**4184 - 01P**

**Department of Health and Human Services**

**Administration for Children and Families**

**Refugee Resettlement Program: Proposed Notice of Availability of
Formula Allocation Funding for FY 2004 Targeted Assistance Grants for
Services to Refugees in Local Areas of High Need**

**AGENCY:** Office of Refugee Resettlement (ORR), ACF, HHS.

**ACTION:** Proposed notice of availability of formula allocation
funding for FY 2004 targeted assistance grants to States for services to
refugees in local areas of high need.

**SUMMARY:** This proposed notice announces the availability of
**\$44,122,535** and award procedures for FY 2004 targeted assistance
grants for services to refugees under the Refugee Resettlement Program
(RRP). These grants are for service provision in localities with large
refugee populations, high refugee concentrations, and high use of public
assistance, and where specific needs exist for supplementation of
currently available resources.

This notice continues the eligibility of those **53 counties located in
28 States** that previously qualified for and received targeted
assistance program (TAP) grants beginning in FY 2003 as a result of the
three-year qualification process. The FY 2004 proposed TAP formula
allocations are based on the same formula as in FY 2003, updated to
reflect arrivals during the five-year period from FY 1999 through FY
2003.

The final FY 2004 TAP formula allocations may reflect adjustments in
final allocations to States as a result of inclusion of data from States
that provide information about asylees and victims of a severe form of
trafficking who have received assistance and/or services within the
five-year period from FY 1999 through FY 2003.

Comments on this proposed notice should be sent in duplicate to Kathy Do
no later than Monday, April 12, 2004.

**APPLICATION DEADLINE:** Do not send applications in response to this
proposed notice because final allocations may change as a result of data
from States. Please refer to Section V. B., page 12 of this proposed
notice for information on submission of additional data to ORR. Deadline
for submission of additional data to ORR is April 27, 2004. The deadline
for applications will be established in the final notice. States should
contact their ORR State Analyst for further information about
applications.

For further information regarding this proposed notice, contact: Kathy
Do, Division of Budget, Policy and Data Analysis (202) 401-4579, e-mail:
<kdo@acf.hhs.gov>**.**

**SUPPLEMENTARY INFORMATION:**

**I. Purpose and Scope**

A notice of proposed availability of FY 2004 funds for grants to States
is sent to States by ORR State Letter, Number 04-02, dated March 11,
2004**,** for targeted assistance for services to refugees in counties
where, because of factors such as unusually large refugee populations,
high refugee concentrations, and high use of public assistance, there
exists and can be demonstrated a specific need for supplementation of
resources for services to this population.

The Office of Refugee Resettlement (ORR) has available **\$49,025,035**
in FY 2004 funds for the targeted assistance program (TAP) as part of
the FY 2004 appropriations.

The Director of the Office of Refugee Resettlement (ORR**)** will use
the **\$49,025,035 in** targeted assistance funds as follows:

-   **\$ 44,122,535** will be allocated to States under the five-year
    (October 1, 1998-September 30, 2003) population formula, as set
    forth in this proposed notice.

-   **\$ 4,902,500** (10 percent of the total) will be used to award
    discretionary continuation grants to States.

The purpose of targeted assistance grants is to provide, through a
process of local planning and implementation, direct services intended
to result in the economic self-sufficiency and reduced welfare
dependency of refugees through job placements.

The targeted assistance program reflects the requirements of section
412(c)(2)(B) of the Immigration and Nationality Act (INA), which
provides that targeted assistance grants shall be made available \"(i)
primarily for the purpose of facilitating refugee employment and
achievement of self-sufficiency, (ii) in a manner that does not supplant
other refugee program funds and that assures that not less than 95
percent of the amount of the grant award is made available to the county
or other local entity.\"

II. **Authorization**

Targeted assistance projects are funded under the authority of section
412(c)(2) of the Immigration and Nationality Act (INA), as amended by
the Refugee Assistance Extension Act of 1986 (Pub. L. No. 99-605), 8
U.S.C. 1522(c); section 501(a) of the Refugee Education Assistance Act
of 1980 (Pub. L. No. 96-422), 8 U.S.C. 1522 note, insofar as it
incorporates by reference with respect to Cuban and Haitian entrants the
authorities pertaining to assistance for refugees established by section
412(c)(2) of the INA, as cited above; section 584(c) of the Foreign
Operations, Export Financing, and Related Programs Appropriations Act,
1988, as included in the FY 1988 Continuing Resolution (Pub. L. No.
100-202), insofar as it incorporates by reference with respect to
certain Amerasians from Viet Nam the authorities pertaining to
assistance for refugees established by section 412(c)(2) of the INA, as
cited above, including certain Amerasians from Viet Nam who are U.S.
citizens, as provided under title II of the Foreign Operations, Export
Financing, and Related Programs Appropriations Acts, 1989 (Pub. L. No.
100-461), 1990 (Pub. L. No. 101-167), and 1991 (Pub. L. No. 101-513).

**III. Use of Funds**

Targeted assistance funding must be used to assist refugee families to
achieve economic independence in accordance with regulations at 45 CFR
Part 400. The term refugee includes persons who meet all requirements of
45 CFR 400.43 (as amended by 65 FR 15409 (March 22, 2000). In addition,
persons granted asylum are eligible for refugee benefits and services
from the date that asylum was granted (see ORR State Letter No. 00-12,
effective June 15, 2000). Victims of a severe form of trafficking who
have received a certification or eligibility letter from ORR are
eligible from the date on the certification letter (per ORR State Letter
No. 01-13, May 3, 2001, as modified by ORR State Letter No. 02-01,
January 4, 2002).

In addition to the statutory requirement that TAP funds be used
\"primarily for the purpose of facilitating refugee employment\"
(section 412(c)(2)(B)(i)), funds awarded under this program are intended
to help fulfill the Congressional intent that \"employable refugees
should be placed on jobs as soon as possible after their arrival in the
United States\" (section 412(a)(1)(B)(i) of the INA). Therefore, in
accordance with 45 CFR 400.313, targeted assistance funds must be used
primarily for employability services designed to enable refugees with
less than one year\'s participation in the targeted assistance program
to obtain jobs in order to achieve economic self-sufficiency as soon as
possible. Under 45 CFR 400.316, a State may provide the same scope of
services under targeted assistance as may be provided to refugees under
45 CFR 400.154 and 45 CFR 400.155, with the exception of 45 CFR
400.155(h). Targeted assistance services may continue to be provided
after a refugee has entered a job to help the refugee retain employment
or move to a better job. Targeted assistance funds may not be used for
long-term training programs such as vocational training that last for
more than a year or educational programs that are not intended to lead
to employment within a year.

States **may not** provide services funded under this notice, except for
referral and interpreter services, to refugees who have been in the
United States for more than 60 months (five years). Citizenship and
naturalization preparation services to refugees who have been in the
United States for more than 60 months **may not** be provided with
targeted assistance funding.

In accordance with 45 CFR 400.314, States are required to provide
targeted assistance services to refugees in the following order of
priority, except in certain individual extreme circumstances: (a)
refugees who are cash assistance recipients, particularly long-term
recipients; (b) unemployed refugees who are not receiving cash
assistance; and (c) employed refugees in need of services to retain
employment or to attain economic independence.

In accordance with 45 CFR 400.317, if targeted assistance funds are used
for the provision of English language training, such training must be
provided in a time period that is concurrent, rather than sequential
with employment or with other employment-related activities.

Refugees who have accepted employment or are participating in TAP-funded
or social services-funded employment services are eligible for day care
services for their children. For an employed refugee, TAP-funded day
care should be limited to one year after the refugee becomes employed.
States and counties, however, are expected to use day care funding from
other publicly funded mainstream programs as a prior resource and are
encouraged to work with service providers to assure maximum access to
other publicly funded resources for day care.

Reflecting section 412(a)(1)(A)(iv) of the INA, States **must** \"ensure
that women have the same opportunities as men to participate in training
and instruction.\" In addition, in accordance with 45 CFR 400.317,
targeted assistance services must be provided, to the maximum extent
feasible, in a manner that includes the use of bilingual/bicultural
women on service agency staffs to ensure adequate service access by
refugee women.

In accordance with 45 CFR 400.317, targeted assistance services must be
provided in a manner that is culturally and linguistically compatible
with a refugee\'s language and cultural background, to the maximum
extent feasible. In light of the increasingly diverse population of
refugees who are resettling in this country, refugee service agencies
will need to develop practical ways of providing culturally and
linguistically appropriate services to a changing ethnic population.
Services funded under this notice must be designed specifically to meet
refugee needs and in keeping with the rules and objectives of the
refugee program. Vocational or job-skills training, on-the-job training,
or English language training, however, need not be refugee-specific.

In order to provide culturally and linguistically compatible services in
as cost-efficient a manner as possible, ORR strongly encourages States
and counties to promote and give special consideration to the provision
of services through coalitions of refugee service organizations, such as
coalitions of Mutual Assistance Associations (MAAs), voluntary
resettlement agencies, or a variety of service providers. States and
counties are encouraged to consider public or private non-profit,
faith-based, refugee, or community-based organizations as eligible
applicants for these funds.

ORR believes it is essential for refugee-serving organizations to form
close partnerships in the provision of services to refugees in order to
be able to respond adequately to a changing refugee picture.
Coalition-building and consolidation of providers is particularly
important in communities with multiple service providers in order to
ensure better coordination of services and maximum use of funding for
services by minimizing the funds used for multiple administrative
overhead costs.

The award of funds to States under this proposed notice will be
contingent upon

the completeness of a State\'s application as described in section VII
below.

**IV. Eligible Grantees**

Eligible grantees are a) those agencies of State governments that are
responsible for the refugee program under 45 CFR 400.5 in States
containing counties that qualify for FY 2003 targeted assistance awards;
b) a replacement designee appointed by the Director pursuant to 45 CFR
400.301(c) if the State authorized the replacement designee to act as
its agent in applying for and receiving targeted assistance funds; or c)
an agency which has State‑wide responsibility for an alternative to the
State‑administered program in lieu of the State under a Wilson/Fish
grant authorized by section 412 (e)(7) of the INA.

The Director of ORR determined the eligibility of counties for inclusion
in the FY 2004 targeted assistance program on the basis of the method
described in section V of this notice.

The use of targeted assistance funds for services to Cuban and Haitian
entrants is limited to States that have an approved State plan under the
Cuban/Haitian Entrant Program (CHEP).

The State agency submits a single application on behalf of all county
governments that are qualified counties in that State. Subsequent to the
approval of the State\'s application by ORR, local targeted assistance
plans will be developed by the county government or other designated
entity and submitted to the State.

A State with more than one qualified county is permitted, but not
required, to determine the allocation amount for each qualified county
within the State. However, if a State chooses to determine county
allocations differently from those set forth in this notice, in
accordance with 45 CFR 400.319, the FY 2004 allocations proposed by the
State in its application must be based on the State\'s population of
refugees who arrived in the U.S. during the most recent five-year
period. A State may use welfare data as an additional factor in the
allocation of its targeted assistance funds if it so chooses; however, a
State may not assign a greater weight to welfare data than it has
assigned to population data in its allocation formula. In addition, if a
State chooses to allocate its FY 2004 targeted assistance funds in a
manner different from the formula set forth in this notice, the FY 2004
allocations and methodology proposed by the State must be included in
the State\'s application for ORR review and approval.

Applications submitted in response to this notice are not subject to
review by State and area-wide clearinghouses under Executive Order
12372, \"Intergovernmental Review of Federal Programs.\"

**V. Qualification and Allocation Formula**

**A. Qualification**

The Director of ORR determines the qualification of counties for
targeted assistance once every three years, as stated in the FY 2002
notice of proposed availability of targeted assistance allocations to
States which was published in the [Federal Register]{.underline} on May
28, 2002 (67 FR 36905). Since ORR determined the qualification of
counties for targeted assistance in FY 2002, those qualifying counties
determined eligible in FY 2003 and listed in this notice as qualified to
apply for FY 2004 TAP funding will remain qualified for TAP funding
through the end of FY 2004 on the basis of the most current five-year
refugee/entrant arrival data. ORR does not plan to consider the
eligibility of additional counties for TAP funding until FY 2005, when
ORR will again review data on all counties that could potentially
qualify for TAP funds.

**B. Allocation Formula**

Of the funds available in **FY 2004** for targeted assistance**, \$
44,122,535** is allocated by formula to States for qualified counties
based on the initial placements of refugees, Amerasians, entrants
(including Havana parolees), and asylees in these counties during the
five-year period from FY 1999 through FY 2003 (October 1, 1998 -
September 30, 2003). These data are available in the ORR Refugee Data
System. In this proposed notice, States are informed that the arrival
data being applied as the basis for targeted assistance formula
allocations does not take asylees, victims of a severe form of
trafficking or secondary migrants in the 5-year population who have
received services into account. Secondary migration is not currently
tracked at the county level; and only those trafficking victims who are
receiving services may be counted. The ORR database only includes
Kurdish asylees who were processed on Guam, because information from the
U.S. Citizenship and Immigration Services (USCIS), formerly Immigration
and Naturalization Service (INS), and Executive Office of Immigration
Review (EOIR) on grants of asylum are available only by zip code of the
asylee. Unfortunately, zip code assignments do not correspond to county
designations. Many zip codes cross county lines and in some cases, State
lines.

In order to ensure that qualified counties are aware of the opportunity
to provide additional information, States are provided the opportunity
to submit to ORR data on asylees served by the qualified counties during
the past five years for consideration. ORR informs States that it will
count asylees in its arrival numbers if the asylee received approval for
his/her asylum claim between October 1, 1998 and September 30, 2003 and
was served by the State through the refugee resettlement program or the
State's social services system during the same period. These data should
be submitted separately from comments on the proposed notice no later
than 45 days from the date of issuance, March 11, 2004, of this notice
and should be sent by Tuesday, April 27, 2004 as an Excel spreadsheet or
other compatible spreadsheet format as an E-mail attachment to:
<lbussert@acf.hhs.gov>. If a State is not Excel-capable or
Excel-compatible, it should contact Loren Bussert by mail at Division of
Budget, Policy and Data Analysis, Office of Refugee Resettlement, 370
L'Enfant Promenade, S.W., Washington, D.C. 20447, or by phone at (202)
401-4732. In Fiscal Year 2003, twenty-three (23) States sent ORR their
lists of asylees and/or victims of trafficking who were provided
services.

Lists submitted by States for asylees must include individual alien
number, date of birth, and date of final grant of asylum. Lists for
victims of trafficking must include their alien number, if available,
date of birth, certification letter number, and date on the
certification letter which will be compared to ORR trafficking
certification files**.** These two files must be separate, clearly
marked, and must be received at ORR by the due date. In addition, States
must also be careful to mark the county to which each asylee and victim
of trafficking resides. In FY 2003, some States sent large list of
asylees without designating their county of residence, with the
expectation that ORR could attribute each asylee/victim to the correct
county of residence. Unfortunately, ORR can only verify their status as
asylees or victims of trafficking, not their residency. As a
consequence, ORR could not take these asylees and victims into account
in the final allocation.

These asylee names and A-Numbers will be compared with an asylee
database containing final grants of asylum from the U.S. Citizenship and
Immigration Services (USCIS), formerly INS, and the Executive Office of
Immigration Review (EOIR).

With regard to Havana parolees for FY 1999 through FY 2003, the numbers
representing Havana parolees were derived from actual data.

**VI. Allocations**

**Table 1** (see attached) lists the qualifying counties; states; the
number of refugees (column 3), entrants (column 4), and Havana parolees
(column 5) arrivals in those counties during the five-year period from
**October 1, 1998- September 30, 2003**; the total number of arrivals
(column 6); and the FY 2004 amount of each county\'s allocation based on
its five-year arrival population.

The allocation table in the proposed notice does not take into account
asylee or victims of trafficking data for the five-year period. ORR does
not know how many asylees and victims of trafficking will be identified
by States during the comment period. In FY 2003, the number submitted by
States exceeded 13,500. The numbers of asylees were not high
(approximately 4 percent of the total arrivals), however, the asylees
were mainly concentrated in four States. As a consequence, the final
allocations differed significantly from the proposed notice. States
should, therefore, take into account that the proposed allocations
calculated in this notice may also differ significantly in the final
allocations in the final notice.

**Table 1\-\-- Proposed Targeted Assistance Allocations by County:**

> **FY 2004**

**Table 2\-\-- Proposed Targeted Assistance Allocations by State: FY
2004**

**Table 3\-\-- Targeted Assistance Areas**

**VII. Application and Implementation Process**

The deadline for applications will be established in the final notice.

**Application Content:**

States that are currently operating under approved management plans for
their FY 2003 targeted assistance program and wish to continue to do so
without any changes for their FY 2004 grants may provide the following
in lieu of resubmitting the full currently approved plan:

The State\'s application for FY 2004 funding shall provide:

Assurance that the State\'s current management plan for the
administration of the targeted assistance program, as approved by ORR in
FY 2003, will continue to be in full force and effect for the FY 2004
targeted assistance program, subject to any additional assurances or
revisions required by this notice which are not reflected in the current
plan. Any proposed modifications to the approved plan will be identified
in the application and are subject to ORR review and approval, e.g., if
the State assumes local administration of the program or if the State
chooses to determine county allocations differently**.** Any proposed
changes must address and reference all appropriate portions of the FY
2003 application content requirements to ensure complete incorporation
in the State\'s management plan.

-   A line item budget and justification for State administrative costs
    limited to a maximum of five percent of the total award to the
    State. Each total budget period funding amount requested must be
    necessary, reasonable, and allocable to the project.

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-   All applicants must submit targeted assistance performance goals as
    described under Section VIII.

**VIII. Results or Benefits Expected**

All applicants must establish targeted assistance proposed performance
goals for each of the six ORR performance outcome measures for each
targeted assistance county\'s proposed service contract(s) or sub-grants
for the next contracting cycle. Proposed performance goals must be
included in the application for each performance measure. The six ORR
performance measures are: entered employment, cash assistance reductions
due to employment, cash assistance terminations due to employment,
90-day employment retention, average wage at placement, and job
placements with available health benefits. Targeted assistance program
activity and progress achieved toward meeting performance outcome goals
are to be reported quarterly on the ORR-6, the \"Quarterly Performance
Report.\"

**IX. Reporting Requirements**

States will be required to submit quarterly reports on the outcomes of
the targeted assistance program, using the same form which States use
for reporting on refugee social services formula grants. This is
Schedule A and Schedule C, pages 1 and 2 of the ORR-6 Quarterly
Performance Report form (OMB #0970-0036).

**X. The Paperwork Reduction Act of 1995 (Pub. L. 104-13)**

This notice does not create any reporting or record keeping requirements
requiring OMB clearance.

**Catalog of Federal Domestic Assistance (CFDA) Number:** 93.584

Dated: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Nguyen Van Hanh, Ph.D.

Director

Office of Refugee Resettlement