[Federal Register: March 8, 2004 (Volume 69, Number 45)]
[Notices]
[Page 10703-10711]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08mr04-68]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Administration for Native Americans (ANA); Adoption of ANA
Program Policies and Procedures
AGENCY: Administration for Children and Families, HHS.
ACTION: Notice.
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SUMMARY: The Administration for Native Americans (ANA) herein issues
final interpretive rules, general statements of policy and rules of
agency procedure or practice relating 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.
EFFECTIVE DATE: December 21, 2003.
FOR FURTHER INFORMATION CONTACT: Sheila Cooper, Director of Program
Operations at (877) 922-9262.
SUPPLEMENTARY INFORMATION:
Background
Pursuant to Section 814 of the Native American Programs Act of
1974, as amended, 42 U.S.C. 2991b-1, 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 rules
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.
ANA published a Notice of Public Comment (NOPC) in the Federal
Register (68 FR 64685) on November 14, 2003 on the proposed ANA policy
and program clarifications, modifications, and activities for FY 2004.
The NOPC closed December 14, 2003. ANA received comments from three
different entities: (A) one comment was submitted from an Alaska
Village Council; (B) three comments were received from a national
Native American non-profit organization, and (C) several editorial
comments were received from an individual. ANA has considered all the
public comments received and has included clarifications and
modifications reflecting several of the comments in the SY 2004 SEDS,
Native Language and Environmental Program Announcements.
Final Policies and Procedures and Comments and Responses
1. Policy on Deadline Date for Applications
For FY 2004, ANA will have one closing date for the SEDS Program or
other special initiative undertaken pursuant to Section 803(a) of the
Native American Programs Act of 1974, 42 U.S.C. 2991b, and one closing
date each for the Alaska SEDS Program, Native Language program, and the
Environmental program. (Legal authority: Sections 803(a) and (d) and
803C of the Native Americans Programs Act of 1972, as amended, 42
U.S.C. 2991b and 2991b-3)
2. Receipt of Applications
ANA's program announcements will now require that all applications
for funding be ``received by'' ANA by the closing date. Consistent with
past practices, ANA will not acknowledge receipt of applications.
Previously, ANA accepted applications for funding if they were
postmarked on or before the closing date. The change to receipt of the
application by the closing date is expected to reduce disputes
regarding postmarks and late-arriving applications. This change will
also ensure ANA has the appropriate number of skilled peer panel
reviewers available to review submitted applications. Applications
received after the published closing date as stipulated in this
published announcement will not be considered. The new program
announcement closing schedules will allow ANA to release all funding to
communities earlier in the fiscal year; provide applicants additional
time to receive agency comments and seek free technical assistance
before the next competition in the program. Additionally, ANA grantees
will have the opportunity to implement projects in a timely manner,
recruit personnel to support the grantee's objectives; and decrease the
number of requests for no cost grant extensions. This modification will
afford ANA the opportunity to perform grant administration and program
monitoring and evaluation activities that support new and non-competing
continuation grants. (Legal authority: Sections 833(a) and (d) and 803C
of the Native Americans Programs Act of 1974, as amended, 42 U.S.C.
2991b and 2991b-3)
Discussion of Comment: The one comment received on this section
expressed concern with the change associated with the receipt of
applications from ``postmarked by'' to ``received by.'' The commenter
expressed concern that unreliable mail service delivery from remote
areas will cause undue stress on organizations.
Response: During the previous competitive cycle, ANA performed an
assessment of all phases and benchmarks of the pre-award process to
determine areas of needed efficiency. The determination to change from
``postmarked by'' to ``received by'' was given much consideration,
especially considering some ANA applicants are located in isolated
communities. This policy will be an adjustment for all applicants,
however the outcomes of improved reader selection, the elimination of
disputes associated with postmarks and late-arriving applications, and
other pre-award activities are more beneficial to applicants than the
re-instatement of the ``post-marked by'' policy. ANA intends to have
the program announcements
[[Page 10704]]
published with sufficient time allowed for applicants to prepare and
submit an application in a timely manner. Therefore, the requirement
for applications receipt will remain intact.
3. Access to Program Announcement and Application Materials
The program announcement and the application materials are
available on the ANA Web site at: http://www.acf.hhs.gov/programs/ana.
The material on the Web site is provided as information only. ANA makes
all reasonable efforts to assure that the Web site is complete and
accurate. The applicant bears sole responsibility, to assure that the
copy downloaded and/or printed from any source is accurate and
complete. In case of a conflict between the content of material
downloaded from the website and the material appearing the Federal
Register, the notice published in the Federal Register shall take
precedence. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
4. Application Submission Requirements
The format of the application for funding is now standardized. The
new application format will help applicants focus on the type of
information and data required to support an application for funding.
ANA will implement a page limitation requirement to enable a thorough
review of the application. (See 4(a) and (b)). ANA will implement these
page requirements with a limit on the number of pages for each section.
These modifications to the announcement will reduce the amount of
documentation applicants need to submit and it will both strengthen and
streamline the peer panel review process to allow reviewers to focus on
the project and applications content. Additionally, program
announcement standardization will prepare ANA and applicants for the
Federal Government's Electronic Grant Application submission initiative
and process. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
4. (a) Organization and Preparation of Application: Due to the
intensity and pace of the application review and evaluation process,
ANA has standardized the application submission format. The new
application submission format for the SEDS program is included in this
notice.
4. (b) ANA Application Format: ANA will now require all
applications to be labeled with a Section Heading in compliance with
the format provided in the program announcement. This format applies to
all applicants submitting applications for funding in the programs
covered by this notice. 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. A
complete application for assistance under ANA's Program Announcements
consists of Three Parts. Part One is the SF 424, Required Government
Forms, and other required documentation noted in the program
announcement. 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). (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3.)
4. (c) Explanation of Project Period: Under ANA's new program
announcements, project periods will be 12 months, 17 months, 24 months,
or 36 months. ANA currently funds projects spanning a 36-month period.
Exception: Native Language Planning Grants (Category I) will continue
to be 12 or 17 month project periods. This notice clarifies the
specific project periods that ANA will fund. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2291b and 2991b-3)
4. (d) 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. In the FY 2004 Program
Announcement, ANA will improve the competitive review process through
the use of six criteria that will evenly distribute evaluation points.
The use of six criteria will standardize the review of each application
and distribute the number of points more equitably. Based on the
Administration for Children and Families (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. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2291b and
2991b-3)
5. Program Areas of Interest
ACF supports and fosters strong families and healthy communities.
In the FY 2004 Program Announcements, ANA has identified Program Areas
of Interest to complement other Health and Human Services and ACF
programs. For example, in ANA's SEDS program the Economic Development
Areas of Interest support activities that will provide business and
employment opportunities and options necessary to build the foundation
of healthy communities and strong families. Under Social Development,
the program areas of interest support families, elders, youth
development, healthy marriage, and individuals with disabiliites.
Furthermore, under Governance, funding may be used for leadership and
management training or to assist eligible applicants in the development
of laws, regulations, codes, policies, and practices that support and
promote community-based activities that lead to self-sufficiency. 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 develpment of healthy Native American
communities. (Legal authority: Sections 803(a) of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b)
6. Policy on Results and Benefits
ANA's program announcement will not offer an opportunity for
applicants to choose from six project performance indicators. For
example, indicators may be: The number of jobs created or retained; the
strengthening and modification of tribal government activities such as
the implementation of codes and ordinances; the number of people
trained; the dollar amount of non-federal resources leveraged per
grantee; the number and type of community, federal and state
partnerships involved in the project; the dollar amount of private
sector investsment integrated into the project; and the number of
community-based
[[Page 10705]]
small businesses established. This quantitative and qualitative date
will be used to monitor grantee performance and to communicate to the
public and Congress on the impact and success of locally funded ANA
projects. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 US.C. 2991b and
2991b-3)
Correction: Within the ANA Results and Benefits Criteria, a
redundant performance indicator was deleted. The indicator removed was
``number of families served''. The agency considered that this
information was being addressed in a more comprehensive indicator:
``the number of children, youth, families or elders assisted or
participating''.
7. ANA 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. (Legal authority: Sections 803(a) and (d), and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b, and
2991b-3, 45 CFR 1336.50(a); 45 CFR 74.27 and 92.22; OMB Circular A-122,
Attachment B, Paragraph 10(g) and OMB Circular A-87, Attachment B,
Paragraph 14(b))
Duplicative projects or does not allow 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 in 45
CFR 1336, Subpart C, but before funding decisions are complete. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
Discussion of Comment: The writer expressed concern with the policy
statement on award determination. If ANA is going to consider whether
the proposed project is essentially identical or similar, in whole or
in part, to projects in the same community previously funded under the
same competition, they would be competing with their consortia
membership for ANA funding.
Response: The policy statement read in its entirety references a
policy that ANA does not fund duplicative projects within the same
identified community that are currently being funded or were previously
funded by ANA. The intent of the policy is to not restrict consortia
services to its membership and is not intended to create problematic
competition within communities. It is ANA's consideration that this
policy supports an internal control measure to ensure the effective use
of limited federal funds by the elimination of financial awards for
services and/or activities already supported by ANA. The funding
restriction policy will remain intact.
Discussion of Comment: The writer also wanted a definition of
``projects that would require funding on an indefinite or recurring
basis''.
Response: ANA provides financial assistance for projects that are
either complete or self-sustaining or funded by other than ANA funds at
the end of the project period. Proposed projects that cannot
demonstrate completion, or be self-sustaining or funded by other than
ANA funds at the end of the proposed project period will not be
considered for funding.
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. 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. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR 1336.33(b)(2))
Discussion of Comment: The writer expressed concerns with the
statement ``projects in which a grantee would provide training and/or
technical assistance to other tribes or Native American organizations
that are otherwise eligible to apply''.
Response: The policy statement read in its entirety allows for
consortia to provide technical assistance in support of project
objectives to its membership. The policy will remain intact.
The purchase of real property or construction
because those activities are not authorized by the Native American
Programs Act of 1974, as amended. (Legal authority: Sections 803(a) and
(d) and 803C of the Native Americans Programs Act of 1974, as amended,
42 U.S.C. 2991b and 2991b-3; 45 CFR 1336.33(b)(7))
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. Under Alaska SEDS projects, ANA will consider funding core
administrative capacity building projects at the village government
level if the village does not have governing systems in place. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3 and 45
CFR 1336.33(b)(4))
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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR
1336.50; 45 CFR 74.27; OMB Circular A-122, Attachment B, Paragraph 23;
OMB Circular A-87, Attachment B, Paragraph 21.)
Major renovation or alternation because those
activities are not authorized under the Native American Programs Act of
1974, as amended. (Legal authority: Sections 803(a) and (d) and 803C of
the Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b
and 2991b-3)
Projects originated and designed by consultants
who provide a major role for themselves and are not members of the
applicant organization, Tribe, or village. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
Project activities that do not further the three
interrelated ANA goals of economic development, social development and
governance or meet the purpose of this program announcement. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR
1336.33(b)(5))
Correction: The agency noted that the wording of the funding
restriction ``Project activities that do not further the three
interrelated ANA goals of economic development, social development,
governance or meet the purpose of this program announcement'' should
have read as ``Project activities that do not further the three
interrelated ANA goals of economic development or
[[Page 10706]]
social development or governance, or meet the purpose of this program
announcement''. The technical correction allows the applicant to
indicate on the ANA abstract form which one of the three inter-related
ANA goals is primarily being addressed.
8. Administrative Policies
Applicants must comply with the following Administrative Policies:
An applicant must provide a 20% non-federal
match of the approved project costs. Applications originating from
American Samoa, Guam, or the Commonwealth of the Northern Mariana
Islands are covered under section 501(d) of Pub. L. 95-134, as amended
(48 U.S.C. 1469a), under which HHS waives any requirement for matching
funds under $200,000 (including in-kind contributions). (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR
1336.50(b))
An application from a Tribe, Alaska Native
Village or Native American organization must be from the governing
body. (Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
A non-profit organization submitting an
application must submit proof of its non-profit status at the time of
submission. The non-profit organization shall submit one of the
following verifiable documents: (i) A copy of the applicant's listing
in the Internal Revenue Service's(IRS) most recent list of tax exempt
organizations described in Section 501(c)(3) of the IRS code or (ii) a
copy of the currently valid IRS tax exemption certificate, or (iii) a
copy of the articles of incorporation bearing the seal of the State or
federally-recognized Tribe in which the corporation or association is
domiciled. 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. (Legal Authority: Sections 803(a) and (d) and 803C of
the Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b
and 2991b-3)
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 its 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.
(Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3; 45 CFR 1336.33(a))
Applicants must describe how the proposed
project objectives and activities relate to a locally determined
strategy. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
Proposed projects must consider the maximum use
of all available community-based resources. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
Discussion of Comment: The writer expressed concern with the
statement ``Proposed projects must consider the maximum use of all
available community-based resources.'' It is interpreted by the writer
that this policy will create a hardship for Native communities with
limited community resources.
Response: This statement is intended to ensure that the applicant
assesses the availability of other community resources and any
opportunities and options to partner with other community-based
programs. Applicants with scarce community resources will not be
penalized. The policy statement will remain intact.
Proposed projects must present a strategy to
overcome the challenges that hinder movement toward self-sufficiency in
the community. (Legal authority: Sections 803(a) and (d) and 803C of
the Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b
and 2991b-3)
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. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR
1336.33(a))
9. DUNS Numbers
(New Requirement to receive grant awards)
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 providing 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.
10. Community and Faith-Based Organizations
The Administration for Children and Families through the
Administration for Native Americans supports and fosters strong
families and healthy communities under four initiatives. ANA encourages
applications from eligible community and faith-based organizations that
(1) provide services directly to Native American people; (2)
organizations that support rural communities; (3) provide prevention
and intervention programs for youth and families; and (4) promote
healthy relationships to strengthen families.
11. Community-Based Projects
ANA's program announcements will emphasize partnerships and
community-based projects. The intent of this change is to increase the
number of grants to local community organizations, to encourage new
partnerships with public and private community-based organizations.
(Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
[[Page 10707]]
12. Funding Thresholds
The ANA will increase funding ceilings under the Native Language
program for Category I Planning and Category II Design and
Implementation grants. The minimum grant amount for Native Language
grants will be $25,000. The ceiling amount for Category I grants will
increase from $60,000 to $100,000. The ceiling amount for Category II
grants will increase from $150,000 to $175,000. The increase in funding
amounts for Native Language grants will support the effective
assessment of native languages. It will also provide applicants the
opportunity to incorporate new technologies necessary to design,
implement, and preserve Native language and culture. Grants awarded
under the Native Language program that produce audio or print media
will now include a stipulation that a copy of the product be provided
to ANA for the Language Repository. Federally-recognized Tribes have
the option to not submit project products. The funding ceiling for
Social and Economic Development Strategies (SEDS) will be reduced from
$1 million to $500,000. The minimum grant award amount will be $25,000.
This adjustment of the minimum and maximum funding levels is due to the
demand for SEDS project funding. These changes will result in
additional community-based social and economic development project
grant awards under the SEDS program. The Environmental Program
announcement includes a suggested threshold and ceiling on proposed
projects. For FY 2004 these amounts will be considered as guidelines
only. (Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
13. Availability of Multi-Year Funding
Applicants may apply for projects of up to 36 months in duration. A
multi-year project, one extending more than 12 months or 17 months,
affords grantees the opportunity to undertake more complex and in-depth
projects. Applicants are encouraged to develop multi-year projects.
However, applicants should note that a multi-year project is a project
on a single theme that requires more than 12 or 17 months to complete.
It is not a series of unrelated projects presented in chronological
order over a three-year period. Funding after the first budget period
of a multi-year project will be non-competitive. However, multi-year
funding will be contingent upon: (1) The availability of Federal funds;
(2) the grantee's progress to achieve the objectives and activities
outlined in the Objective Work Plan; (3) ANA's continued belief that
the project is in the public interest; and (4) the grantee is in
compliance with applicable statutory and grant reporting requirements.
Multi-year grant awards are subject to the availability of funds and a
determination by ANA that the grantee has successfully completed its
prior year objectives. Exception: Native Language Category I: Planning
Grants will remain 12 or 17 month projects. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
14. Applications From Multiple Organizations in the Same Geographic
Area
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, Native 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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
15. Program Specific Program Announcements
ANA's FY 2004 program announcements will now be program specific.
ANA will release separate program announcements for funding
opportunities under SEDS, for Language Preservation and Maintenance,
Environmental Regulatory Enhancement, and for special initiatives.
(Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
16. Policy on Training and Technical Assistance
To reduce geographic disparities, ANA's training and technical
assistance curriculum and all associated handouts will be standardized.
ANA's contracted training and technical assistance providers may
provide training in pre-application and project development. Training
will be advertised in advance, to ensure prospective applicants have
the opportunity to attend. All potential ANA applicants are eligible to
receive free training and technical assistance in the SEDS, Language or
Environmental program areas. (Legal authority: Sections 804 of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991c)
17. Application Review Criteria
ANA has improved the competitive review process and will now use
six criteria that will evenly distribute evaluation points. The use of
six criteria will standardize the review of each application and
distribute the number of points more equitably. ANA's criteria
categories are: Project Introduction; Objectives and Need for
Assistance; Project Approach; Organizational Capacity; Results and
Benefits Expected; and Budget and Budget Justification. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
Discussion of Comment: The comments submitted by the individual
suggested ANA modify its sentence structure, and increase the point
weight on the budget section to emphasize its importance.
Response: ANA has determined that the editorial and suggested re-
wording did not change the intent of the information being requested
and therefore incorporated a majority of the recommended edits in the
ANA evaluation criteria section of the program announcement. The ACF
Uniform Project Description requires the use of specific text in
program announcements and the ANA program announcement adheres to those
requirements. The edits provided more clarity and cohesiveness to this
section of the program announcement without changing content or intent.
Response: The comment to increase the point value of the ANA Budget
criteria would result in a subsequent decrease in assigned point value
in another criterion. ANA determined that it would not be beneficial to
the overall project presentation as outlined to increase the point
value for the budget section. The assignment of point values
[[Page 10708]]
to evaluation criteria provides the applicant with an indication as to
which criteria have more merit in the overall development of an
application. ANA has determined the budget criteria point value is
suitable in relation to the other merit criteria and will remain as
initially established.
Technical Correction: The ANA evaluation criteria title
``Introduction and Project Summary/Abstract'' was re-written to state
``Introduction and Project Summary/Project Abstract''. This change was
added to provide clarity and indicate to the applicant that the
information requested should be indicated on the ANA Project Abstract
form (OMB No. 0980-0204).
18. Definitions
The following definitions will be used in all ANA program
announcements. In the FY 2004 Program Announcement, ANA clarifies many
areas that have previously prompted numerous questions and application
mistakes from applicants. The ANA program announcement will now include
definitions for the following terms:
Authorized Representative: The person or person(s) authorized by
Tribal or Organizational resolution to execute documents and other
actions required by outside agencies. (Legal authority: Sections 803(a)
and (d) and 803C of the Native Americans Programs Act of 1974, as
amended, 42 U.S.C. 2991b and 2991b-3)
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. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
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. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
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 meetings 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. (Legal authority: Sections 803(a) and (d) and
803C of the Native Americans Programs Act of 1974, as amended, 42
U.S.C. 2991b and 2991b-3)
Completed Project: A completed project means that the program
funded by ANA is finished, self-sustaining, or funded by other than ANA
funds, and the results and outcomes are achieved by the end of the
project period. (Legal authority: Sections 803(a) and (d) and 803C of
the Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b
and 2991b-3)
Consortia--Tribal/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.
(Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
Construction: The initial building of a facility. (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3; 45 CFR
1336.33(b)(4).)
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. (Legal authority: Sections 803(a) and
(d) and 803C of the Native Americans Programs Act of 1974, as amended,
42 U.S.C. 2991b and 2991b-3)
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. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3; 45 CFR 1336.50(a); 45 CFR 74.2 and 92.3)
Governance: Involves assistance to tribal and Alaska Native village
government leaders to increase their ability to execute local control
and
[[Page 10709]]
decision-making over their resources. (Legal authority: Sections 803(a)
and (d) and 803C of the Native Americans Programs Act of 1974, as
amended, 42 U.S.C. 2991b and 2991b-3)
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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
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 Parts 74 and Part 92. (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b and 2991b-3)
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. (Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
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 completions 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 contribution that will add to the potential
success of the project. (Legal authority: Sections 803(a) and (d) and
803C of the Native Americans Programs Act of 1974, as amended, 42
U.S.C. 2991b and 2991b-3)
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. (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
Multi-year Project: Encompasses a single theme and requires more
than 12 or 17 months to complete. A multi-year project affords the
applicant or 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, of a multi-year grant, ANA will require
verification and support documentation for the grantee that objectives
and outcomes proposed in the preceding year were accomplished.
Applicants proposing multi-year projects must complete and submit an
Objective Work Plan (OWP) and budget with narrative for each project
year, and fully described 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. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
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. (Legal authority: Section 803(a) and (d)
and 803C of the Native Americans Programs Act of 1974, as amended, 42
U.S.C. 2991b and 2991b-3)
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. (Legal authority: Sections 803(a) and (d) and
803C of the Native Americans Programs Act of 1974, as amended, 42
U.S.C. 2991b and 2991b-3)
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. Legal authority: Sections 803(a) and (d) and 803C of the
Native Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and
2991b-3)
Real Property: Land, including land improvements, structures, and
appurtenances thereto, excluding movable machinery and equipment.
(Legal authority: Sections 803(a) and (d) and 803C of the Native
Americans Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-
3)
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. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
Resolution: Applicants are required to include a current signed
Resolution (a formal decision voted on by the official
[[Page 10710]]
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). (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
Sustainable Project: A sustainable project is an on-going program
or service that can be maintained without additional ANA funds. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
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. (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
Social Development: Investment in human and social capital for
advancing the well-being of 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. (Legal authority: Sections 803(a) and (d) and 803C
of the Native Americans Programs Act of 1974, as amended, 42 U.S.C.
2991b and 2991b-3)
19. Competitive Panel Review Process
ANA will consolidate the peer panel review process. ANA is required
by statute to provide a peer panel review for each eligible
application. Panel reviewers are selected nationally for their
education, experience, and working knowledge in ANA program areas. In
FY 2003, ANA began the process of expanding and rotating the pool of
panel reviewers. This process will ensure that applications for funding
are reviewed, analyzed, and scored by qualified professionals in the
respective program area. This organizational efficiency will ensure
that each application receives appropriate consideration and that the
panel review teams have the appropriate and necessary credentials to
analyze, evaluate, and score applications. For example, readers with
education and work experience in Environmental Regulatory Enhancement
will be selected to review environmental applications. Readers with
education and work experience in Language Preservation and Maintenance
will be selected to review language applications. (Legal authority:
Sections 803(a) and (d) and 803C of the Native Americans Programs Act
of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
19. (a) Initial Screening
Each application submitted under an ANA 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 Application Submission Requirements;
(c) the applicant is eligible for funding; (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. An application
that does not meet one of the above elements will be excluded from the
competitive review process. Ineligible applicants 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 funding decisions,
unsuccessful applicants will be notified in writing within 90 days.
Applicants are not ranked based on general financial need. Applicants,
who are initially excluded from competition because of ineligibility,
may appeal the Agency's decision. Likewise, applicants may also appeal
an ANA decision that an applicants' 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). 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 project or
for another 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. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
Correction: Added an additional pre-screening element (f)
applicants must submit a DUNS number on their SF 424 form. This element
was added per the Office of Management and Budget policy published in
the Federal Register on October 1, 2003. This section was further
edited to read as follows: ``An application that does not meet one of
the above elements will be considered 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.'' This amendment was inserted to clarify
and make a distinction between incomplete applications, which do not
have recourse to appeal, and the determination of ineligibility, which
has recourse to an appeal process.
19. (b) Automation of the Panel Review Process
In FY 2004, ANA will automate its application receipt and panel
review process to comply with the Paperwork Reduction Act of 1995 and
to support the ACF Electronic Grant Application Submission Initiative.
The automation of document management will provide program operation
efficiency. For example, when an application is submitted to ANA it is
logged into an automated system and given an identification number.
After the program announcement closing date, ANA randomly assigns each
application to a peer review panel for evaluation and scoring. During
the review process, panel reviewer comments are downloaded into data
files. These comments are then matched and stored with the application
data file. This process consolidates all applications and review
information, protects the confidentiality of the panel reviewers, and
allows applicants to obtain comments in a timely manner. (Legal
authority: Sections 803(a) and (d), 803C
[[Page 10711]]
and 806 of the Native Americans Programs Act of 1974, as amended, 42
U.S.C. 2991b, 2991b-3 and 2991d-1)
19. (c) Panel Reviews and Funding Decisions
ANA values the knowledge and expertise of individual reviewers.
Applications for funding are randomly assigned to panel review teams.
Each panel reviewer is responsible for reading the program announcement
Federal Register and scoring each application in accordance with the
published review criteria. Each application is reviewed and scored
independently by a panel reviewer. After the panel review process, ANA
conducts due diligence on each application in the funding range. The
ANA Commissioner determines the final action on each grant application
received under ANA program announcements. The Commissioner's funding
decision is based on an analysis of the application by each peer review
panel, the review and recommendations of ANA staff, panel review
scores, comments of 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. (Legal authority: Sections 803(a)
and (d), 803C and 806 of the Native Americans Programs Act of 1974, as
amended, 42 U.S.C. 2991b, 2991b-3 and 2991d-1)
19. (d) Award Notification Information
Successful applicants are notified through an official Financial
Assistance Award (FAA) document. The FAA will state the amount of
Federal funds awarded, the purpose of the grant, the terms and
conditions of the grant award, the effective date of the award, the
project period, the budget period, and the amount of the non-ACF
matching share requirement. Unsuccessful applicants should expect
notification within 90 days after the closing deadline date. (Legal
authority: Sections 803(a) and (d) and 803C of the Native Americans
Programs Act of 1974, as amended, 42 U.S.C. 2991b and 2991b-3)
20. Web Site Information
In FY 2004, ANA may make public on its web site information
associated with successfully funded applications. Such information will
include the name of the grant recipient, type of award such as SEDS,
Language, Environmental amount, the duration of the project, and a
synopsis of the project. Posting this information will provide
prospective applicants with examples of successfully funded projects,
inform the public how and where ANA is expending its funds, and share
information with other HHS, ACF, federal and state agencies. The ANA
website will also include profiles of successful ANA community
projects, and it will provide links to other funding sources,
information on special HHS, ACF and ANA initiatives, and provide an
opportunity for ANA applicants to tract the review and approval process
of submitted applications for funding. (Legal authority: Sections
803(a) and (d) and 803C of the Native Americans Programs Act of 1974,
as amended, 42 U.S.C. 2991b and 2991b-3)
21. New OMB Format Requirements
The Office of Management and Budget has changed the format for
program announcements published in the Federal Register. ANA has
modified its normal program announcement format to comply with these
changes.
Additional Information
Reporting Requirements
Correction: The Social and Economic Development Strategies program
announcement included in the November Federal Register Notice has a
typographical error in one of the references to the Reporting
Requirements. The Financial Status reports (SF269) will be submitted on
a quarterly basis and not semi-annually as incorrectly stated on 68 FR
64685, 64707 (November 14, 2003). Under 45 CFR 74.52(a)(1)(iii) and 45
CFR 92.41(b)(3), HHS awarding agencies are authorized to require
grantees to submit Form 269s as frequently as quarterly.
Dated: February 12, 2004.
Quanah Crossland Stamps,
Commissioner, Administration for Native Americans.
[FR Doc. 04-5043 Filed 3-5-04; 8:45 am]
BILLING CODE 4184-01-M