[Federal Register Volume 63, Number 89 (Friday, May 8, 1998)]
[Notices]
[Pages 25493-25500]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-12301]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Notice of Availability of Funding for Alternative Projects for 
the Provision of Comprehensive Refugee Resettlement Services, Including 
Interim Financial Assistance, Social Services and Case Management for 
Newly Arriving Refugees

AGENCY: Office of Refugee Resettlement, ACF, DHHS.

ACTION: Request for applications for alternative projects for the 
provision of comprehensive refugee resettlement services, including 
interim financial assistance, social services and case management for 
newly arriving refugees.

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SUMMARY: The Office of Refugee Resettlement (ORR), Administration for 
Children and Families (ACF) announces that competing applications will 
be accepted for new grants pursuant to the Director's discretionary 
authority under section 412(c)(1)(A) of the Immigration and Nationality 
Act (INA) and pursuant to the Secretary's authority under section 
412(e)(7) of the INA for alternative projects, as amended by section 
311 of the Refugee Act of 1980 (Pub. L. 96-212), 8 U.S.C. 1522(c); 8 
U.S.C. 1522(e)(7); section 501(a) of the Refugee Education Assistance 
Act of 1980 (Pub. L. 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) of the INA, as cited above; and the Refugee Assistance 
Extension Act of 1986 (Pub. L. 99-605).
    This announcement offers applicants the opportunity to implement 
alternative projects to test the feasibility of providing comprehensive 
resettlement services to newly arriving refugees \1\ under a public/
private-sector

[[Page 25494]]

partnership among States and national and local voluntary agencies 
responsible for reception and placement services to refugees. Funding 
is available to these projects under both the ``Wilson/Fish'' authority 
and ORR's discretionary social services program.

    \1\ In addition to persons who meet all requirements of 45 CFR 
400.43, ``Requirements for documentation of refugee status'', 
eligibility for refugee social services also includes: (1) Cuban and 
Haitian entrants, under section 501 of the Refugee Education 
Assistance Act of 1980 (Pub. L. 96-422; (2) certain Amerasians from 
Vietnam who are admitted to the U.S. as immigrants under section 584 
of the Foreign Operations, Export Financing, and Related Programs 
Appropriations Act, 1988, as included in the FY 1988 Continuing 
Resolution (Pub. L. 100-202); and certain Amerasians from Vietnam, 
including U.S. citizens, under title II of the Foreign Operations, 
Export Financing, and Related Programs Appropriations Acts, 1989 
(Pub. L. 100-461), 1990 (Pub. L. 101-167), and 1991 (Pub. L. 101-
513). For convenience, the term ``refugee'' is used in this notice 
to encompass all such eligible persons unless the specific context 
indicates otherwise. Refugees admitted to the U.S. under admissions 
numbers set aside for private-sector-initiative admissions are not 
eligible to be served under the social service program (or under 
other programs supported by Federal refugee funds) during their 
period of coverage under their sponsoring agency's agreement with 
the Department of State--usually two years from their date of 
arrival or until they obtain permanent resident alien status, 
whichever comes first.
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DATES: The closing date for submission of applications is August 6, 
1998.

FOR FURTHER INFORMATION CONTACT: Carmel Clay-Thompson, Director, 
Division of Community Resettlement, (202) 401-4557.

SUPPLEMENTARY INFORMATION: All newly arrived refugees, regardless of 
family size, are eligible for these programs. Projects should be 
designed to meet their needs in a manner that promotes complementary 
services, coordination between assistance and services, culturally and 
linguistically appropriate service delivery, and emphasizes employment 
and the needs of the refugee family as a unit. The services should be 
cost-effective by promoting welfare avoidance and by enhancing 
refugees' prospects for early economic and social self-sufficiency.
    Effective projects will demonstrate (1) close linkage in the 
delivery of financial assistance and employment services; and (2) 
successful resettlement along the key indicators of labor force 
participation, per capita and household income, English language 
acquisition, car ownership, and reductions in refugee reliance on 
public assistance.
    Alternative projects are to provide interim financial assistance as 
needed to newly arrived refugees who might otherwise be deemed eligible 
for either the Temporary Assistance for Needy Families (TANF) Program 
or the Refugee Cash Assistance (RCA) Program. Federal reimbursement of 
the costs of cash assistance are available through CMA appropriated 
funds for a period not to exceed the eighth month (although funds are 
not available for the first month of Reception and Placement) after a 
refugee's date of entry into the U.S.
    Consistent with section 412 (e)(7)(B) of the INA, refugees in 
projects funded under this announcement will be precluded from 
receiving cash assistance under the TANF program or the RCA Program.
    Alternative options for medical care are not available under this 
announcement. Participating refugees will retain eligibility for 
medical coverage under the Refugee Medical Assistance (RMA) program or 
under Medicaid, Title XIX of the Social Security Act.
    Applicants may apply for discretionary funds in proportion to the 
number of refugee participants in the project, for the purpose of 
establishing or enhancing existing refugee-specific employment 
services.
    Funds will be awarded under a cooperative agreement.
    The Catalog of Federal Domestic Assistance (CFDA) number assigned 
to this announcement is 93.576.
    This Program Announcement consists of four parts:
    Part I covers information on available funds, legislative 
authorities, eligible applicants, definition of terms used in the 
Program Announcement, the purpose and scope of the program and types of 
projects to be considered, details on project and budget periods, cost 
sharing, restrictions on funds, third-party evaluation, and application 
content.
    Part II provides general instructions for preparing a full project 
description.
    Part III describes the review criteria used in the assessment of 
applications.
    Part IV describes the application procedures, the availability of 
forms, where and how to submit an application, instructions for 
completing the SF-424 and the intergovernmental review.

Part I--General Information

Availability of Funds

    Approximately $4,000,000 is available under this announcement in 
discretionary social service funds, to be used for refugee-specific 
employment and case management services, as well as the administrative 
costs of the projects. ORR anticipates making 4-6 individual grant 
awards in amounts up to $1,000,000 each for these costs. Requests for 
discretionary funds should be justified in proportion to the size of 
the population enrolled in the project.
    Successful applicants will also be eligible to receive 
reimbursement of costs for interim support and related administrative 
costs from ORR's CMA appropriations. The Director reserves the right to 
award less, or more, than the funds described, in the absence of worthy 
applications, or under such other circumstances as may be deemed to be 
in the best interest of the government.
    In order to be considered for funding under this Announcement, 
applicants must submit a request which includes:
    (a) Reimbursement of cash assistance and related administrative 
costs incurred by the applicant for refugees participating in the 
project. This request should be substantially equivalent to the level 
of funds the project's participating population would otherwise receive 
during the designated eight-month budget period under the publicly 
supported program of assistance (TANF or RCA) for which they would 
otherwise be eligible. Thus, the TANF payment rate should be the basis 
for computing payments for TANF-type participants. The RCA payment rate 
should be the basis for computing payments for RCA-type participants.
    (b) A request for social services discretionary funding for 
enhanced, refugee-specific services for refugees who have been targeted 
for inclusion in this alternative project. Requests for services 
funding should be proportional to the size of the participating 
eligible population of new arrivals.

Legislative Authority

    Section 412(c)(1)(A) of the INA authorizes the Director ``to make 
grants to, and enter into contracts with, public or private nonprofit 
agencies for projects specifically designed--(i) to assist refugees in 
obtaining the skills which are necessary for economic self sufficiency, 
including projects for job training, employment services, day care, 
professional refresher training, and other recertification services; 
(ii) to provide training in English where necessary (regardless of 
whether the refugees are employed or receiving cash or other 
assistance); and (iii) to provide where specific needs have been shown 
and recognized by the Director, health (including mental health) 
services, social services, educational and other services.''
    Projects are also authorized by section 412(e)(7) of the 
Immigration and Nationality Act, 8 U.S.C. 1522(e)(7) which states: 
``The Secretary shall develop and implement alternative projects for 
refugees who have been in the United States less than thirty-six 
months, under which refugees are provided interim support, medical 
services, support services, and case management, as needed, in a manner 
that encourages self sufficiency, reduces welfare dependency, and 
fosters greater coordination among the resettlement agencies and 
service providers.''

Eligible Applicants

    Eligible applicants are those agencies of State government that are 
responsible for the refugee program under 45 CFR 400.5 as well as 
private, non-profit voluntary agencies under agreement

[[Page 25495]]

with the Department of State, Bureau of Population, Refugees, and 
Migration to conduct the reception and placement program for refugees.

Definition of Terms

    Eligible refugee participants: All newly arrived refugees in the 
designated State or local jurisdiction, whether they are primary or 
secondary migrants to that area. Refugees who for reasons of age or 
disability may be eligible for SSI are ineligible for participation in 
these projects. Income and asset disregards may be used in determining 
continuing eligibility for these projects.
    Interim Support: To provide financial assistance adequate to meet 
the subsistence needs of refugees otherwise eligible for RCA and/or 
TANF and to preclude the need to access public cash assistance during 
the first eight months following arrival in the U.S.
    Interim support includes provision of financial assistance, as 
necessary, for up to eight months. This assistance may be in the form 
of cash, an income floor, a grant diversion, financial bonuses or 
incentives, payment for work-related expenses, income disregards, or 
other ``Make Work Pay'' incentives for early employment.
    Financial assistance shall not begin under the grant before the 
31st day after the refugee's arrival.
    During the second through the eighth month, the alternative program 
must provide interim support in amounts substantially equivalent to the 
State's established payment under the RCA or TANF program, as 
appropriate, adjusted for the size of the family unit, for a period not 
to exceed the eight month following U.S. arrival, or earlier, if the 
refugee case as a whole is receiving wages sufficient to render interim 
support unnecessary.
    Refugee-Specific Services: Services which are designed specifically 
to meet refugee needs, such as employment, English language training, 
cultural orientation, and social adjustment, and are conducted in a 
linguistically and culturally appropriate manner, in keeping with the 
objectives of the refugee program.

Purpose and Scope

    The purpose of this announcement is to enable applicants to 
implement alternative projects to provide interim financial assistance, 
support services and case management to refugees in a manner that 
encourages self-sufficiency, reduces the likelihood of welfare 
dependency, and fosters greater coordination among the resettlement 
agencies and service providers. ORR's intent is to encourage applicants 
to serve all newly arriving refugees in their jurisdiction, regardless 
of family composition and regardless of the program of cash assistance 
(RCA or TANF) for which they would otherwise be eligible, in a refugee-
specific program of interim cash assistance and services. Refugees who 
apply and are found eligible for SSI will not be eligible for these 
projects.
    These awards are intended to help refugees attain self-sufficiency 
within eight months after arrival in the U.S., without access to public 
cash assistance.
    Applicants may submit a single application which proposes funding 
on a State-wide basis or which proposes an alternative project for 
refugees arriving in one or more communities or localities.
    Cash assistance funding may be requested for a period not to exceed 
seven months (excluding the first month of Reception and Placement) 
following the arrival of refugees otherwise eligible for the RCA or 
TANF program.
    Applicant must ensure that the target population is afforded all 
safeguards specified in section 412 (e) of the INA and other applicable 
law including but not limited to: Application of eligibility criteria, 
administrative procedures, fair hearings, and appeals of adverse 
decisions. Applicants must also ensure that all relevant statutory 
conditions and prohibitions are applied to the target population.

Use of Funds

    Applicants may request discretionary funds under this announcement 
to enhance their ability to provide refugee-specific employment 
services to this population. The discretionary funds may be used in the 
following ways: Job development, placement, and post-placement 
services, on-the-job training, legally established employer or employee 
incentives, post-placement services, competency-based English language 
training, case management and related administrative overhead. Short-
term skills training may be provided with these funds only to the 
extent that such training is consistent with industry standards and 
leads directly to a specific job.
    To be considered, applicants must apply on behalf of all newly 
arriving refugees in the designated jurisdiction or service area who 
are otherwise eligible for the specific assistance category(ies) for 
which this project is an alternative.

Types of Projects To Be Considered for Funding

    Projects are encouraged where refugees are adversely affected by 
changes brought about under welfare reform. Programs are also 
encouraged where there is an interest in restructuring the refugee 
program for new arrivals to produce comprehensive service delivery, 
coordinated among publicly and privately supported agencies, for 
assisting refugees in achieving economic and social self-sufficiency.
    Circumstances where an alternative project may be appropriate 
include the following examples:
    Where States are having difficulty maintaining RCA in new welfare 
systems and wish to find alternative resettlement methods.
    Where TANF refugees may not have access to culturally and 
linguistically appropriate services.
    Where refugees, particularly two-parent families, are in danger of 
dependency on public assistance.
    Where a transition period of additional financial resources is 
needed for refugee-specific services which are not funded under ORR's 
formula allocations.
    Where continuity of services from time of arrival through 
attainment of self-sufficiency needs to be strengthened.
    Applicants may establish alternative programs in various ways: some 
options include:
    The State government separates the refugee program from the public 
welfare system and transfers its implementation to one or more 
voluntary resettlement agencies, under the mechanism of a subgrant or 
subcontract.
    The State government, in partnership with national and local 
networks of voluntary agencies, privatizes both the operations and 
service delivery of refugee interim support and services.
    The State government transfers responsibility for the 
administration of the program to a national voluntary agency or 
consortium of several voluntary agencies.
    National and local voluntary resettlement agencies form a 
consortium to operate a comprehensive resettlement program that is an 
alternative to public welfare.

Project and Budget Periods

    Under this announcement the Director solicits applications for 
project periods up to three years. Awards, on a competitive basis, will 
be for a one-year budget period; applications for continuation grants 
funded under these awards beyond the one-year budget period may be 
entertained on a non-competitive basis, subject to the availability of 
funds, satisfactory progress of the project, and a

[[Page 25496]]

determination that continuation would be in the best interest of the 
government.

Cost Sharing

    States are encouraged to share the costs of interim support in this 
program by contributing a share of funds--either Federal or State TANF 
assistance for TANF-eligible refugees in the project or State (non-
TANF) funds which, subject to the necessary conditions, may be counted 
towards the State's maintenance of effort requirement--in proportion to 
the targeted TANF-type population in this demonstration, that would 
have been expended in their behalf in the absence of this alternative 
project.

Restrictions

    Refugees covered under an alternative program are precluded from 
receiving cash assistance under TANF and/or RCA, for which this project 
is an alternative, during the first eight months following their 
arrival in the U.S.

Third-Party Evaluation

    An independent evaluation of each project funded under this 
announcement will be conducted by ORR. For this purpose, successful 
grantees will be expected to maintain and provide access to appropriate 
client-specific data on date of arrival, family size, age, gender, 
employment, job retention, financial assistance provided, and other key 
indicators of successful resettlement, as well as on service delivery 
and program implementation. Grantees will be strongly encouraged to 
evaluate project effectiveness through feedback provided by 
participants after completing the program.

Part II--General Instructions for Preparing a Project Description

General Instructions

    Cross-referencing should be used rather than repetition. ORR is 
particularly interested in specific factual information and statements 
of measurable goals in quantitative terms. Project descriptions are 
evaluated on the basis of substance, not length. Extensive exhibits are 
not required. (Supporting information concerning activities that will 
not be directly funded by the grant or information that does not 
directly pertain to an integral part of the grant funded activity 
should be placed in an appendix.) Pages should be numbered and a table 
of contents should be included for easy reference.
    Applicants shall prepare the project description statement in 
accordance with the following instructions.

A. Project Summary/Abstract

    Provide a summary of the project description with reference to the 
funding request. ORR is also interested in the following:
    <bullet> The total number of refugees to be served when the program 
is fully operational.
    <bullet> The total ORR funds requested for a 12 month period when 
the project is fully operational.
    <bullet> The amount and source of any additional funding that will 
help support the project.
    <bullet> The community to be served (name of county(ies) or State).
    <bullet> The type of program option(s) proposed (for TANF-type 
refugees if included with RCA-type refugees) and the proposed services.
    <bullet> The target date for beginning full services to newly 
arrived refugees.

B. Objectives and Need for Assistance

    Clearly identify the physical, economic, social, financial, 
institutional, and/or other problem(s) requiring a solution. The need 
for assistance must be demonstrated and the principal and subordinate 
objectives of the project must be clearly stated; supporting 
documentation, such as letters of support and testimonials from 
concerned interests other than the applicant, may be included. Any 
relevant data based on planning studies should be included or referred 
to in the endnotes/footnotes. Incorporate demographic data and 
participant/beneficiary information, as needed. In developing the 
project description, the applicant may volunteer or be requested to 
provide information on the total range of projects currently being 
conducted and supported (or to be initiated), some of which may be 
outside the scope of the program announcement.
    ORR is particularly interested in the following:
    1. Describe the problem in the current resettlement situation to be 
addressed by the alternative project with respect to:
    (a) Refugee welfare utilization data, by category of assistance, 
duration, and the reasons, if applicable, for high utilization in the 
refugee community; (b) barriers to, and the need for, coordination 
among public and private refugee agencies; (c) current employment and 
other program strategies and outcomes; (d) refugees' access to entry-
level employment through culturally and linguistically appropriate 
services; (e) confusion among refugees regarding the purpose of public 
welfare and the employment services available within the community.
    2. State the rationale for this alternative project relative to 
welfare reform and justify the proposed strategy intended to reduce 
welfare dependency, promote employment, and foster coordination among 
resettlement agencies and service providers. Discuss the proposed 
project's anticipated cost effectiveness.

C. Results or Benefits Expected

    Identify the results and benefits to be derived. Describe proposed 
program outcomes, in terms of appropriate indicators, including GPRA 
measures currently in use in the refugee resettlement program. Include 
the plan for measuring progress along these indicators: e.g., welfare 
avoidance and/or reduction, numbers of refugees who retain employment 
for a designated period of time, number of single refugees and refugee 
families who attain self-sufficiency.
    Describe data collection and analyses anticipated to document 
project implementation and outcomes. Describe the plan and schedule for 
project monitoring. Successful applicants will also be required to 
report outcomes on ORR's standard Quarterly Performance Report.

D. Approach

    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors which might 
accelerate or decelerate the work and state your reason for taking the 
proposed approach rather than others. Describe any unusual features of 
the project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served.
    ORR is particularly interested in the following:
    1. Describe (a) The target population (numbers, ethnicity, and 
demographic characteristics) (b) anticipated refugee welfare 
utilization by the category of public assistance for which the targeted 
population may otherwise be eligible;
    2. Financial assistance (e.g., eligibility criteria, payment 
standards, administrative procedures, etc.) Include a description of 
levels of support and all other incentives or cash mechanisms for 
providing interim support; measures to

[[Page 25497]]

ensure fair and equitable access to financial support, provisions for 
sanctions for non-cooperation and for fair hearings and appeals.
    3. Discuss how refugees in this project will have eligibility for, 
and access to, other programs, specifically, Refugee Medical Assistance 
or Medicaid, the Children's Health Insurance Program (CHIP), Food 
Stamps, expanded medical coverage under OBRA, etc.
    4. Describe how the alternative project will provide interim cash 
assistance and support services of case management and employment in a 
manner that is coordinated and that promotes self-sufficiency and 
reduces welfare dependency.
    a. Demonstrate how the services of the project will be coordinated 
among resettlement agencies and service providers, including voluntary 
resettlement agencies, Mutual Assistance Associations, and other public 
and private, non-profit agencies that provide services to refugees. 
Provide letters of agreement, if available.
    b. An integrated system of assistance and services is considered an 
essential characteristic of an alternative project. Describe how this 
integration will be effected in this project.
    5. Provide a description with documentation of consultation with 
the State Refugee Coordinator, if applicant is a private, non-profit 
agency; and with appropriate national voluntary agencies, if applicant 
is a State government.
    6. Where the application is for a State-wide project, describe how 
the proposed project will address any element of the current program 
which the new project would include, replace, interrelate with, or 
otherwise impact.
    Identify the kinds of data to be collected, maintained, and/or 
disseminated. Note that clearance from the U.S. Office of Management 
and Budget might be needed prior to a ``collection of information'' 
that is ``conducted or sponsored'' by ACF. List organizations, 
cooperating entities, consultants, or other key individuals who will 
work on the project along with a short description of the nature of 
their effort or contribution.

E. Geographic Location

    Describe the precise location of the project and boundaries of the 
area to be served by the proposed project. Maps or other graphic aids 
may be attached.

F. Additional Information

1. Staff and Position Data
    Provide a biographical sketch for each key person appointed and a 
job description for each vacant key position. A biographical sketch 
will also be required for new key staff as appointed.
    ORR is also interested in the following:
    Describe the organization's plan for administering and managing the 
project. Describe the location of the project in the structure of the 
agency and include position descriptions, qualifications, and names of 
key project staff. Describe plans and qualification for training and 
on-going technical assistance.
2. Third-Party Agreements
    Include written agreements between grantees and subgrantees or 
subcontractors or other cooperating entities. These agreements must 
detail scope of work to be performed, work schedules, remuneration, and 
other terms and conditions that structure or define the relationship.

G. Budget and Budget Justification

    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form, e.g., cash 
assistance, employment and other services, case management, and 
administrative costs by program activity. Detailed calculations must 
include estimation methods, quantities, unit costs, and other similar 
quantitative detail sufficient for the calculation to be duplicated. 
The detailed budget must also include a breakout by the funding sources 
identified in Block 15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    ORR is also interested in the following:
    Provide a client-loading chart and related budget (samples are 
available from ORR.) Use the costs of the current program for the most 
recent 12 month period, including numbers of refugees served and unit 
costs of services, to project your budget. Include the anticipated 
arrival rates of refugees into the community by probable category of 
public assistance for which they would otherwise be eligible. Provide a 
narrative to support the costs included in each category. List and 
describe all anticipated funding sources with projected amounts, i.e., 
ORR, State government, other federal program, and any other resources.

Part III: Application Review Criteria

A. Objectives, Need for Assistance, and Rationale for Proposing the 
Alternative Project

    1. Identification of the problem to be addressed by the project is 
based on a thorough examination and description of: Refugee welfare 
utilization, current coordination of services in the local resettlement 
community; opportunity for early employment for refugees; availability 
of concurrent, culturally and linguistically appropriate employment and 
language services; adequacy of the statistics used to describe the 
problem. Points: (10)
    2. The degree to which the rationale for proposing the 
demonstration project is justifiable and appropriate; probability that 
the project will increase refugee self-sufficiency, reduce or avoid 
welfare dependency among arriving refugees, and increase coordination 
among service providers. Probability that the project will be cost-
effective. Points: (10)

B. Approach/Program Strategy

    The proposed project design is clear, logical and theory based, 
reflecting the state of knowledge and experience in this field. 
Clarity, completeness and reasonableness of the proposed strategy as it 
relates to the target population and the geographic area to be covered; 
anticipated need for interim cash assistance; adequacy of the cash 
assistance policies and administration; reasonableness of policies and 
procedures for appeals and fair hearings; coordination of services and 
assistance; availability of other Federal and State programs; 
consultation with the State Coordinator and voluntary agencies, as 
appropriate. Points: (35)

C. Results, Benefits Expected, and Proposed Outcomes

    The proposed project, if successfully implemented, is capable of 
achieving the stated results. Reasonableness of the outcomes proposed; 
feasibility of the methodology for collecting outcome data and client 
feedback. Points: (15)

D. Organizational Capacity

    Adequacy of the organizational capacity and resources for project 
administration and management; the qualification and expertise of the 
project staff; and the quality of the design and adequacy of the 
proposed program monitoring and reporting system. Points: (15)

E. Project Budget

    Reasonableness and adequacy of the budget in relation to the 
expected

[[Page 25498]]

activities and outcomes. Completeness of the budget and line-item 
budget narrative. Reasonableness of procedures used to estimate the 
budget request. Points: (15)

Part IV: Application Submission

    The Director reserves the right to award more or less than the 
funds described above depending upon the quality of the applications, 
or such other circumstances as may be deemed to be in the best interest 
of the Government. Applicants may be required to reduce the scope of 
selected projects to accommodate the amount of the approved grant 
award.
    Standard Form 424 with instructions for submitting an application 
was published in the Federal Register on December 9, 1997 (62 FR 
64856).
    If an application represents a consortium (that is, the applicant 
includes other types of agencies among its membership), the single 
organization identified as applicant by the Authorized Representative's 
signature on the SF-424, Box 18.d, will be the grant recipient and will 
have primary administrative and fiscal responsibilities. An applicant 
entity must be a public or private nonprofit organization.

General Application Procedures

    All applications which meet the stipulated deadline and other 
requirements will be reviewed competitively and scored by an 
independent review panel of experts in accordance with ACF grants 
policy and the criteria stated above. The results of the independent 
review panel scores and explanatory comments will assist the Director 
of ORR in considering competing applications. Reviewers' scores will 
weigh heavily in funding decisions but will not be the only factors 
considered. Applications generally will be considered in order of the 
average scores assigned by the reviewers. Highly ranked applications 
are not guaranteed funding since other factors are taken into 
consideration, including: Comments of reviewers and of ACF/ORR 
officials; previous program performance of applicants; compliance with 
grant terms under previous DHHS grants; audit reports; and 
investigative reports. Final funding decisions will be made by the 
Director of ORR.

A. Availability of Forms

    Copies of the Federal Register are available on the Internet 
website address: www.access.gpo.gov/nara/index.html#cfr) and at most 
local libraries and Congressional District Offices for reproduction. If 
copies are not available at these sources, they may be obtained by 
sending a written or faxed request to the following office: Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW., Washington, D.C. 
20447, Fax: (202) 401-5487.

B. Forms, Certifications, Assurances, and Disclosure

    1. Applicants for financial assistance under this announcement must 
file the Standard Form (SF) 424, Application for Federal Assistance; 
SF-424A, Budget Information--Non-Construction Programs; SF-424B, 
Assurances--Non-Construction Programs. The forms may be reproduced for 
use in submitting applications. An application with an original 
signature and two copies is required.
    2. Budget and Budget Justification--Provide line item detail and 
detailed calculations for each budget object class identified on the 
Budget Information form. Detailed calculations must include estimation 
methods, quantities, unit costs, and other similar quantitative detail 
sufficient for the calculation to be duplicated. The detailed budget 
must also include a breakout by the funding sources identified in Block 
15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be detailed 
and justified in the budget and narrative justification. According to 
the instructions for completing the SF-424A and the preparation of the 
budget and budget justification, ``Federal resources'' refers only to 
the ACF/ORR grant for which you are applying. Non-Federal resources are 
all other Federal and non-Federal resources. It is suggested that 
budget amounts and computations be presented in a columnar format: 
first column, object class categories; second column, Federal budget; 
next column(s), non-Federal budget(s), and last column, total budget. 
The budget justification should be a narrative.
    Personnel: Costs of employee salaries and wages. Identify the 
project director and for each staff person, provide the title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include the costs of consultants or personnel 
costs of delegate agencies.
    Fringe Benefits: Costs of employee fringe benefits unless treated 
as part of an approved indirect cost rate.
    Provide a breakdown of the amounts and percentages that comprise 
fringe benefit costs such as health insurance, FICA, retirement 
insurance, taxes, etc.
    Travel: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    For each trip, show the total number of traveler(s), travel 
destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF/
ORR-sponsored meetings should be detailed in the budget.
    Equipment: Costs of tangible, non-expendable, personal property, 
having a useful life of more than one year and an acquisition cost of 
$5,000 or more per unit.
    For each type of equipment requested, provide a description of the 
equipment, the cost per unit, the number of units, the total cost, and 
a plan for use on the project.
    Supplies: Costs of all tangible personal property other than that 
included under the Equipment category.
    Specify general categories of supplies and their costs. Show 
computations and provide other information which supports the amount 
requested.
    Contractual: Costs of all contracts for services and goods except 
for those which belong under other categories such as equipment, 
supplies, etc. Contracts with secondary recipient organizations, 
including delegate agencies (if applicable), should be included under 
this category.
    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. If 
procurement competitions were held or if procurement without 
competition is being proposed, attach a list of proposed contractors, 
indicating the names of the organizations, the purposes of the 
contracts, the estimated dollar amounts, and the award selection 
process. Justify any anticipated procurement action that is expected to 
be awarded without competition and to exceed the simplified acquisition 
threshold fixed at 41 USC 403(11). Recipients might be required to make 
available to ACF pre-award review and procurement documents, such as 
requests for proposal or invitations for bids, independent cost 
estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency,

[[Page 25499]]

the applicant must provide a detailed budget and budget narrative 
for each delegate agency, by agency title, along with the required 
supporting information referred to in these instructions.

    Other: Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, professional services costs, space and equipment rentals, 
printing and publication, computer use, training costs, such as tuition 
and stipends, staff development, and administrative costs.
    Provide computations, a narrative description and a justification 
for each cost under this category.
    Indirect Costs: This category should be used only when the 
applicant currently has an indirect cost rate approved by the 
Department of Health and Human Services or another cognizant Federal 
agency.
    An applicant proposing to charge indirect costs to the grant must 
enclose a copy of the current rate agreement. If the applicant 
organization is in the process of initially developing or renegotiating 
a rate, it should immediately upon notification that an award will be 
made, develop a tentative indirect cost rate proposal based on its most 
recently completed fiscal year in accordance with the principles set 
forth in the cognizant agency's guidelines for establishing indirect 
cost rates, and submit it to the cognizant agency. Applicants awaiting 
approval of their indirect cost proposals may also request indirect 
costs. It should be noted that when an indirect cost rate is requested, 
those costs included in the indirect cost pool should not also be 
charged as direct costs to the grant. Also, if the applicant is 
requesting a rate which is less than what is allowed under the 
agreement, the authorized representative of the applicant organization 
must submit a signed acknowledgement that the applicant is accepting a 
lower rate than allowed.
    Program Income: The estimated amount of income, if any, expected to 
be generated from this project. Describe the nature, source and 
anticipated use of program income in the budget or refer to the pages 
in the application which contain this information. Program income 
generated under a Federal grant resulting from this announcement may be 
added to funds committed to the project and used to further program 
objectives. There is no requirement to request prior approval to defer 
use of program income for a later period.
    Non-Federal Resources: Amounts of non-Federal resources that will 
be used to support the project as identified in Block 15 of the SF-424.
    The firm commitment of these resources must be documented and 
submitted with the application in order to be given credit in the 
review process. A detailed budget must be prepared for each funding 
source.
    3. Applicants must provide the following certifications. Copies of 
the forms and assurances are located at the end of this announcement.
    a. Certification regarding lobbying if your anticipated award 
exceeds $100,000.
    b. Certification regarding environmental tobacco smoke. By signing 
and submitting the applications, applicant provides certification that 
they will comply with the requirements of the Pro-Children Act of 1994 
(Pub. L. 103-227, Part C--Environmental Tobacco Smoke) and need not 
mail back the certification with the application.
    c. Certification regarding debarment, suspension, and other 
Ineligibility. By signing and submitting the applications, applicant 
provides certification that they are not presently debarred, suspended 
or otherwise ineligible for this award and therefore need not mail back 
the certification with the application.
    d. Drug-Free Workplace Act of 1988.

C. Deadline

    1. Mailed applications shall be considered as meeting this 
announced deadline if they are sent on or before the deadline date and 
received by ORR in time for the independent review. Applications should 
be mailed to: Office of Refugee Resettlement, Administration for 
Children and Families, Division of Community Resettlement, 370 L'Enfant 
Promenade, SW, Sixth Floor, Washington, DC 20447, Attention: 
Alternative Projects.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark, or a legibly dated, machine produced postmark of a commercial 
mail service appears on the envelope/package containing the 
application(s). An acceptable postmark from a commercial carrier is one 
which includes the carrier's logo/emblem and shows the date the package 
was received by the commercial mail service. Private metered postmarks 
shall not be acceptable as proof of timely mailing.
    Applications hand-carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8:00 a.m. and 4:30 p.m., at the Administration for 
Children and Families, Office of Refugee Resettlement, Aerospace 
Center, 901 D Street, SW, Washington, DC 20024, between Monday and 
Friday (excluding Federal holidays). (Applicants are cautioned that 
express/overnight mail services do not always deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    2. Late applications: Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    3. Extension of deadlines: ACF may extend the deadline for 
applicants affected by acts of God such as floods and hurricanes, or 
when there is widespread disruption of the mails. A determination to 
waive or extend deadline requirements rests with the Chief Grants 
Management Officer.
    4. Once an application has been submitted, it is considered as 
final and no additional materials will be accepted by ACF.

D. Nonprofit Status

    Applicants other than public agencies must provide evidence of 
their nonprofit status with their applications. Either of the following 
is acceptable evidence: (1) A copy of the applicant organization's 
listing in the Internal Revenue Service's most recent list of tax-
exempt organizations described in section 501 (c) (3) of the IRS Code; 
or (2) a copy of the currently valid IRS tax exemption certificate.

E. Intergovernmental Review

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.''
    As of June 15, 1997, the following jurisdictions have elected not 
to participate in the Executive Order process. Applicants from these 
jurisdictions need take no action in regard to E.O. 12372: Alabama, 
Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, American Samoa, and Palau. All remaining 
jurisdictions participate in the E.O. process and have established 
Single Points of Contact (SPOCs).

[[Page 25500]]

    Applicants from participating jurisdictions should contact their 
SPOCs as soon as possible to alert them to the prospective applications 
and receive instructions. Applicants must submit any required material 
to the SPOCs as soon as possible so that ORR can obtain and review SPOC 
comments as part of the award process. The applicant must submit all 
required materials, if any, to the SPOC and indicate the date of this 
submittal (or the date of contact if no submittal is required) on the 
Standard Form 424, item 16a.
    Under 45 CFR 100.8 (a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards. 
SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule. When comments 
are submitted directly to ACF, they should be addressed to: Department 
of Health and Human Services, Administration for Children and Families, 
Office of Refugee Resettlement, Division of Community Resettlement, 6th 
Floor, 370 L'Enfant Promenade, SW., Washington, DC 20447.

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

    All information collections within this Program Announcement are 
approved under the following currently valid OMB control numbers: 424, 
(0348-0043); 424A (0348-0044); 424B (0348-0040); Disclosure of Lobbying 
Activities (0348-0046); Uniform Project Description (0970-0139), 
Expiration date 10/31/2000.
    Public reporting burden for this collection of information is 
estimated to average 150 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed, and 
reviewing the collection of information. An agency may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.

G. Applicable Regulations

    Applicable DHHS regulations can be found in 45 CFR Part 74 or 92.

H. Reporting Requirements

    Grantees are required to file the Financial Status Report (SF-269) 
semi-annually and Program Performance Reports (OMB Approval No. 0970-
0036) on a quarterly basis. Funds issued under these awards must be 
accounted for and reported upon separately from all other grant 
activities.
    Although ORR does not expect the proposed components/projects to 
include evaluation activities, it does expect grantees to maintain 
adequate records to track and report on project outcomes and 
expenditures by budget line item.
    The official receipt point for all reports and correspondence is 
the ORR Division of Community Resettlement. An original and one copy of 
each report shall be submitted within 30 days of the end of each 
reporting period directly to the Project Officer named in the award 
letter. The mailing address is: 370 L'Enfant Promenade SW., Sixth 
Floor, Washington, DC 20447.
    A final Financial and Program Report shall be due 90 days after the 
budget expiration date or termination of grant support.

    Dated: April 30, 1998.
Lavinia Limon,
Director, Office of Refugee Resettlement.
[FR Doc. 98-12301 Filed 5-7-98; 8:45 am]
BILLING CODE 4184-01-P