
resources that will be used to support the project as identified in
Block 15 of the SF-424. Justification: The firm commitment of these
resources must be documented and submitted with the application in
order to be given credit in the review process. A detailed budget must
be prepared for each budget period.
Total Direct Charges, Total Indirect Charges,
and Total Project Costs.
Evaluation Criteria: ANA
Approach (25 Points): The Applicant's narrative should be clear and
concise. The applicant should provide a detailed project description
with goals and objectives. It should discuss the project strategy and
implementation plan over the project period. Applicant should also
describe the project strategy using the Objective Work Plan (OWP). In
the OWP, the applicant should identify the project objectives, time
frames, proposed activities, outcomes, and evaluation activity, as well
as the individuals responsible for completing the objectives and
performing the activities. Applicant should summarize how the project
description, objective(s), approach, strategy and implementation plan
are inter-related. The applicant should also include the names and
activities of any organizations, consultants, or other key individuals
who will contribute to the project. The Applicant should discuss
``Leveraged Resources'' (see Definitions) used to strengthen and
broaden the impact of the proposed project. The Applicant should
discuss how commitments and contributions from other entities will
enhance the project. Applicant should provide ``Letters of Commitment''
(see Definitions) that identify the time, dollar amount, and activity
to be accomplished through partnerships. Applicant should discuss the
relationship of non-ANA funded activities to those objectives and
activities that will be funded with ANA grant funds. (Letters of
Commitment are included in the Appendix).
Objectives and Need for Assistance (20 Points): Applicant should
show a clear relationship between the proposed project, the social and
economic development strategy, and the community's long-range goals.
The need for assistance should clearly identify the physical, economic,
social, financial, governmental, and institutional challenges and
problem(s) requiring a solution that supports the funding request.
Describe the community (see Definitions) to be affected by the project
and the community involvement in the project. The Applicant should
describe the community's long-range goals, the community planning
process, and how the project supports these community goals. The
applicant should describe how the proposed goals, objectives, and
activities reflect either the economic and social development or
governance needs of the local community. Discuss the geographic
location of the project and where the project and grant will be
administered.
Applications from National American Indian and Native American
organizations must clearly demonstrate a need for the project, explain
how the project originated, and identify intended beneficiaries,
describe and relate the actual project benefits to the community and
organization, and describe a community-based program delivery strategy.
National Indian and Native organizations should describe their
membership and define how the organization operates, and demonstrates
native community and/or Tribal government support for the project. The
type of community served will
[[Page 7972]]
determine the type of documentation necessary. Proposed project
objectives support the identified need and should be measurable.
Organizational Profile (20 Points): Provide information on the
management structure of the Applicant and the organizational
relationships with its cooperating partners. Include organizational
charts that indicate how the proposed project will fit into the
existing structure. Demonstrate experience in the program area.
Describe the Applicant's capabilities such as the administrative
structure, its ability to administer a project of the proposed scope
and its capacity to fulfill the implementation plan. If relevant to the
project, applicants must provide a Business Plan or any Third-Party
Agreements (not counted in Appendix page limit). Applicants are
required to affirm that they will credit the Administration for Native
Americans, and reference the ANA funded project on any audio, video,
and/or printed materials developed in whole or in part with ANA funds.
Applicants should list all current sources of federal funding, the
agency, purpose, amount, and provide the most recent certified signed
audit letter for the organization to be included in Part One of the
application. If the applicant has audit exceptions, these issues should
be addressed. Applicant should provide ``staffing and position data''
to include a proposed staffing pattern for the project where the
Applicant highlights the new project and staff. Positions discussed in
this section must match the positions identified in the Objective Work
Plan and in the proposed budget. Note: Applicants are strongly
encouraged to give preference to qualified Native Americans in hiring
project staff and in contracting services under an approved ANA grant.
Applicant should provide a paragraph of the duties and skills required
for the proposed staff and a paragraph on qualifications and experience
of current staff (Full position descriptions are required to be
submitted and included in the Appendix). Applicant should explain and
discuss how the current and future staff will manage the proposed
project. Brief biographies of key positions or individuals should be
included.
Results or Benefits Expected (20 Points): In this section the
applicant should discuss the ``Performance Indicators'' (see
Definitions) and the benefits expected as a result of this project.
Performance indicators identify qualitative and quantitative data
directly associated with the project. Each applicant should submit five
indicators to support the applicant's project. Three performance
indicators should be selected from the list of six below. Each grantee
is required to develop two additional indicators specific to the
project that directly support the goals and objectives. For each
performance indicator selected the applicant should discuss the
relevance of the data, the method for collecting the data, and the
evaluation process. Performance indicators will be reported to ANA in
the grantee's quarterly report. Three of the five Performance
indicators required, should be selected from the following list: (1)
The number of jobs created; (2) the number of workshops/trainings
provided; (3) the number of people to successfully complete a workshop/
training; (4) the number of community-based small businesses
established or expanded; (5) identification of tribal or village
government business, industry, energy or financial codes or ordinances
that were adopted or enacted; and (6) the number of children, youth,
families, or elders, assisted or participating. In this section the
applicant will describe how it will measure the success of the separate
project components and the project as a whole. Applicant should
describe how the success of the project would be evaluated and verified
by an independent program monitoring and evaluation team. Applicant
should provide a narrative on the specific performance indicators that
can be analyzed, measured, monitored, and evaluated. For example, if
requesting funds for a conference, workshop, or an educational
activity, the applicant should discuss the value and long-term impact
to the participants and the community and explain how the information
relates to the project goals, objectives and outcomes. The applicant
should discuss how the project will be completed, or self-sustaining,
or supported by other than ANA fund at the end of the project period.
Applicants should discuss and present objectives and goals to be
achieved and evaluated at the end of each budget period. Project
outcomes support the identified need and should be measurable.
Budget and Budget Justification/Cost Effectiveness: (10 Points):
Budget and Budget Justification: An applicant must submit an itemized
budget detailing the applicant's Federal and non-Federal share and
citing source(s) of funding. The applicant should provide a detailed
line item Federal and Non-federal share budget by year for each year of
project funds requested. A budget narrative describing the line item
budget should be attached for each year of project funds requested. The
budget should include a line item justification for each Object Class
Category listed under Section B--``Budget Categories'' of the ``Budget
Information-Non Construction Programs on the SF 424A form.'' The budget
should include the necessary details to facilitate the determination of
allowable costs and the relevance of these costs to the proposed
project.
Applicant should briefly explain its existing operational budget
and any additional anticipated funding (including unique financial
circumstances, with potential impact on the project such as upcoming
monetary or land settlements), and how the proposed project fits in the
overall budget. Applicant should explain why it cannot apply other
funding resources to cover the ANA portion of funding.
The non-federal budget share should identify the source and be
supported by letters of commitment (see Definitions). Letters of
commitment are binding when they specifically state the nature, the
amount, and conditions under which another agency or organization will
support a project funded with ANA funds. These resources may be human,
natural, or financial, and may include other Federal and non-Federal
resources. For example, a letter from another Federal agency or
foundation pledging a commitment of $200,000 in construction funding to
complement proposed ANA funded pre-construction activity is evidence of
a firm funding commitment. Statements that additional funding will be
sought from other specific sources are not considered a binding
commitment of outside resources. Letters of Support merely express
another organization's endorsement of a proposed project. Support
letters are not binding commitment letters. They do not factually
establish the authenticity of other resources and do not offer or bind
specific resources to the project.
If an applicant plans to charge or otherwise seek credit for
indirect costs in its ANA application, a current copy of its Indirect
Cost Rate Agreement should be included in the application, with all
cost broken down by category so ANA reviewers can be certain that no
budgeted line items are included in the indirect cost pool. Applicants
that do not submit a current Indirect Cost Rate Agreement, may not be
able to claim the allowable cost, may have the grant award amount
reduced, or result in a delay in grant award.
Applicants are encouraged to include sufficient funds for principal
representatives, such as the applicant's chief financial officer or
project director to travel to one ANA post-award grant
[[Page 7973]]
training and technical assistance workshop. This expenditure is
allowable for new grant recipients and optional for grantees that have
had previous ANA grant awards and will be negotiated prior to award.
Applicants may also include costs to travel to an ANA grantee
conference.
For business development projects, the proposal should demonstrate
that the expected return on the ANA funds used to develop the project
will provide a reasonable operating income and investment return within
a specified time period. If a profit-making venture is being proposed,
profits should be reinvested in the business in order to decrease or
eliminate ANA's future participation. Such revenue should be reported
as general program income. A decision will be made at the time of the
grant award regarding appropriate use of program income. (See 45 CFR
part 74 and part 92).
Cost Effectiveness: This criterion reflects ANA's concern with
ensuring that the expenditure of its limited resources yields the
greatest benefit possible in achieving environmentally sound and
healthy Native American communities. Applicant demonstrates an
effective cost-benefit relationship for the proposed project by:
Explaining partnerships and the efficient use of leveraged resources;
explaining the impact on the identified community through measurable
project outcomes; and presenting a project that is completed, or self-
sustaining or supported by other than ANA funds by the end of the
project period.
Introduction and Project Summary/Project Abstract (5 Points): Using
the ANA Project Abstract form, the applicant should provide a Project
Introduction. The Introduction will provide the reader an overview and
some details of the proposed project. This is where the project is
introduced to the peer review panel. Identify the name of the
applicant, location of the community to be served by the proposed
project, the project activities, amount requested, amount of matching
funds to be provided, the length of time required to accomplish the
project, and the outcomes or outputs to be achieved.
2. Review and Selection Process
Initial Screening: Each application submitted under this program
announcement will undergo a pre-review screening to determine if (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'' of this program announcement; (d) the applicant has
submitted the proper support documentation such as proof of non-profit
status, resolutions, and required government forms; and (e) an
authorized representative has signed the application; and (f) applicant
has a DUNS number. An application that fails to meet one of the above
elements will be determined to be incomplete and excluded from the
competitive review process. Applicants, with incomplete applications,
will be notified by mail within 30 business days from the closing date
of this program announcement. ANA staff cannot respond to requests for
information regarding funding decisions prior to the official applicant
notification. After the Commissioner has made decisions on all
applications, unsuccessful applicants will be notified in writing
within 90 days. If pertinent, the notification will present the
application weaknesses identified during the review process. Applicants
are not ranked based on general financial need. Applicants, who are
initially excluded from competition because of ineligibility, may
appeal the decision. 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 and
45 CFR part 1336, subpart C).
Competitive Review Process: Applications that pass the initial
screening process will be analyzed, evaluated and rated by an
independent review panel on the basis of the evaluation criteria
specified. The evaluation criteria were designed to analyze and assess
the quality of a proposed community-based project, the likelihood of
its success, and the ability to monitor and evaluate community impact
and long-term results. The evaluation criteria and analysis are closely
related and are wholly considered in judging the overall quality of an
application. In addition, the evaluation criteria will standardize the
review of each application and distribute the number of points more
equitably. Applications will be evaluated in accordance with the
Program Announcement criteria and ANA's program areas of interest. A
determination will be made as to whether the project is an effective
use of federal funds.
Application Review Criteria: ANA has expanded the review criteria
to allow for a more equitable distribution of points during the
application review and competition process. The use of these six
criteria distributes the number of points more equitably. Based on the
ACF Uniform Project Description, ANA's criteria categories are Project
Introduction; Objectives and Need for Assistance; Project Approach;
Organizational Capacity; Results and Benefits Expected; and Budget and
Budget Narrative.
As non-Federal reviewers will be used, applicants have the option
of omitting from the application copies (not original) specific salary
rates or amounts for individuals specified in the application budget
and Social Security Numbers, if otherwise required for individuals. The
copies may include summary salary information.
Application Consideration: The Commissioner's funding decision is
based on an analysis of the application by the review panel, panel
review scores and comments; analysis by ANA staff and review of
previous ANA grantee past performance (includes timely reporting and
successful grant close-out); comments from State and Federal agencies
having contract and grant performance related information; and other
interested parties. The Commissioner makes grant awards consistent with
the purpose of the Native American Programs Act (NAPA), all relevant
statutory and regulatory requirements, this program announcement, and
the availability of appropriated funds. The Commissioner reserves the
right to award more, or less, than the funds described or under such
circumstances as may be deemed to be in the best interest of the
Federal government. Applicants may be required to reduce the scope of
projects based on the amount of approved award.
ANA has a policy of not funding duplicative projects or allowing
any one community to receive a disproportionate share of the funds
available for award. When making decisions on awards of grants the
Agency will consider whether the project is essentially identical or
similar, in whole or significant part, to projects in the same
community previously funded or being funded under the same competition.
The Agency will also consider whether the grantee is already receiving
funding for a SEDS, Language, or Environmental project from ANA. The
Agency will also take into account in making funding decisions whether
a proposed project would require funding on an indefinite or recurring
basis. This determination will be made after it is determined whether
the application meets the requirements for eligibility as set forth
[[Page 7974]]
in 45 CFR 1336, Subpart C, but before funding decisions are complete.
VI. Award Administration Information
1. Award Notice
Approximately 120 days after the application due date, the
successful applicants will be notified by mail through the issuance of
a Financial Assistance Award document which will set forth the amount
of funds granted, the terms and conditions of the grant, the effective
date of the grant, the budget period for which initial support will be
given, the non-Federal share to be provided and the total project
period for which support is contemplated. The Financial Assistance
Award will be signed by the Grants Officer and sent to the applicants
Authorizing Official.
2. Administrative and National Policy Requirements
45 CFR part 74, 45 CFR part 92, 45 CFR part 1336, subpart C, and 42
U.S.C. 2991 et seq.--Native American Programs Act of 1974.
Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting
burden for this collection of information is estimated to average 120
hours per response, including the time for reviewing instructions,
gathering and maintaining the data needed and reviewing the collection
information.
The project description is approved under OMB control number 0970-
0139 which expires 3/31/04. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number. The Survey on
Ensuring Equal Opportunity for Applicants form is approved under OMB
control number 1890-0014 which expires 1/31/06.
3. Reporting Requirements
Programmatic Reports: Quarterly.
Financial Reports: Quarterly.
Special Reporting Requirements: An original and two copies of each
performance report and financial status report must be submitted to the
Grants Officer. Failure to submit these reports when required will mean
the grantee is non-compliant with the terms and conditions of the grant
award and subject to administrative action or termination. Performance
reports are submitted 30 days after each quarter (3-month intervals) of
the budget period. The final performance report, due 90 days after the
project period end date, shall cover grantee performance during the
entire project period. All grantees shall use the SF 269 (Long Form) to
report the status of funds. Financial Status Reports are submitted 30
days after each quarter (3-month intervals) of the budget period. The
final report shall be due 90 days after the end of the project period.
VII. Agency Contacts
Program Office Contact: ANA Applicant Help Desk, 370 L'Enfant
Promenade, SW., Aerospace Building 8th Floor-West, Washington, DC
20447-0002. Telephone: (202) 690-7776 or toll-free at 1-977-922-9262.
Email: ana@acf.dhhs.gov.
Grants Management Office Contact: Lois B. Hodge, 370 L'Enfant
Promenade, SW., Aerospace Building 8th Floor-West, Washington, DC
20447-0002. Telephone: (202) 401-2344. Email: Lhodge@acf.dhhs.gov.
VIII. Other Information
Training and Technical Assistance: All potential ANA applicants are
eligible to receive T&TA in the SEDS, Language, or Environmental
program areas. Prospective applicants should check ANA's Web site for
training and technical assistance dates and locations, or contact the
ANA Help Desk at 1-877-922-9262. Due to the new application and program
additions and modifications, ANA strongly encourages all prospective
applicants to participate in free pre-application training.
Dated: January 21, 2004.
Quanah Crossland Stamps,
Commissioner, Administration for Native Americans.
[FR Doc. 04-3653 Filed 2-19-04; 8:45 am]
BILLING CODE 4184-01-P