Request for Public Comment on the Proposed Adoption of Administration for Native Americans Program Policies and Procedures, 13062-13067 [2013-04383]
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Federal Register / Vol. 78, No. 38 / Tuesday, February 26, 2013 / Notices
the statutorily required Plan are set forth
at 45 CFR 98.10 through 98.18. The
Plan, submitted on the ACF 118–A, is
required biennially, and remains in
effect for two years. The Plan provides
ACF and the public with a description
of, and assurance about, the Tribal child
care program. The ACF 118–A is
currently approved through May 31,
2014, making it available to Tribes
needing to submit Plan Amendments
through the end of the FY 2013 Plan
Period. However, on July 1, 2013, Tribes
will be required to submit their FY
2014–2015 Plans for approval by
September 30, 2013. Consistent with the
statute and regulations, ACF requests
revision of the ACF 118–A with minor
corrections and modifications.
The Office of Child Care (OCC) has
given thoughtful consideration to the
comments received from the 1st Public
Notice. OCC has revised the document
to reflect some of the changes made to
minimize the burden of the collection of
information on respondents. The
revised document contains revisions to
improve the accuracy and clarity of
questions in order to improve the
quality of information that is collected.
This second Public Comment Period
provides an opportunity for the public
to submit comments to the Office of
Management and Budget (OMB).
Copies of the proposed collection may
be obtained by writing to the
Administration for Children and
Families, Office of Administration,
Office of Information Services, 370
L’Enfant Promenade SW., Washington,
DC 20447, Attn: ACF Reports Clearance
Officer. All requests should be
identified by the title of the information
collection. Email address:
infocollection@acf.hhs.gov.
Respondents: Tribal CCDF programs
(257 total).
ANNUAL BURDEN ESTIMATES
Instrument
Number of
respondents
Number of
responses per
respondent
Average
burden hours
per response
Total burden
hours
CCDF Tribal Plan ............................................................................................
257
0.50
120
15,420
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Estimated Total Annual Burden
Hours: 15,420.
Additional Information:
Copies of the proposed collection may
be obtained by writing to the
Administration for Children and
Families, Office of Planning, Research
and Evaluation, 370 L’Enfant
Promenade SW., Washington, DC 20447,
Attn: ACF Reports Clearance Officer. All
requests should be identified by the title
of the information collection. Email
address: infocollection@acf.hhs.gov.
OMB Comment:
OMB is required to make a decision
concerning the collection of information
between 30 and 60 days after
publication of this document in the
Federal Register. Therefore, a comment
is best assured of having its full effect
if OMB receives it within 30 days of
publication. Written comments and
recommendations for the proposed
information collection should be sent
directly to the following: Office of
Management and Budget, Paperwork
Reduction Project, Fax: 202–395–7285,
Email:
OIRA_SUBMISSION@OMB.EOP.GOV.
Attn: Desk Officer for the
Administration for Children and
Families.
Robert Sargis,
Reports Clearance Officer.
[FR Doc. 2013–04421 Filed 3–25–13; 8:45 am]
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
[CFDA numbers 93.581, 93.587, 93.612]
Request for Public Comment on the
Proposed Adoption of Administration
for Native Americans Program Policies
and Procedures
Administration for Native
Americans, ACF, HHS.
ACTION: Notice for public comment.
AGENCY:
SUMMARY: Pursuant to Section 814 of the
Native American Programs Act of 1974
(NAPA), as amended, the
Administration for Native Americans
(ANA) is required to provide members
of the public an opportunity to
comment on proposed changes in
interpretive rules, general statements of
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. In accordance with notice
requirements of NAPA, ANA herein
describes its proposed interpretive
rules, general statements of policy, and
rules of agency procedure or practice as
they relate to the Fiscal Year (FY) 2013
Funding Opportunity Announcements
(FOA) for the following programs: (1)
Social and Economic Development
Strategies (hereinafter referred to as
SEDS); (2) Native Asset Building
Initiative (hereinafter referred to as
NABI); (3) Sustainable Employment and
Economic Development Strategies
(hereinafter referred to as SEEDS); (4)
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Native Language Preservation and
Maintenance (hereinafter referred to as
Language Preservation); (5) Native
Language Preservation and
Maintenance—Esther Martinez Initiative
(hereinafter referred to as Language—
EMI); and 6) Environmental Regulatory
Enhancement (hereinafter referred to as
ERE). This notice of public comment
also provides additional information
about ANA’s plan for administering the
programs.
DATES: The deadline for receipt of
comments is 30 days from the date of
publication in the Federal Register.
ADDRESSES: Comments in response to
this notice should be addressed to
Lillian A. Sparks, Commissioner,
Administration for Native Americans,
370 L’Enfant Promenade SW., Mail
Stop: Aerospace 2—West, Washington,
DC 20447. Delays may occur in mail
delivery to federal offices; therefore, a
copy of comments should be faxed to
(202) 690–7441. Comments will be
available for inspection by members of
the public at the Administration for
Native Americans, 901 D Street SW.,
Washington, DC 20447.
FOR FURTHER INFORMATION CONTACT:
Carmelia Strickland, Director, Division
of Program Operations, ANA (877) 922–
9262.
SUPPLEMENTARY INFORMATION: Section
814 of NAPA, as amended, requires
ANA to provide notice of its proposed
interpretive rules, general statements of
policy, and rules of agency organization,
procedure, or practice. The proposed
clarifications, modifications, and new
text will appear in the six FY 2013
FOAs: SEDS, NABI, SEEDS, Language
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Preservation, Language—EMI, and ERE.
This notice serves to fulfill this
requirement.
A. Funding Opportunity
Announcements: For information on the
types of projects funded by ANA, please
refer to ANA’s Web site for information
on our program areas and funding
opportunity announcements: https://
www.acf.hhs.gov/programs/ana.
The following changes will be made
to ANA’s FOAs this year:
1. In FY 2013, ANA proposes
discontinuing the practice of publishing
a separate SEDS—Tribal Governance
FOA (HHS–2012–ACF–ANA–NG–0278)
and, instead, incorporating the Tribal
Governance program areas of interest
into the annual SEDS FOA. Also, ANA
proposes adding responsible fatherhood
as a program area of interest under the
annual SEDS FOA.
Additionally, ANA proposes adding
two new program areas of interest to the
annual SEDS FOA focused on suicide
prevention and on human trafficking.
Based on information gathered during
tribal consultation sessions and at other
meetings, the ANA Commissioner has
been asked to address the issues related
to suicide with which many Native
communities are grappling, as well as
with issues related to human trafficking
that can occur on remote, isolated lands,
and among vulnerable populations.
Under SEDS, ANA proposes to move
the following four sub-program areas of
interest out of Economic Development:
(1) Emergency preparedness, (2)
economic competitiveness, (3)
agriculture, and (4) commercial trade.
Emergency preparedness will be
included under the governance program
area of interest under the SEDS FOA.
Economic competitiveness, agriculture
and commercial trade will move to a
proposed new FOA that is to be known
as Sustainable Employment and
Economic Development Strategies
(SEEDS) (HHS–2013–ACF–ANA–NE–
0588), which is part of the SEDS
program (see proposal #2 in this
section). For additional information on
this proposed FOA, you may also refer
to the concept paper located at the
following link: https://www.acf.hhs.gov/
programs/ana/resource/proposed-seedsfoa-concept-paper. (Legal authority:
Section 803(a) of NAPA, as amended).
2. In FY 2013, ANA will introduce the
SEEDS FOA that will focus on
developing employment opportunities
and business creation in Native
communities. These types of projects
were formerly funded under the SEDS
FOA. ANA will expand funding for
new, community-based projects that
will foster economic development
through the creation of small businesses
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and sustainable job growth, which will
be funded under the same Catalog of
Federal Domestic Assistance (CFDA)
number as SEDS. The current economic
climate has increased ANA’s focus on
developing employment opportunities
and business creation in native
communities, resulting in this special
funding initiative to promote SEEDS. In
an effort to reduce unemployment and
stimulate local economies, ANA will
make $5,000,000 available for SEEDS
funding in FY 2013 for new,
community-based projects that will
foster economic development through
the creation of small businesses and
sustainable job growth. Applicants
eligible for the SEEDS FOA are the same
as those identified as eligible for SEDS
though current SEDS grantees with
grants that will go beyond the start date
of the possible new award are not
eligible for funding under SEEDS.
Four priorities that ANA will promote
through the SEEDS initiative are: (1)
Creation of sustainable employment
opportunities; (2) professional training
and skill development that increases
participants’ employability and earning
potential; (3) creation and development
of small businesses and entrepreneurial
activities, and; (4) demonstrated strategy
and commitment to keeping the jobs
and revenues generated by project
activities within the native communities
being served. Improving access to
employment opportunities and
supporting small businesses will
enhance local economies, enable more
tribal members to acquire and maintain
gainful employment, and improve the
long-term financial health of tribal
members and their families.
ANA has identified the following
program areas of interest for the SEEDS
FOA, however funding is not restricted
to those listed below:
(a) Agriculture: Creating, developing,
or enhancing agricultural enterprise and
sustainable farming projects with a
focus on distribution at local and
commercial markets.
(b) Career Pathways: Using multisector partnerships with entities such as
Tribal Colleges, workforce development
agencies, social service providers, and
employers to develop workforce training
programs that respond to local
employers’ hiring needs.
(c) Commercial Trade: Strengthening
local economies by increasing the
demand for locally produced goods and
services.
(d) Economic Competitiveness:
Creating, expanding, and retaining
businesses to reflect distinct economies
operating in rural and urban areas, in
both mature and emergent sectors.
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(e) Economic Infrastructure:
Addressing economic infrastructure
needs that will strengthen business
development and job creation in native
communities.
(f) Entrepreneurship and
Microbusiness: Promoting
entrepreneurial development through
business incubators and other activities
that support businesses and market the
availability of local products or services.
(Microbusiness loans will not be
available under such projects.)
(g) Local Sourcing and Technology:
Using new technologies to enhance
distribution channels for locally
produced goods and services.
(h) Professional Development:
Providing professional training, skill
development (including soft skills, basic
skills, or technical skills) or certification
that will enhance participants’
employment and earning prospects.
(i) Interoperability/Integration
(partnering with ACF programs and
clients): Helping ACF clients such as
youth aging out of foster care, TANF or
TANF eligible individuals, or
noncustodial parents with child support
agreements to obtain employment.
(j) Place-based Strategies: Using a
tribe or community’s local or regional
assets and resources and collaborating
with multiple stakeholders to address
economic development barriers.
3. The program areas of interest will
remain the same for the following ANA
FOAs: Native American Language
Preservation and Maintenance (HHS–
2011–ACF–ANA–NL–0139); Native
American Language Preservation and
Maintenance—Esther Martinez Initiative
(HHS–2011–ACF–ANA–NL–0140);
Environmental Regulatory Enhancement
(HHS–2011–ACF–ANA–NR–0142), and
Native Asset Building Initiative (HHS–
2013–ACF–ANA–NO–0587).
B. Administrative Policies: ANA
proposes revising all funding
opportunity announcements to include
three new administrative policies,
remove one administrative policy used
in prior years, and will clarify another
administrative policy, as follows:
1. Proposal: All applicants must
submit documentation, such as a
resolution, demonstrating that the
governing body of the organization
approves the application’s submission
to ANA for the current grant
competition period. In addition, if the
applicant is a tribally-authorized
component or division, the applicant
must also include a resolution
demonstrating that the governing body
of the tribe approves the application’s
submission to ANA for the current
competition period. All resolutions
must be signed by an official of the
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governing body and dated. In lieu of a
resolution, meeting minutes from the
governing body and/or a letter from the
current tribal leader may be acceptable
forms of documentation if that is more
appropriate to that tribal government
structure. The documentation should be
included with the application’s
submission to ANA. Project funds will
not be awarded without ANA’s receipt
of signed and dated documentation
prior to the start of the project period.
Rationale: The NAPA requires that a
governing body ‘‘has not disapproved’’
the project ‘‘within 30 days of its
submission’’ to the governing body (42
U.S.C. 299f(1)). Therefore, ANA’s
administrative policy is included to
ensure that funded applications are
supported by the governing body of the
tribe or organization. In previous FOAs,
lack of such resolutions as part of the
application submission has been a
disqualification factor that resulted in
the elimination of many applications
from the competitive review process.
The requirement for evidence that the
governing body has either affirmatively
approved or not disapproved the project
remains the same; however, it is no
longer required by the due date of the
FOA in which an application was
submitted. In lieu of a resolution,
meeting minutes from the governing
body and/or a letter from the current
tribal leader may be acceptable forms of
documentation if that is more
appropriate to that tribal government
structure. It is important that the tribal
leadership is aware of its fiscal
responsibility and potential for financial
liabilities in administering the ANA
program. The change of administrative
policy is recommended in order to
increase the number of applications that
are eligible for the competitive review
process. If an application is ranked
within funding range but does not
include a governing body’s resolution,
ANA staff will require this
documentation in advance of making a
grant award.
2. Proposal: Grantees will be required
to attend Post Award Training during
the first year of their ANA award, and
to attend an annual ANA Grantee
Meeting during each year of their ANA
award. Therefore, applicants will be
required to include an appropriate
amount for travel costs to attend Post
Award Training in the first year of the
proposed project budget, and travel
costs to attend the annual ANA Grantee
meeting for each year of the proposed
project’s budget. Also, participation and
attendance at Post Award Training and
the ANA Grantee Meeting should be
included activities within each year of
the project’s Objective Work Plan
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(OWP). See Section IV.2. Content and
Form of Application Submission,
Project Budget and Budget Description,
for specific travel costs that should be
included to attend Post Award Training,
to be held in the grantee’s region, and
the ANA Grantee Meeting, which is
usually held in Washington, DC.
Rationale: This policy is added to
ensure that applicants understand the
mandatory training meeting and
budgetary requirements for an ANA
grant. By including this under the
administrative policies instead of
evaluation criteria, ANA believes
confusion by panel reviewers will be
eliminated thus ensuring panel
reviewers do not score an application
based on the inclusion or omission of
these trainings in their budget and
OWP.
3. Proposal: Under the standard terms
and conditions for discretionary HHS
awards (Grants Policy Statement, page
II–7 at https://www.acf.hhs.gov/grants/
terms-and-conditions), grant recipients
are required to establish safeguards to
prevent employees, consultants,
members of governing bodies, and
others who may be involved in grantsupported activities from using their
positions for purposes that are, or give
the appearance of being, motivated by a
desire for private financial gain for
themselves or others, such as those with
whom they have family, business, or
other ties. Therefore, staff employed
through an ANA-funded project cannot
also serve as a member of the governing
body for the applicant organization.
During the award negotiation phase,
ANA will ask the prospective recipient
to modify project personnel if a
proposed staff member is also a member
of the applicant organization’s
governing body. In addition, there
should be a separation of duties from
staff and the governing bodies within an
organization to ensure the integrity of
internal controls and to minimize
disruptions in the continuity of
operations.
Rationale: This policy has been added
to remind applicants of the requirement
to establish safeguards that prohibit
employees from using their positions for
a purpose that presents a conflict of
interest or the appearance of a conflict
of interest. An applicant organization
must also have auditable internal
controls in place to ensure the integrity
of the management of federal funds. In
recent years, ANA has seen challenges
arise with grantees in which individuals
are dually serving as paid staff and also
as a member of the recipient
organization’s Board of Directors.
Additionally, ANA proposes to
eliminate the administrative policy
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previously stated in Section I, Funding
Opportunity Description,
Administrative Policies, which requires
the submission of a business plan.
However, submission of a business plan
will remain a requirement for the
submission of certain economic
development projects as stated in
Section IV.2, The Project Description.
C. Disqualification Factors: ANA
proposes revising the disqualification
factors that are specific to applications
submitted for ANA funding. ANA will
remove a previously identified
disqualification factor, clarify an
existing factor, and add a new
disqualification factor. (Legal authority:
Section 803(a) and 814 of NAPA, as
amended).
1. Board Resolution
All applicants must submit a resolution
demonstrating that the applicant’s official
governing body approves the application
submission to ANA for the current grant
competition period. In addition, if the
applicant is a tribally authorized component
or division, the application must also include
a resolution demonstrating that the governing
body of the Tribe approves the application
submission to ANA for the current
competition period. Applicants that do not
include this documentation will be
considered non-responsive, and the
application will not be considered for
competition.
ANA proposes removing the
disqualification factor associated with
the submission of an approved board
resolution. ANA will still require that
this documentation be submitted but it
will now be designated as an
administrative policy (see
administrative policies above for
additional clarification). All applicants
must submit documentation, such as a
resolution, demonstrating that the
governing body of the organization
approves the application’s submission
to ANA for the current grant
competition period. In addition, if the
applicant is a tribally-authorized
component or division, the applicant
must also include a resolution
demonstrating that the governing body
of the tribe approves the application’s
submission to ANA for the current
competition period. All resolutions
must be signed by an official of the
governing body and dated. Project funds
will not be awarded without the
submission of signed and dated
documentation prior to the start of the
project period. Applications received
without the required governing body’s
resolution will no longer be disqualified
from competitive review.
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2. Governing Body Documentation
This disqualification factor applies only to
applicants that are not Tribes or Native
Alaska villages. Organizations applying for
funding must show that a majority of board
members approving the project proposal are
representative of the community to be served.
The applicant should submit documentation
that identifies each board member by name
and indicate their affiliation or relationship
to at least one of the four categories of
representation listed in the factor. ANA
revised the categories of representatives of
the community to be served to include: (1)
members of Federally or State recognized
Tribes; (2) persons eligible to be a participant
or beneficiary to the project to be funded; (3)
persons who are recognized by the eligible
community to be served as having a cultural
relationship with the community to be
served; or (4) persons considered to be Native
American as defined in 45 CFR 1336.10 and
Native American Pacific Islanders as defined
in the Native American Programs Act.
Applicants that do not include this
documentation will be considered nonresponsive, and the application will not be
considered for competition.
This disqualification factor will
remain in effect but is clarified. ANA
proposes to add clarification to this
disqualification factor to indicate that
the documentation that must be
submitted identifies each board member
by name and indicates their relationship
to at least one of the four categories of
representation listed in the factor.
Applications that are submitted without
this documentation will be considered
non-responsive to the FOA and will not
be considered for competition. (Legal
authority: Section 803(a) and 814 of
NAPA, as amended.)
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3. Only One Active Award per CFDA
This disqualification factor applies to all
types of eligible applicants. Organizations
can have no more than one active award per
CFDA number for an ANA program at any
given time. Therefore, organizations that
have a current ANA grant that is eligible for
a Non Competing Continuation (NCC) award
which: A) will go beyond the start date of the
possible new award, and B) was awarded
under the same CFDA number as this FOA,
will not have their applications considered
for the competition. This disqualification
factor is based on the administrative policy
that prohibits grantees from having more
than one active grant per CFDA number. This
disqualification factor does not apply to
organizations eligible for an NCC award for
the continuation of an ANA grant made
under a different CFDA number (funding
opportunity announcement).
Under the Administrative Policies,
‘‘Grantees can have only one active
grant award per Catalog of Federal
Domestic Assistance (CFDA) number.’’
ANA is proposing that this policy
should also become a disqualification
factor that will apply to all applicants.
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The limit of one active award per CFDA
number has been a long-standing ANA
policy that was implemented to ensure
a wider distribution of ANA’s federal
funding. ANA strongly believes in
maximizing the beneficial use of its
limited funding for the greatest number
of people in the targeted communities.
By including this administrative policy
as a disqualification factor, ANA will
screen-out from competition those
applications submitted by an applicant
that would be ineligible for funding
because the organization has an ongoing
ANA award funded by the same CFDA
number that will continue past the start
date of the new award.
Previously, ANA has had to expend
its limited resources to review all grant
applications, even if the applicant was
likely not to receive an award based on
the administrative policy. If the
application was found to be within the
funding range, the application was
ultimately not funded. Under the
disqualification factor, applications
from existing grantees with an award
that has the same CFDA number will be
screened out of competition and the
application will not be reviewed.
Therefore, applicants should be
cautioned to not apply for a new grant
that has the same CFDA number if they
have a concurrent ANA award. For
example, applicants with a current ANA
grant that is eligible for a NonCompeting Continuation (NCC) award
that will extend beyond the start date of
the new award offered under the FOA,
and was awarded under the same CFDA
number as that of the current FOA, will
be disqualified from the competitive
review. This disqualification factor is
based on the administrative policy that
prohibits grantees from having more
than one active grant per CFDA number.
See Section I. Funding Opportunity
Description, Administrative Policies.
D. Definitions: ANA is adding a
definition for ‘‘impact indicator’’ in all
FY 2013 FOAs. (Legal authority: Section
803(b) and 814 of NAPA, as amended
and 42 U.S.C. § 2991b–3(b)(7)(C).
1. Impact Indicator: A quantitative
measure used to monitor a project’s
progress in achieving its intended
outcomes and impact. An impact
indicator should identify the extent to
which a project’s overall desired
outcome was achieved and should
describe how the conditions discussed
in the Need for Assistance were changed
as a result of the project. For example,
a project focused on healthy
relationships would likely use the
community’s divorce rate as an impact
indicator.
E. Do Not Fund: ANA will add the
following five project types that it will
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not fund to Section V.2. Review and
Selection Process. These projects will
not be disqualified from competitive
review but ANA reserves the right not
to fund them regardless of the outcome
of panel review.
1. Projects that do not demonstrate
that the proposed staff or organization
has the required expertise, or
organizational capacity, to fulfill the
project approach or to achieve the stated
objectives or outcomes of the
application.
ANA applicants should provide
evidence that the applicant
organization, and any partnering
organizations, have relevant experience
and expertise with administration,
development, implementation, and
management of programs similar to that
proposed in order to fulfill the project’s
approach. ANA has received some
applications that scored within the
funding range but did not demonstrate
that the organization had sufficient
capacity or staffing expertise to
implement the proposed project, nor
had the applicant identified
partnerships that would assist them in
achieving the project’s objectives.
Funding these types of applications
would not be the best use of ANA’s
limited resources or taxpayer dollars.
2. Projects with the potential to cause
unintended harm or that could
negatively impact the safety, or privacy,
of individuals.
This ‘‘Do Not Fund’’ is added to
ensure that projects funded by ANA will
not cause harm or impact the safety, or
privacy, of individuals. ANA has
received several applications proposing
activities that could cause harm,
including the use of inaccurate medical
information in health counseling,
purchasing surveillance equipment to
monitor tribal citizens, or proposing
potentially dangerous activities
involving youth. One of ANA’s goals is
to safeguard the health and well-being
of Native children and families;
therefore, ANA reserves the right to not
award federal funds for activities that
may adversely impact the safety or wellbeing of Native people in their
communities.
3. Applications for proposed projects
that are not written specifically in
response to an ANA FOA. These
applications may have been submitted
to another funding agency and are not
tailored to ANA’s goals as specified in
an ANA FOA.
This ‘‘Do Not Fund’’ will be added to
ensure that proposed projects are
specific to ANA’s funding goals and that
they are strongly supported by the
community. ANA has previously
received applications that include
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letters of support that were written to
other funding agencies and are not
specific to the project proposed for ANA
funding. This does not demonstrate a
strong commitment towards fulfilling
the purpose of ANA’s goals and is not
specific to the requirements of ANA’s
FOAs.
4. Projects that do not demonstrate a
current need or recent community
support for the proposed project.
This ‘‘Do Not Fund’’ area is to ensure
that the applicant has worked with its
community within the last three years
(or sooner) to identify the need for the
project and to obtain their input or
involvement in the planning for the
proposed project. Based on internal
reviews of grantees’ impact evaluations,
ANA has discerned that strong
community support for projects in
advance of funding, and throughout the
project’s implementation, is integral to
the success of an ANA-funded project.
For example, if an applicant proposes to
address a need that was identified as
part of a tribe’s 10-year strategic plan,
which was completed 7 years ago, the
applicant should demonstrate that the
need still remains and that more recent
interactions and input from the
community have been part of the
project’s planned approach.
5. Projects that may be used for the
purpose of providing loan capital.
Federal funds awarded under this FOA
may not be used for the purpose of
providing loan capital. This is not
related to loan capital authorized under
Sec. 803A of NAPA [42 U.S.C. 2991b–
1(a)(1)] for the purpose of the Hawaiian
Revolving Loan fund.
This ‘‘Do Not Fund’’ will be added to
clarify ANA’s interpretation of the
NAPA on the use of ANA funding for
loan capital purposes. ANA will not
fund projects which propose activities
that include the use of grant funds as
loans.
F. Page Limits: In Section IV.2.
Content and Form of Application
Submission, Formatting ACF
Applications, ANA will implement a
maximum page limit for all applications
for FY 2013.
1. Total application: ANA will
implement a total page limit of 150
pages for applications submitted in
response to the FOA for SEDS, Language
Preservation, Language—EMI, and ERE
programs, and a 200 page limit for
applications submitted in response to
the NABI and SEEDS programs.
Additional pages will be allowed for
NABI applications due to a required
five-year project period and the
submission of two budgets and two
budget justifications. Additional pages
will be allowed for SEEDS applications
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due to project periods lasting up to five
years. The page limitation excludes a
Business Plan (if applicable) or
mandatory grant forms (Standard Forms
and ANA’s Objective Work Plan form).
Applications that exceed the page limits
will have excess pages removed prior to
the application’s panel review.
G. Project Description: ANA will
make modifications to the project
description narrative.
1. Letters of Support: ANA has added
Letters of Support as a requirement.
Applicants should provide statements
from community, public, and
commercial leaders that support the
project proposed for funding. All
submissions must be included in the
application package.
2. Third-party agreements: ANA has
added third-party agreements as a
requirement. Third-party agreements
include Memoranda of Understanding
(MOU) aka Letters of Commitment.
General letters of support are not
considered to be third-party agreements.
Third-party agreements must clearly
describe the project activities and
support to which the third party is
committing. Third-party agreements
must be signed by the person in the
third-party organization with the
authority to make such commitments on
behalf of their organization. Applicants
should provide written and signed
agreements between grantees and
subgrantees, or subcontractors, or other
cooperating entities. These agreements
must detail the scope of work to be
performed, work schedules,
remuneration, and other terms and
conditions that structure or define the
relationship.
3. Budget and Budget Justification:
Travel: Text will be added requiring
applicants to include costs in their
budget for mandatory post-award travel
for training and the ANA Grantee
Meeting. Additional information will be
provided within the FOA on estimated
costs based on applicant’s regional
location.
H. ANA Application Evaluation
Criteria: ANA will revise the evaluation
criteria for the SEDS, Language
Preservation, Language—EMI, and ERE
FOAs to allow greater flexibility in
applicants’ proposals. The evaluation
criteria will be revised to include clearer
explanations of how ANA will assess
the information provided in the
applications. (Legal authority: Section
803(c) of NAPA, as amended.) The
evaluation criteria for NABI will not be
changed.
1. Titles and Assigned Weight: In FY
2013, ANA will increase the number of
evaluation criteria from four to five and
adjust the weighted scores to focus on
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those elements that are important to
project success and project monitoring.
Weighted sub-criteria scores are
identified for the ‘‘Project Approach’’
criterion only.
For SEDS, Language Preservation,
Language—EMI, and ERE FOAs
published in FY 2013, the criteria will
be weighted as follows:
Project Integration—10 points;
Objectives and Need for Assistance—10
points;
Project Approach—50 points;
Sub criterion—Project Strategy—30
points
Sub criterion—Objective Work Plan—20
points
Outcomes Expected—20 points
Budget and Budget Justification—10
points
2. ANA Evaluation Criteria: Included
here is a summary of the changes made
to the criteria.
(a) Project Integration: ANA will add
a new criterion entitled, ‘‘Project
Integration,’’ that will score how well
the application ties together the
proposed project through the other four
criteria. The overall point value for this
section will be 10 points. To score the
Project Integration criterion, reviewers
will consider the extent to which all the
application criteria elements are
aligned, i.e., how effectively the
Objectives and Need for Assistance,
Project Approach, Budget, and
Outcomes Expected complement one
another into a cohesive and carefully
planned project. For example, if the
application’s proposed project
description was a jigsaw puzzle, how
well do the puzzle pieces fit together?
This criterion does not measure any
element of the application in isolation
and does not respond to a specific
information request concerning project
integration.
(b) Objectives and Need for
Assistance: The overall point value has
been decreased to 10 points due to the
addition of the project integration
criterion.
(c) Outcomes Expected: The overall
point value for this section has been
increased to 20 points to emphasize the
importance of applicants connecting
their proposed project’s goal, objectives,
and activities to the intended results,
benefits, and impacts produced by the
project.
(d) Budget and Budget Justification:
The overall point value for this section
has decreased to 10 points due to the
addition of the project integration
criterion.
The changes to the content of
evaluation criteria, and the
complementary changes to the project
E:\FR\FM\26FEN1.SGM
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Federal Register / Vol. 78, No. 38 / Tuesday, February 26, 2013 / Notices
description section of the FOA, will
more effectively guide applicants and
panel reviewers on what ANA believes
are critical components of a project’s
application. (Legal authority: Section
803(c) of NAPA, as amended.)
I. Objective Review and Results:
ANA’s FOA currently states ‘‘Results of
the competitive objective review are
taken into consideration by ACF in the
selection of projects for funding;
however, objective review scores and
rankings are not binding. They are one
element in the decision-making
process.’’ ANA will clarify the scoring
process in this section by stating that
ANA will have the discretion to Use
either the actual ‘‘raw’’ score or a
normalized score in order to determine
the ranking of applications after the
panel review has been completed. The
raw score is the average of the actual
scores given by the three panelists that
served as peer reviewers for the
application. A normalized score is a
statistical method that accounts for the
variability and relative nature of
individual reviewers’ scoring
tendencies. Normalized scores are used
to counteract any possible
predisposition or scoring biases of
individual reviewers and panels in
order to make the outcome fairer for all
applications. The use of a normalized
score is allowable and authorized by
HHS grants administration policy.
Lillian A. Sparks,
Commissioner, Administration for Native
American.
[FR Doc. 2013–04383 Filed 2–25–13; 8:45 am]
BILLING CODE 4184–34–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
[Docket No. FDA–2013–N–0172]
Agency Information Collection
Activities: Proposed Collection;
Comment Request; Foreign Clinical
Studies Not Conducted Under an
Investigational New Drug Application
AGENCY:
Food and Drug Administration,
HHS.
tkelley on DSK3SPTVN1PROD with NOTICES
ACTION:
Notice.
SUMMARY: The Food and Drug
Administration (FDA) is announcing an
opportunity for public comment on the
proposed collection of certain
information by the Agency. Under the
Paperwork Reduction Act of 1995 (the
PRA), Federal Agencies are required to
publish notice in the Federal Register
concerning each proposed collection of
VerDate Mar<15>2010
16:35 Feb 25, 2013
Jkt 229001
information, including each proposed
reinstatement of an existing collection
of information, and to allow 60 days for
public comment in response to the
notice. This notice solicits comments on
the information collection contained in
FDA’s regulations on foreign clinical
studies not conducted under an
investigational new drug application
(IND).
DATES: Submit either electronic or
written comments on the collection of
information by April 29, 2013.
ADDRESSES: Submit electronic
comments on the collection of
information to https://
www.regulations.gov. Submit written
comments on the collection of
information to the Division of Dockets
Management (HFA–305), Food and Drug
Administration, 5630 Fishers Lane., Rm.
1061, Rockville, MD 20852. All
comments should be identified with the
docket number found in brackets in the
heading of this document.
FOR FURTHER INFORMATION CONTACT: Ila
S. Mizrachi, Office of Information
Management, Food and Drug
Administration, 1350 Piccard Dr., P150–
400B, Rockville, MD 20850, 301–796–
7726, Ila.mizrachi@fda.hhs.gov.
SUPPLEMENTARY INFORMATION: Under the
PRA (44 U.S.C. 3501–3520), Federal
Agencies must obtain approval from the
Office of Management and Budget
(OMB) for each collection of
information they conduct or sponsor.
‘‘Collection of information’’ is defined
in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests
or requirements that members of the
public submit reports, keep records, or
provide information to a third party.
Section 3506(c)(2)(A) of the PRA (44
U.S.C. 3506(c)(2)(A)) requires Federal
Agencies to provide a 60-day notice in
the Federal Register concerning each
proposed collection of information,
including each proposed reinstatement
of an existing collection of information,
before submitting the collection to OMB
for approval. To comply with this
requirement, FDA is publishing notice
of the proposed collection of
information set forth in this document.
With respect to the following
collection of information, FDA invites
comments on these topics: (1) Whether
the proposed collection of information
is necessary for the proper performance
of FDA’s functions, including whether
the information will have practical
utility; (2) the accuracy of FDA’s
estimate of the burden of the proposed
collection of information, including the
validity of the methodology and
assumptions used; (3) ways to enhance
the quality, utility, and clarity of the
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13067
information to be collected; and (4)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques,
when appropriate, and other forms of
information technology.
Foreign Clinical Studies Not Conducted
Under an IND—(OMB Control Number
0910–0622)—Reinstatement
Under 312.120 (21 CFR 312.120), FDA
accepts foreign clinical studies not
conducted under an IND as support for
an IND or application for marketing
approval for a drug or biological product
if the studies are conducted in
accordance with good clinical practices
(GCP), including review and approval
by an independent ethics committee
(IEC).
Under § 312.120(a), FDA accepts as
support for an IND or application for
marketing approval a well-designed and
well-conducted foreign clinical study
not conducted under an IND if the study
is conducted in accordance with GCP,
and we are able to validate the data from
the study through an onsite inspection
if necessary. GCP includes review and
approval by an IEC before initiating a
study, continuing review of an ongoing
study by an IEC, and obtaining and
documenting the freely given informed
consent of the subject before initiating a
study.
Under § 312.120(b), a sponsor of a
non-IND foreign study who wants to
rely on that study as support for an IND
or application for marketing approval
must provide the following information
to FDA: (1) The investigator’s
qualifications; (2) a description of the
research facilities; (3) a detailed
summary of the protocol and results of
the study and, should FDA request, case
records maintained by the investigator
or additional background data such as
hospital or other institutional records;
(4) a description of the drug substance
and drug product used in the study,
including a description of the
components, formulation,
specifications, and, if available,
bioavailability of the specific drug
product used in the clinical study; (5) if
the study is intended to support the
effectiveness of a drug product,
information showing that the study is
adequate and well controlled under
§ 314.126; (6) the name and address of
the IEC that reviewed the study and a
statement that the IEC meets the
definition in § 312.3; (7) a summary of
the IEC’s decision to approve or modify
and approve the study, or to provide a
favorable opinion; (8) a description of
how informed consent was obtained; (9)
a description of what incentives, if any,
E:\FR\FM\26FEN1.SGM
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]]>Agencies
[Federal Register Volume 78, Number 38 (Tuesday, February 26, 2013)]
[Notices]
[Pages 13062-13067]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-04383]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[CFDA numbers 93.581, 93.587, 93.612]
Request for Public Comment on the Proposed Adoption of
Administration for Native Americans Program Policies and Procedures
AGENCY: Administration for Native Americans, ACF, HHS.
ACTION: Notice for public comment.
-----------------------------------------------------------------------
SUMMARY: Pursuant to Section 814 of the Native American Programs Act of
1974 (NAPA), as amended, the Administration for Native Americans (ANA)
is required to provide members of the public an opportunity to comment
on proposed changes in interpretive rules, general statements of
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. In accordance with notice requirements of
NAPA, ANA herein describes its proposed interpretive rules, general
statements of policy, and rules of agency procedure or practice as they
relate to the Fiscal Year (FY) 2013 Funding Opportunity Announcements
(FOA) for the following programs: (1) Social and Economic Development
Strategies (hereinafter referred to as SEDS); (2) Native Asset Building
Initiative (hereinafter referred to as NABI); (3) Sustainable
Employment and Economic Development Strategies (hereinafter referred to
as SEEDS); (4) Native Language Preservation and Maintenance
(hereinafter referred to as Language Preservation); (5) Native Language
Preservation and Maintenance--Esther Martinez Initiative (hereinafter
referred to as Language--EMI); and 6) Environmental Regulatory
Enhancement (hereinafter referred to as ERE). This notice of public
comment also provides additional information about ANA's plan for
administering the programs.
DATES: The deadline for receipt of comments is 30 days from the date of
publication in the Federal Register.
ADDRESSES: Comments in response to this notice should be addressed to
Lillian A. Sparks, Commissioner, Administration for Native Americans,
370 L'Enfant Promenade SW., Mail Stop: Aerospace 2--West, Washington,
DC 20447. Delays may occur in mail delivery to federal offices;
therefore, a copy of comments should be faxed to (202) 690-7441.
Comments will be available for inspection by members of the public at
the Administration for Native Americans, 901 D Street SW., Washington,
DC 20447.
FOR FURTHER INFORMATION CONTACT: Carmelia Strickland, Director,
Division of Program Operations, ANA (877) 922-9262.
SUPPLEMENTARY INFORMATION: Section 814 of NAPA, as amended, requires
ANA to provide notice of its proposed interpretive rules, general
statements of policy, and rules of agency organization, procedure, or
practice. The proposed clarifications, modifications, and new text will
appear in the six FY 2013 FOAs: SEDS, NABI, SEEDS, Language
[[Page 13063]]
Preservation, Language--EMI, and ERE. This notice serves to fulfill
this requirement.
A. Funding Opportunity Announcements: For information on the types
of projects funded by ANA, please refer to ANA's Web site for
information on our program areas and funding opportunity announcements:
https://www.acf.hhs.gov/programs/ana.
The following changes will be made to ANA's FOAs this year:
1. In FY 2013, ANA proposes discontinuing the practice of
publishing a separate SEDS--Tribal Governance FOA (HHS-2012-ACF-ANA-NG-
0278) and, instead, incorporating the Tribal Governance program areas
of interest into the annual SEDS FOA. Also, ANA proposes adding
responsible fatherhood as a program area of interest under the annual
SEDS FOA.
Additionally, ANA proposes adding two new program areas of interest
to the annual SEDS FOA focused on suicide prevention and on human
trafficking. Based on information gathered during tribal consultation
sessions and at other meetings, the ANA Commissioner has been asked to
address the issues related to suicide with which many Native
communities are grappling, as well as with issues related to human
trafficking that can occur on remote, isolated lands, and among
vulnerable populations.
Under SEDS, ANA proposes to move the following four sub-program
areas of interest out of Economic Development: (1) Emergency
preparedness, (2) economic competitiveness, (3) agriculture, and (4)
commercial trade. Emergency preparedness will be included under the
governance program area of interest under the SEDS FOA. Economic
competitiveness, agriculture and commercial trade will move to a
proposed new FOA that is to be known as Sustainable Employment and
Economic Development Strategies (SEEDS) (HHS-2013-ACF-ANA-NE-0588),
which is part of the SEDS program (see proposal 2 in this
section). For additional information on this proposed FOA, you may also
refer to the concept paper located at the following link: https://www.acf.hhs.gov/programs/ana/resource/proposed-seeds-foa-concept-paper.
(Legal authority: Section 803(a) of NAPA, as amended).
2. In FY 2013, ANA will introduce the SEEDS FOA that will focus on
developing employment opportunities and business creation in Native
communities. These types of projects were formerly funded under the
SEDS FOA. ANA will expand funding for new, community-based projects
that will foster economic development through the creation of small
businesses and sustainable job growth, which will be funded under the
same Catalog of Federal Domestic Assistance (CFDA) number as SEDS. The
current economic climate has increased ANA's focus on developing
employment opportunities and business creation in native communities,
resulting in this special funding initiative to promote SEEDS. In an
effort to reduce unemployment and stimulate local economies, ANA will
make $5,000,000 available for SEEDS funding in FY 2013 for new,
community-based projects that will foster economic development through
the creation of small businesses and sustainable job growth. Applicants
eligible for the SEEDS FOA are the same as those identified as eligible
for SEDS though current SEDS grantees with grants that will go beyond
the start date of the possible new award are not eligible for funding
under SEEDS.
Four priorities that ANA will promote through the SEEDS initiative
are: (1) Creation of sustainable employment opportunities; (2)
professional training and skill development that increases
participants' employability and earning potential; (3) creation and
development of small businesses and entrepreneurial activities, and;
(4) demonstrated strategy and commitment to keeping the jobs and
revenues generated by project activities within the native communities
being served. Improving access to employment opportunities and
supporting small businesses will enhance local economies, enable more
tribal members to acquire and maintain gainful employment, and improve
the long-term financial health of tribal members and their families.
ANA has identified the following program areas of interest for the
SEEDS FOA, however funding is not restricted to those listed below:
(a) Agriculture: Creating, developing, or enhancing agricultural
enterprise and sustainable farming projects with a focus on
distribution at local and commercial markets.
(b) Career Pathways: Using multi-sector partnerships with entities
such as Tribal Colleges, workforce development agencies, social service
providers, and employers to develop workforce training programs that
respond to local employers' hiring needs.
(c) Commercial Trade: Strengthening local economies by increasing
the demand for locally produced goods and services.
(d) Economic Competitiveness: Creating, expanding, and retaining
businesses to reflect distinct economies operating in rural and urban
areas, in both mature and emergent sectors.
(e) Economic Infrastructure: Addressing economic infrastructure
needs that will strengthen business development and job creation in
native communities.
(f) Entrepreneurship and Microbusiness: Promoting entrepreneurial
development through business incubators and other activities that
support businesses and market the availability of local products or
services. (Microbusiness loans will not be available under such
projects.)
(g) Local Sourcing and Technology: Using new technologies to
enhance distribution channels for locally produced goods and services.
(h) Professional Development: Providing professional training,
skill development (including soft skills, basic skills, or technical
skills) or certification that will enhance participants' employment and
earning prospects.
(i) Interoperability/Integration (partnering with ACF programs and
clients): Helping ACF clients such as youth aging out of foster care,
TANF or TANF eligible individuals, or noncustodial parents with child
support agreements to obtain employment.
(j) Place-based Strategies: Using a tribe or community's local or
regional assets and resources and collaborating with multiple
stakeholders to address economic development barriers.
3. The program areas of interest will remain the same for the
following ANA FOAs: Native American Language Preservation and
Maintenance (HHS-2011-ACF-ANA-NL-0139); Native American Language
Preservation and Maintenance--Esther Martinez Initiative (HHS-2011-ACF-
ANA-NL-0140); Environmental Regulatory Enhancement (HHS-2011-ACF-ANA-
NR-0142), and Native Asset Building Initiative (HHS-2013-ACF-ANA-NO-
0587).
B. Administrative Policies: ANA proposes revising all funding
opportunity announcements to include three new administrative policies,
remove one administrative policy used in prior years, and will clarify
another administrative policy, as follows:
1. Proposal: All applicants must submit documentation, such as a
resolution, demonstrating that the governing body of the organization
approves the application's submission to ANA for the current grant
competition period. In addition, if the applicant is a tribally-
authorized component or division, the applicant must also include a
resolution demonstrating that the governing body of the tribe approves
the application's submission to ANA for the current competition period.
All resolutions must be signed by an official of the
[[Page 13064]]
governing body and dated. In lieu of a resolution, meeting minutes from
the governing body and/or a letter from the current tribal leader may
be acceptable forms of documentation if that is more appropriate to
that tribal government structure. The documentation should be included
with the application's submission to ANA. Project funds will not be
awarded without ANA's receipt of signed and dated documentation prior
to the start of the project period.
Rationale: The NAPA requires that a governing body ``has not
disapproved'' the project ``within 30 days of its submission'' to the
governing body (42 U.S.C. 299f(1)). Therefore, ANA's administrative
policy is included to ensure that funded applications are supported by
the governing body of the tribe or organization. In previous FOAs, lack
of such resolutions as part of the application submission has been a
disqualification factor that resulted in the elimination of many
applications from the competitive review process. The requirement for
evidence that the governing body has either affirmatively approved or
not disapproved the project remains the same; however, it is no longer
required by the due date of the FOA in which an application was
submitted. In lieu of a resolution, meeting minutes from the governing
body and/or a letter from the current tribal leader may be acceptable
forms of documentation if that is more appropriate to that tribal
government structure. It is important that the tribal leadership is
aware of its fiscal responsibility and potential for financial
liabilities in administering the ANA program. The change of
administrative policy is recommended in order to increase the number of
applications that are eligible for the competitive review process. If
an application is ranked within funding range but does not include a
governing body's resolution, ANA staff will require this documentation
in advance of making a grant award.
2. Proposal: Grantees will be required to attend Post Award
Training during the first year of their ANA award, and to attend an
annual ANA Grantee Meeting during each year of their ANA award.
Therefore, applicants will be required to include an appropriate amount
for travel costs to attend Post Award Training in the first year of the
proposed project budget, and travel costs to attend the annual ANA
Grantee meeting for each year of the proposed project's budget. Also,
participation and attendance at Post Award Training and the ANA Grantee
Meeting should be included activities within each year of the project's
Objective Work Plan (OWP). See Section IV.2. Content and Form of
Application Submission, Project Budget and Budget Description, for
specific travel costs that should be included to attend Post Award
Training, to be held in the grantee's region, and the ANA Grantee
Meeting, which is usually held in Washington, DC.
Rationale: This policy is added to ensure that applicants
understand the mandatory training meeting and budgetary requirements
for an ANA grant. By including this under the administrative policies
instead of evaluation criteria, ANA believes confusion by panel
reviewers will be eliminated thus ensuring panel reviewers do not score
an application based on the inclusion or omission of these trainings in
their budget and OWP.
3. Proposal: Under the standard terms and conditions for
discretionary HHS awards (Grants Policy Statement, page II-7 at https://www.acf.hhs.gov/grants/terms-and-conditions), grant recipients are
required to establish safeguards to prevent employees, consultants,
members of governing bodies, and others who may be involved in grant-
supported activities from using their positions for purposes that are,
or give the appearance of being, motivated by a desire for private
financial gain for themselves or others, such as those with whom they
have family, business, or other ties. Therefore, staff employed through
an ANA-funded project cannot also serve as a member of the governing
body for the applicant organization. During the award negotiation
phase, ANA will ask the prospective recipient to modify project
personnel if a proposed staff member is also a member of the applicant
organization's governing body. In addition, there should be a
separation of duties from staff and the governing bodies within an
organization to ensure the integrity of internal controls and to
minimize disruptions in the continuity of operations.
Rationale: This policy has been added to remind applicants of the
requirement to establish safeguards that prohibit employees from using
their positions for a purpose that presents a conflict of interest or
the appearance of a conflict of interest. An applicant organization
must also have auditable internal controls in place to ensure the
integrity of the management of federal funds. In recent years, ANA has
seen challenges arise with grantees in which individuals are dually
serving as paid staff and also as a member of the recipient
organization's Board of Directors.
Additionally, ANA proposes to eliminate the administrative policy
previously stated in Section I, Funding Opportunity Description,
Administrative Policies, which requires the submission of a business
plan. However, submission of a business plan will remain a requirement
for the submission of certain economic development projects as stated
in Section IV.2, The Project Description.
C. Disqualification Factors: ANA proposes revising the
disqualification factors that are specific to applications submitted
for ANA funding. ANA will remove a previously identified
disqualification factor, clarify an existing factor, and add a new
disqualification factor. (Legal authority: Section 803(a) and 814 of
NAPA, as amended).
1. Board Resolution
All applicants must submit a resolution demonstrating that the
applicant's official governing body approves the application
submission to ANA for the current grant competition period. In
addition, if the applicant is a tribally authorized component or
division, the application must also include a resolution
demonstrating that the governing body of the Tribe approves the
application submission to ANA for the current competition period.
Applicants that do not include this documentation will be considered
non-responsive, and the application will not be considered for
competition.
ANA proposes removing the disqualification factor associated with
the submission of an approved board resolution. ANA will still require
that this documentation be submitted but it will now be designated as
an administrative policy (see administrative policies above for
additional clarification). All applicants must submit documentation,
such as a resolution, demonstrating that the governing body of the
organization approves the application's submission to ANA for the
current grant competition period. In addition, if the applicant is a
tribally-authorized component or division, the applicant must also
include a resolution demonstrating that the governing body of the tribe
approves the application's submission to ANA for the current
competition period. All resolutions must be signed by an official of
the governing body and dated. Project funds will not be awarded without
the submission of signed and dated documentation prior to the start of
the project period. Applications received without the required
governing body's resolution will no longer be disqualified from
competitive review.
[[Page 13065]]
2. Governing Body Documentation
This disqualification factor applies only to applicants that are
not Tribes or Native Alaska villages. Organizations applying for
funding must show that a majority of board members approving the
project proposal are representative of the community to be served.
The applicant should submit documentation that identifies each board
member by name and indicate their affiliation or relationship to at
least one of the four categories of representation listed in the
factor. ANA revised the categories of representatives of the
community to be served to include: (1) members of Federally or State
recognized Tribes; (2) persons eligible to be a participant or
beneficiary to the project to be funded; (3) persons who are
recognized by the eligible community to be served as having a
cultural relationship with the community to be served; or (4)
persons considered to be Native American as defined in 45 CFR
1336.10 and Native American Pacific Islanders as defined in the
Native American Programs Act. Applicants that do not include this
documentation will be considered non-responsive, and the application
will not be considered for competition.
This disqualification factor will remain in effect but is
clarified. ANA proposes to add clarification to this disqualification
factor to indicate that the documentation that must be submitted
identifies each board member by name and indicates their relationship
to at least one of the four categories of representation listed in the
factor. Applications that are submitted without this documentation will
be considered non-responsive to the FOA and will not be considered for
competition. (Legal authority: Section 803(a) and 814 of NAPA, as
amended.)
3. Only One Active Award per CFDA
This disqualification factor applies to all types of eligible
applicants. Organizations can have no more than one active award per
CFDA number for an ANA program at any given time. Therefore,
organizations that have a current ANA grant that is eligible for a
Non Competing Continuation (NCC) award which: A) will go beyond the
start date of the possible new award, and B) was awarded under the
same CFDA number as this FOA, will not have their applications
considered for the competition. This disqualification factor is
based on the administrative policy that prohibits grantees from
having more than one active grant per CFDA number. This
disqualification factor does not apply to organizations eligible for
an NCC award for the continuation of an ANA grant made under a
different CFDA number (funding opportunity announcement).
Under the Administrative Policies, ``Grantees can have only one
active grant award per Catalog of Federal Domestic Assistance (CFDA)
number.'' ANA is proposing that this policy should also become a
disqualification factor that will apply to all applicants. The limit of
one active award per CFDA number has been a long-standing ANA policy
that was implemented to ensure a wider distribution of ANA's federal
funding. ANA strongly believes in maximizing the beneficial use of its
limited funding for the greatest number of people in the targeted
communities. By including this administrative policy as a
disqualification factor, ANA will screen-out from competition those
applications submitted by an applicant that would be ineligible for
funding because the organization has an ongoing ANA award funded by the
same CFDA number that will continue past the start date of the new
award.
Previously, ANA has had to expend its limited resources to review
all grant applications, even if the applicant was likely not to receive
an award based on the administrative policy. If the application was
found to be within the funding range, the application was ultimately
not funded. Under the disqualification factor, applications from
existing grantees with an award that has the same CFDA number will be
screened out of competition and the application will not be reviewed.
Therefore, applicants should be cautioned to not apply for a new grant
that has the same CFDA number if they have a concurrent ANA award. For
example, applicants with a current ANA grant that is eligible for a
Non-Competing Continuation (NCC) award that will extend beyond the
start date of the new award offered under the FOA, and was awarded
under the same CFDA number as that of the current FOA, will be
disqualified from the competitive review. This disqualification factor
is based on the administrative policy that prohibits grantees from
having more than one active grant per CFDA number. See Section I.
Funding Opportunity Description, Administrative Policies.
D. Definitions: ANA is adding a definition for ``impact indicator''
in all FY 2013 FOAs. (Legal authority: Section 803(b) and 814 of NAPA,
as amended and 42 U.S.C. Sec. 2991b-3(b)(7)(C).
1. Impact Indicator: A quantitative measure used to monitor a
project's progress in achieving its intended outcomes and impact. An
impact indicator should identify the extent to which a project's
overall desired outcome was achieved and should describe how the
conditions discussed in the Need for Assistance were changed as a
result of the project. For example, a project focused on healthy
relationships would likely use the community's divorce rate as an
impact indicator.
E. Do Not Fund: ANA will add the following five project types that
it will not fund to Section V.2. Review and Selection Process. These
projects will not be disqualified from competitive review but ANA
reserves the right not to fund them regardless of the outcome of panel
review.
1. Projects that do not demonstrate that the proposed staff or
organization has the required expertise, or organizational capacity, to
fulfill the project approach or to achieve the stated objectives or
outcomes of the application.
ANA applicants should provide evidence that the applicant
organization, and any partnering organizations, have relevant
experience and expertise with administration, development,
implementation, and management of programs similar to that proposed in
order to fulfill the project's approach. ANA has received some
applications that scored within the funding range but did not
demonstrate that the organization had sufficient capacity or staffing
expertise to implement the proposed project, nor had the applicant
identified partnerships that would assist them in achieving the
project's objectives. Funding these types of applications would not be
the best use of ANA's limited resources or taxpayer dollars.
2. Projects with the potential to cause unintended harm or that
could negatively impact the safety, or privacy, of individuals.
This ``Do Not Fund'' is added to ensure that projects funded by ANA
will not cause harm or impact the safety, or privacy, of individuals.
ANA has received several applications proposing activities that could
cause harm, including the use of inaccurate medical information in
health counseling, purchasing surveillance equipment to monitor tribal
citizens, or proposing potentially dangerous activities involving
youth. One of ANA's goals is to safeguard the health and well-being of
Native children and families; therefore, ANA reserves the right to not
award federal funds for activities that may adversely impact the safety
or well-being of Native people in their communities.
3. Applications for proposed projects that are not written
specifically in response to an ANA FOA. These applications may have
been submitted to another funding agency and are not tailored to ANA's
goals as specified in an ANA FOA.
This ``Do Not Fund'' will be added to ensure that proposed projects
are specific to ANA's funding goals and that they are strongly
supported by the community. ANA has previously received applications
that include
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letters of support that were written to other funding agencies and are
not specific to the project proposed for ANA funding. This does not
demonstrate a strong commitment towards fulfilling the purpose of ANA's
goals and is not specific to the requirements of ANA's FOAs.
4. Projects that do not demonstrate a current need or recent
community support for the proposed project.
This ``Do Not Fund'' area is to ensure that the applicant has
worked with its community within the last three years (or sooner) to
identify the need for the project and to obtain their input or
involvement in the planning for the proposed project. Based on internal
reviews of grantees' impact evaluations, ANA has discerned that strong
community support for projects in advance of funding, and throughout
the project's implementation, is integral to the success of an ANA-
funded project. For example, if an applicant proposes to address a need
that was identified as part of a tribe's 10-year strategic plan, which
was completed 7 years ago, the applicant should demonstrate that the
need still remains and that more recent interactions and input from the
community have been part of the project's planned approach.
5. Projects that may be used for the purpose of providing loan
capital. Federal funds awarded under this FOA may not be used for the
purpose of providing loan capital. This is not related to loan capital
authorized under Sec. 803A of NAPA [42 U.S.C. 2991b-1(a)(1)] for the
purpose of the Hawaiian Revolving Loan fund.
This ``Do Not Fund'' will be added to clarify ANA's interpretation
of the NAPA on the use of ANA funding for loan capital purposes. ANA
will not fund projects which propose activities that include the use of
grant funds as loans.
F. Page Limits: In Section IV.2. Content and Form of Application
Submission, Formatting ACF Applications, ANA will implement a maximum
page limit for all applications for FY 2013.
1. Total application: ANA will implement a total page limit of 150
pages for applications submitted in response to the FOA for SEDS,
Language Preservation, Language--EMI, and ERE programs, and a 200 page
limit for applications submitted in response to the NABI and SEEDS
programs. Additional pages will be allowed for NABI applications due to
a required five-year project period and the submission of two budgets
and two budget justifications. Additional pages will be allowed for
SEEDS applications due to project periods lasting up to five years. The
page limitation excludes a Business Plan (if applicable) or mandatory
grant forms (Standard Forms and ANA's Objective Work Plan form).
Applications that exceed the page limits will have excess pages removed
prior to the application's panel review.
G. Project Description: ANA will make modifications to the project
description narrative.
1. Letters of Support: ANA has added Letters of Support as a
requirement. Applicants should provide statements from community,
public, and commercial leaders that support the project proposed for
funding. All submissions must be included in the application package.
2. Third-party agreements: ANA has added third-party agreements as
a requirement. Third-party agreements include Memoranda of
Understanding (MOU) aka Letters of Commitment. General letters of
support are not considered to be third-party agreements. Third-party
agreements must clearly describe the project activities and support to
which the third party is committing. Third-party agreements must be
signed by the person in the third-party organization with the authority
to make such commitments on behalf of their organization. Applicants
should provide written and signed agreements between grantees and
subgrantees, or subcontractors, or other cooperating entities. These
agreements must detail the scope of work to be performed, work
schedules, remuneration, and other terms and conditions that structure
or define the relationship.
3. Budget and Budget Justification:
Travel: Text will be added requiring applicants to include costs in
their budget for mandatory post-award travel for training and the ANA
Grantee Meeting. Additional information will be provided within the FOA
on estimated costs based on applicant's regional location.
H. ANA Application Evaluation Criteria: ANA will revise the
evaluation criteria for the SEDS, Language Preservation, Language--EMI,
and ERE FOAs to allow greater flexibility in applicants' proposals. The
evaluation criteria will be revised to include clearer explanations of
how ANA will assess the information provided in the applications.
(Legal authority: Section 803(c) of NAPA, as amended.) The evaluation
criteria for NABI will not be changed.
1. Titles and Assigned Weight: In FY 2013, ANA will increase the
number of evaluation criteria from four to five and adjust the weighted
scores to focus on those elements that are important to project success
and project monitoring. Weighted sub-criteria scores are identified for
the ``Project Approach'' criterion only.
For SEDS, Language Preservation, Language--EMI, and ERE FOAs
published in FY 2013, the criteria will be weighted as follows:
Project Integration--10 points;
Objectives and Need for Assistance--10 points;
Project Approach--50 points;
Sub criterion--Project Strategy--30 points
Sub criterion--Objective Work Plan--20 points
Outcomes Expected--20 points
Budget and Budget Justification--10 points
2. ANA Evaluation Criteria: Included here is a summary of the
changes made to the criteria.
(a) Project Integration: ANA will add a new criterion entitled,
``Project Integration,'' that will score how well the application ties
together the proposed project through the other four criteria. The
overall point value for this section will be 10 points. To score the
Project Integration criterion, reviewers will consider the extent to
which all the application criteria elements are aligned, i.e., how
effectively the Objectives and Need for Assistance, Project Approach,
Budget, and Outcomes Expected complement one another into a cohesive
and carefully planned project. For example, if the application's
proposed project description was a jigsaw puzzle, how well do the
puzzle pieces fit together? This criterion does not measure any element
of the application in isolation and does not respond to a specific
information request concerning project integration.
(b) Objectives and Need for Assistance: The overall point value has
been decreased to 10 points due to the addition of the project
integration criterion.
(c) Outcomes Expected: The overall point value for this section has
been increased to 20 points to emphasize the importance of applicants
connecting their proposed project's goal, objectives, and activities to
the intended results, benefits, and impacts produced by the project.
(d) Budget and Budget Justification: The overall point value for
this section has decreased to 10 points due to the addition of the
project integration criterion.
The changes to the content of evaluation criteria, and the
complementary changes to the project
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description section of the FOA, will more effectively guide applicants
and panel reviewers on what ANA believes are critical components of a
project's application. (Legal authority: Section 803(c) of NAPA, as
amended.)
I. Objective Review and Results: ANA's FOA currently states
``Results of the competitive objective review are taken into
consideration by ACF in the selection of projects for funding; however,
objective review scores and rankings are not binding. They are one
element in the decision-making process.'' ANA will clarify the scoring
process in this section by stating that ANA will have the discretion to
Use either the actual ``raw'' score or a normalized score in order to
determine the ranking of applications after the panel review has been
completed. The raw score is the average of the actual scores given by
the three panelists that served as peer reviewers for the application.
A normalized score is a statistical method that accounts for the
variability and relative nature of individual reviewers' scoring
tendencies. Normalized scores are used to counteract any possible
predisposition or scoring biases of individual reviewers and panels in
order to make the outcome fairer for all applications. The use of a
normalized score is allowable and authorized by HHS grants
administration policy.
Lillian A. Sparks,
Commissioner, Administration for Native American.
[FR Doc. 2013-04383 Filed 2-25-13; 8:45 am]
BILLING CODE 4184-34-P
