[Federal Register Volume 66, Number 90 (Wednesday, May 9, 2001)]
[Notices]
[Pages 23705-23715]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-11680]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. CFDA 93.576]


ORR Standing Announcement for Services to Recently Arrived 
Refugees \1\

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

ACTION: Request for Applications for projects to support services for 
recently arrived refugees. This notice supersedes the notice published 
in the Federal Register on December 9, 1997 (62 FR 64856).

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SUMMARY: This ORR standing announcement invites submission of

[[Page 23706]]

grant applications for funding, on a competitive basis, in four 
categories: Category 1--Preferred Communities, to promote the increase 
of newly arrived refugees in preferred communities where they have 
ample opportunities for early employment and sustained economic 
independence; Category 2--Unanticipated Arrivals, to provide services 
to unanticipated arrivals, i.e., refugees who have been resettled in 
unexpected numbers in communities where linguistically or culturally 
appropriate services for these refugees do not exist; Category 3--
Services for Arriving Refugees with Special Conditions or Victims of a 
Severe Form of Trafficking \2\; and Category 4--Ethnic Community Self-
Help to connect newcomer refugees and their communities with community 
resources.
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    \1\ Eligibility for refugee social services is limited to 
persons who meet all requirements of 45 CFR 400.43 (as amended by 65 
FR 1540, March 22, 2000) including: (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, as included in the FY 1988 Continuing Resolution (Pub. L. 100-
202); and (3) certain Amerasians from Vietnam, including U.S. 
citizens, under Title II of the Foreign Operations, Export 
Financing, and Related Programs Appropriations Act of 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.
    \2\ The Victims of Trafficking and Violence Protection Act of 
2000 (P.L. 106-386) was enacted in October 2000. Section 107(b)(1) 
of the Act allows victims, after they have been determined to be 
``victims of a severe form of trafficking'', to become eligible for 
any Federal and state assistance and services funded or administered 
by a Federal agency to the same extent as refugees. HHS, in 
consultation with the Attorney General (AG), is responsible for the 
``certification'' of adult victims before their receipt of benefits. 
To be eligible to receive benefits and services, adults must be 
certified by HHS as (1) willing to assist in every reasonable way in 
the investigation and prosecution of severe forms of trafficking in 
persons; and (2) having made a bona fide application for a visa 
under section 101(a)(15)(T) of the Immigration and Nationality Act 
that has not been denied; or (3) being a person whose continued 
presence in the United States the Attorney General is ensuring in 
order to effectuate prosecution of traffickers in persons. Once 
determined to be victims of a severe form of trafficking, 
individuals under the age of 18 are eligible for services and 
benefits without the ``certification'' requirement.

DATES: This is a Standing Announcement applicable from the date of 
publication until canceled or modified by the Director of ORR. The 
Director will observe June 30, 2001, as the first closing date for all 
categories. Thereafter the Director will observe February 28, of each 
year as the closing date for applications. The Director may invite 
applications outside of the proposed closing dates, if necessary, to 
respond to the needs of an imminently arriving refugee population.
    Announcement Availability: The program announcement and the 
application materials are available from Sue Benjamin and AnnaMary 
Portz, Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade 
SW., Washington, DC 20447 and from the ORR website at www.acf.dhhs.gov/programs/orr.

FOR FURTHER INFORMATION CONTACT: Categories 1, 2 & 3--Sue Benjamin at 
(202) 401-4851, Sbenjamin@commat;ACF.DHHS.GOV and Category 4 Ethnic 
Community Self-Help--AnnaMary Portz 202/401-1196 <a href="/cdn-cgi/l/email-protection#9edfeef1eceae4dedfddd8b0dad6d6cdb0d9d1c8"><span class="__cf_email__" data-cfemail="fabb8a95888e80babbb9bcd4beb2b2a9d4bdb5ac">[email protected]</span></a>

SUPPLEMENTARY INFORMATION: This program announcement consists of four 
parts:

    Part I: Background, legislative authority, funding availability, 
CFDA Number, eligible applicants, project and budget periods, and 
for each of the four categories--program purpose and objectives, 
allowable activities, and review criteria.
    Part II: The Review Process--intergovernmental review, initial 
ACF screening, and competitive review.
    Part III: The Application--application forms, application 
submission and deadlines, certifications, general instructions for 
preparing a full project description, and length of application.
    Part IV: Post-award--applicable regulations, treatment of 
program income, and reporting requirements.

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

    Public reporting burden for this collection of information is 
estimated to average 16 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed, and 
reviewing the collection of information. The following information 
collections are included in the program announcement for categories 1-
4: OMB Approval No. 0970-0139, ACF UNIFORM PROJECT DESCRIPTION (UPD) 
attached as Appendix A, which expires 12/30/03 and OMB Approval No. 
0970-0036, ORR Quarterly Performance Report (QPR) and Schedule C which 
expire 7/31/02. 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.

Part I: Background

    Since 1994, ORR has provided assistance for social services to meet 
the needs of newly arriving refugees through a standing announcement. 
This revision makes slight modifications to Category 1--Preferred 
Communities, Category 2--Unanticipated Arrivals, and Category 6--Ethnic 
Community Organizations grant programs (now Category 4), from the prior 
Standing Grant Announcement published in the Federal Register on 
December 9, 1997 (62 FR 64856). This revised Announcement establishes a 
new Category 3--Services for Arriving Refugees with Special Conditions 
or Victims of a Severe Form of Trafficking, which responds to the 
specific needs of arriving refugee populations and victims of 
trafficking.
    Note that former Category 3--Orientation, former Category 4--
Technical Assistance to Orientation Grantees, and Category 5--Mental 
Health from the 1997 announcement have been discontinued. The notice of 
cancellation for these categories was published in the Federal Register 
on April 18, 2000 (65 FR 20826). Orientation and Mental Health have 
been incorporated into ORR's periodic discretionary announcements.
    This announcement supersedes ORR's previous Standing Announcement 
published in the Federal Register, December 9, 1997 (62 FR 64856).

Legislative Authority

    This program is authorized by section 412(c)(1)(A) of the 
Immigration and Nationality Act (INA) (8 U.S.C. 1522(b)(5)), as 
amended, which 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.''

Funding Availability

    In FY 2001, ORR expects to award a total of $7.2 million in 
discretionary social service funds through approximately 7 projects 
under Category 1--Preferred Communities ranging from $125,000 to 
$400,000 for a total of $1,200,000; 3 to 5 projects under Category 2--
Unanticipated Arrivals ranging from $100,000 to $200,000 for a total of 
$500,000; 10 to15 projects under Category 3--Services for Arriving 
Refugees with Special Conditions or Victims of a Severe Form of 
Trafficking ranging from $50,000 to $200,000 for a total of $3,000,000; 
and 3 to 6 projects under Category 4--Ethnic Community Self-Help 
ranging from $100,000 to $300,000 for a total of $500,000.
    The Director reserves the right to award less, or more than the 
funds described in this announcement. In the

[[Page 23707]]

absence of worthy applications, the Director may decide not to make an 
award if deemed in the best interest of the government. Funding 
availability for future years is at the Director's discretion.
    CFDA Number--93.576.

Eligible Applicants

    In Category 1, eligible applicants are agencies that currently 
resettle refugees under a Reception and Placement Cooperative Agreement 
with the Department of State or with the Department of Justice. This 
announcement is restricted to these agencies because placements of new 
arrivals occur under the terms of the cooperative agreements, and no 
other agencies place new arrivals or participate in determining their 
resettlement sites.
    In Categories 2, 3, and 4 public and private nonprofit 
organizations are eligible to apply. ORR expects that applicants in 
these Categories will coordinate with other local organizations in 
considering projects and proposing services.
    Any private nonprofit organization submitting an application must 
submit proof of its nonprofit status at the time of submission. A 
nonprofit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in section 501(c)(3) of the 
IRS code or by providing a copy of the currently valid IRS tax 
exemption certificate.
    An applicant may submit more than one application under this 
announcement, but must apply separately for each category. Further in 
applying for Category 3, applicants are encouraged to submit separate 
applications for each specific population proposed.

Project and Budget Periods

    Under this announcement, ORR invites applications in Category 1 for 
project periods of up to three years. Awards, on a competitive basis, 
will be for a one-year budget period although project periods may be up 
to three years. Applications for continuation grants funded under these 
awards, beyond the one-year budget period but within the three-year 
project period, will be entertained in subsequent years on a 
noncompetitive basis, subject to availability of funds, satisfactory 
progress of the grantee and a determination that continued funding 
would be in the best interest of the Government.
    ORR invites applications under Category 2 for a single 17-month 
budget period. Applicants should view these resources as a temporary 
solution to an immediate need created by unanticipated arrivals.
    ORR invites applications under Category 3 for a single 17-month 
budget period. Applicants should view these resources as a temporary 
solution to the immediate needs of arriving refugees with special 
conditions or of victims of trafficking.
    ORR invites applications under Category 4 for project periods of up 
to three years. Awards, on a competitive basis, will be for one-year 
budget periods. Applications for continuation grants, to extend 
activities beyond the one-year budget period, will be entertained on a 
noncompetitive basis, subject to availability of funds, satisfactory 
progress of the grantee and a determination that continued funding 
would be in the best interest of the Government.

Category 1--Preferred Communities for Newly Arriving Refugees

Purpose and Objectives
    The objective of Category 1, Preferred Communities, is to support 
resettlement of newly arriving refugees with the best opportunities for 
their assimilation into new communities.
    Preferred community sites are those localities where refugees have 
excellent opportunities to achieve early employment and sustained 
economic independence without public assistance. Preferred communities 
should have a history of low welfare utilization by refugees. In 
addition, refugees should have the potential for earned income at a 
favorable level relative to the cost of living and to public assistance 
benefits in such communities. Characteristics of these communities 
should include: (1) a moderate cost of living; (2) good employment 
opportunities in a strong, entry-level labor market; (3) appropriate 
housing and transportation accessible for employment; (4) low secondary 
out-migration rates for refugees; (5) appropriate religious 
communities; (6) local community support; (7) receptive school 
environments; and (8) other related community features that contribute 
to a favorable quality of life for arriving refugees.
    A preferred community should expect to receive a minimum of 100 new 
refugees annually. ORR will consider exceptions to this standard where 
the applicant provides substantial justification for the request and 
documents the community's history of arrivals, the period of time 
needed to reach a level of 100 new refugees, and the record of outcomes 
for achieving self-sufficiency soon after arrival.
    Communities should be selected where there have not been large 
numbers of recent arrivals, but the prospects for resettlement appear 
to be favorable for additional refugees. With these funds, successful 
applicants will consider which services need to be enhanced or 
increased in light of increased numbers to maintain each proposed 
community as a preferred resettlement site. The selected sites may be 
those with a history of successful refugee placement or those where 
refugees have not previously been placed, but which have all the 
elements of a successful refugee resettlement community.
    ORR is interested in providing resources for national voluntary 
agencies to cover the costs of changing community placements so that 
refugees are placed where they have the best chance for integration. As 
a result, communities designated as ``preferred'' may experience an 
increase in refugees.
    ORR formula social service funds are awarded to States to provide 
services proportionate to the number of refugee arrivals during the 
previous three years. It can take a year after refugees have arrived 
before they are included in the count. Planning for the application and 
implementation of Preferred Community Programs should be done in 
concert with the State Refugee Coordinator to assure an orderly 
transition and complement of services until the proportion of new 
arrivals is accounted for in the ORR formula. Applicants should view 
the Preferred Community Program as a temporary solution to cover the 
costs of increased refugee placements. Applicants should describe their 
coordination and planning under the Approach review criteria.
    If funding is requested in sites with alternative ``Fish/Wilson'' 
projects, applicants must demonstrate a strong rationale as to why 
additional funds are needed in this community.
    Applicants may wish to consider the following ``arrival'' 
categories of refugees for preferred community sites:
    Free cases: Those refugees who are determined in the allocation 
process to be ``free cases,'' that is, unrelated or without family ties 
to persons already living in the communities.
    New refugee populations: Refugees who resettle in areas in the 
United States that have no or few existing ethnic communities with 
similar refugees from their country.
    Other refugees: The applicant may identify refugees in the 
reception process who would accept the

[[Page 23708]]

opportunity for resettlement in a preferred community: e.g., refugees 
who would otherwise be resettled under the rubric of ``family 
reunification,'' but who in fact are distant relatives and friends. 
These refugees may elect placement in a preferred community where there 
are opportunities described above.
    The application must, for the first budget year, specify one or 
more sites with a description of each site and the rationale for its 
selection. Applicants are encouraged to include activities that assess 
and plan services for the target populations to be resettled in the 
communities. Such activities would also assess each specified 
community's appropriateness for other arriving refugees and, if needed, 
continue to search for additional communities for future preferred 
placement. Additional sites may be added by submitting the revised plan 
and the site descriptions in the continuation application.
    As part of the application preparation, it will be incumbent upon 
the applicant to: (1) Consult with ORR about prospective preferred 
sites and the appropriateness of those sites for the refugees; (2) 
coordinate with their affiliates and other voluntary agencies whose 
local affiliates place refugees in the same sites; (3) inform and 
coordinate with State governments for site selection, adequate 
services, and program strategies to be developed; and (4) plan and 
coordinate locally with community resources, such as schools and public 
health agencies. In all instances, activities must be designed to 
supplement, rather than to supplant, the existing array of refugee 
services available in the community.
Allowable Activities
    Allowable activities for local affiliates include social services 
needed to achieve increased placements in the preferred communities. 
Allowable activities for the national voluntary agencies are those that 
assess the appropriateness of resettlement communities for targeted 
refugees. The result of the assessment should assure that the 
designated preferred communities provide services that create excellent 
opportunities to assimilate the targeted refugee groups.
    Applications under this section should indicate how the grantee 
will ensure that services are appropriate and accessible in language 
and culture.
Review Criteria
    1. Objectives and Need for Assistance--The conditions in proposed 
resettlement communities are clearly described. The need for additional 
services leading to enhanced resettlement for arriving populations is 
documented. The applicant provides a national placement plan that 
documents understanding of the arriving refugee groups and their 
characteristics as well as local opportunities for their resettlement. 
(25 points)
    2. Results or Benefits Expected--The applicant clearly describes 
the results and benefits to be achieved. The applicant proposes an 
increase in the actual number of free cases placed in the specified 
community. Results or benefits are described also in terms of the 
opportunities provided for refugees. Proposed outcomes are measurable 
and achievable within the grant project period, and the proposed 
monitoring and information collection is adequately planned. (25 
points)
    3. Approach--The strategy and plan, including a description of each 
proposed preferred community and an assessment of appropriateness for 
placement, are likely to achieve increased placement in preferred 
communities and excellent opportunities for assimilation. The proposed 
activities and timeframes are reasonable and feasible. The plan 
describes in detail how the proposed activities will be accomplished as 
well as the potential for the project to achieve economic independence 
for arriving refugees. The application includes a clear and 
comprehensive description of the preferred sites proposed. The 
application includes a clear and comprehensive description of the 
national voluntary agency placement planning activities and how they 
will be impacted by this project. Assurance is provided that proposed 
services will be delivered in a manner that is linguistically and 
culturally appropriate to the target population. (25 points)
    4. Organizational Profiles--The administrative and management 
features of the project, including a plan for fiscal and programmatic 
management of each activity and planning activities, is described in 
detail with proposed start-up times, ongoing timelines, major 
milestones or benchmarks, a component/project organization chart, 
management of affiliates, and a staffing chart of affiliate network. 
The qualifications of project staff, both national applicant and 
affiliate agencies, as well as any volunteers, are documented. The 
applicant has provided a copy of its most recent audit report. (10 
points)
    5. Budget and Budget Justification--The budget and narrative 
justification are reasonable, clearly presented, and cost-effective in 
relation to the proposed activities and anticipated results. The 
applicant clearly indicates how awarded funds will complement Reception 
and Placement and other social services to achieve the objectives. (15 
points)

Category 2--Unanticipated Arrivals

Purpose and Objectives
    The purpose ORR seeks to achieve through Category 2, Unanticipated 
Arrivals, is to provide additional resources to communities where the 
arrival of refugees is not anticipated and the refugee services are 
insufficient. Under these circumstances, resources are needed to 
provide additional service capacity to accommodate the additional 
refugees. Through Category 2--Unanticipated Arrivals--ORR intends to 
offer to communities the resources to respond to the unanticipated 
arrivals with adequate and culturally and linguistically appropriate 
social services.
    Under Category 2, ORR invites applications that propose seventeen-
month projects for a minimum of 100 refugees annually. Examples of 
situations for which applicants may request funds for grants under 
Category 2 are as follows: (1) the existing service system does not 
have culturally and linguistically compatible staff; (2) refugee 
services do not presently exist; or (3) the service capacity is not 
sufficient to accommodate significant increases in arrivals.
    This grant program is intended to provide for services that respond 
to the needs of new refugee populations shortly after arrival into the 
community. Grantees should view these resources, therefore, as a 
temporary solution to insufficient services necessitating program 
adjustment because of the unanticipated arrival of a refugee population 
in a specific community. Therefore, planning for the application and 
implementation of the program must be done in concert with the State 
Refugee Coordinator to assure an orderly transition and complement of 
services. ORR's expectation by the end of the grant project period is 
that the State government will have incorporated services for these new 
populations into its refugee services network funded by ORR formula 
social service dollars. The transition of the services should be 
described in the last two quarterly performance reports.
Allowable Activities
    Allowable activities in the unanticipated arrivals program are 
social services for refugees that are appropriate and accessible in 
language and culture. Services provided by all

[[Page 23709]]

grantees, whether private or public, must comply with the regulations 
at 45 CFR sections 400.147, 400.150(a), and 400.154-156 regarding 
priorities for services, eligibility for services, scope of services, 
and service requirements.
    Applications under this section should indicate how the grantee 
will ensure that services are appropriate and accessible in language 
and culture.
Review Criteria
    1. Objectives and Need--The application establishes that the 
unanticipated number of at least 100 refugees or more is significant 
relative to the resident population. The applicant documents the most 
recent 12-month period of refugee arrivals, both anticipated and 
unanticipated. The application includes a description of the need for 
services and how funding through the Unanticipated Arrivals program 
would meet those needs. The application, supported by a letter from the 
relevant voluntary agency headquarters, documents the planned 
projections of refugees for the next 12 months. (25 points)
    2. Results or Benefits Expected--The application clearly describes 
the project goals; appropriateness of the performance measures to the 
project activities; appropriateness of the performance outcomes and the 
results and benefits to be achieved. The application describes how the 
impact of the funds will be measured on key indicators associated with 
the purpose of the project. Proposed outcomes are measurable and 
achievable within the grant project period, and the proposed monitoring 
and information collection is adequately planned. (20 points)
    3. Approach--The strategy and plan are likely to achieve the 
proposed results; the proposed activities and timeframes are reasonable 
and feasible. The plan describes in detail how the proposed activities 
will be accomplished as well as the potential for the project to 
increase the available services for unanticipated arriving refugees. 
Assurance is provided that proposed services will be delivered in a 
manner that is linguistically and culturally appropriate to the target 
population. Where coalition partners are proposed, the applicant has 
described each partner agency's respective role and financial 
responsibilities, and how the coalition will enhance the accomplishment 
of the project goals. The applicant has described the planning 
consultation efforts undertaken. The State Refugee Coordinator 
indicated an interest in continuing these services to the Unanticipated 
Arrivals through their State formula social service funds. (20 points)
    4. Organizational Profiles--Individual organization staff, 
including volunteers, are well qualified. The administrative and 
management features of the project, including a plan for fiscal and 
programmatic management of each activity, is described in detail with 
proposed start-up times, ongoing timelines, major milestones or 
benchmarks, a component/project organization chart, and a staffing 
chart. The applicant has provided a copy of its most recent audit 
report. Evidence of commitment of any coalition partners in 
implementing the activities is demonstrated, e.g., by Memorandum of 
Understandings (MOUs) among participants. (20 points)
    5. Budget and Budget Justification--The budget and narrative 
justification are reasonable, clearly presented, and cost-effective in 
relation to the proposed activities and anticipated results. (15 
points)

Category 3--Services for Arriving Refugees With Special Conditions or 
Victims of Trafficking

Purpose and Objectives
    The purpose ORR seeks to fulfill through Category 3, Services for 
Arriving Refugees with Special Conditions or Victims of a Severe Form 
of Trafficking, is to provide resources that will address the needs of 
targeted groups of refugees or victims of trafficking. We believe that 
enhanced case management, education, culturally and linguistically 
appropriate linkages and coordination with other services providers 
contributes to the overall improved well being of refugees with special 
needs. Trafficking victims need similar services and initial assistance 
accessing the refugee and or mainstream services for which they are 
eligible. The services funded through Category 3 should enhance the 
likelihood of refugees assimilating into their new communities or 
trafficking victims receiving needed support as they work with the 
criminal justice system to assist in the investigation and prosecution 
of trafficking crimes.
    A community should expect to receive a minimum of 20 refugees with 
special conditions or be the likely home of a minimum of 10 victims of 
trafficking each year. Situations for which applicants may compete for 
grants under Category 3 might include refugees arriving with: (1) 
Medical conditions requiring specialized health care; (2) youth and 
young adults who have undergone significant trauma or spent an 
unusually long period under refugee camp conditions, e.g., the Kakuma 
youth; (3) refugees disabled by the atrocities of warfare, such as 
those from Sierra Leone; and (4) grave social or emotional conditions 
including emotional trauma resulting from war, torture, or coercion 
into sex trafficking, involuntary servitude, or debt bondage. 
Communities proposing to serve victims of trafficking will encounter 
similar service needs although victims are mostly women and teen-age 
children who may more closely resemble victims of domestic violence and 
sexual abuse.
    This grant program is intended to support services that address 
special conditions. ORR's expectation is that refugees with special 
conditions or victims of trafficking will most likely, after a period 
of time, access mainstream services. Therefore, grantees should view 
these resources as a temporary solution.
    In the last two Program Performance Reports, grantees will discuss 
the transition of services indicating whether the services are now 
supported by the State, other public or private resources, or are no 
longer needed. These reports must provide supporting information on the 
impact of the services provided on the target population.
Allowable Activities
    ORR will accept applications under this announcement for projects 
that propose services appropriate to refugees with special conditions 
or victims of trafficking eligible for benefits and services. Separate 
applications should be submitted for each special condition and for 
victims of trafficking.
    The services needed for refugees with special conditions might 
include:
    <bullet> special medical care;
    <bullet> prostheses and related physical therapies for disabled 
refugees;
    <bullet> assistance with transportation;
    <bullet> temporary housing for young adults with limited experience 
living in families;
    <bullet> independent living skills, both U.S. legal standards and 
social customs, including social skills for the unaccompanied youth;
    <bullet> mental health services, such as coping with the traumatic 
experiences of war; and
    <bullet> access to appropriate educational programs and educational 
advancement.
    The services needed for victims of trafficking might include:
    <bullet> case management, to include information and referral to 
needed services in the community, either funded refugee services or 
mainstream services as appropriate;
    <bullet> temporary housing;
    <bullet> special mental health services, such as trauma counseling, 
and

[[Page 23710]]

    <bullet> other services needed to bridge the time between the date 
of the Department's letter of certification establishing eligibility 
and the receipt of public benefits and support services (e.g., 
orientation).
    Applications under this section should indicate how the grantee 
will ensure that services are appropriate and accessible in language 
and culture.
Review Criteria
    1. Objectives and Need--The applicant demonstrates a clear 
understanding of the population to be served. If refugees, then a 
letter from the national voluntary agency that documents the number of 
refugees with special conditions and the services needed. The number of 
refugees or victims of trafficking projected to be served (minimum of 
10 each) is reasonable in light of the resettlement capacity. The 
application proposes to address the special condition of one refugee 
population or a program of services for victims of trafficking. (25 
points)
    2. Results or Benefits Expected--The application clearly describes 
how the specific target population will benefit from proposed services, 
e.g., enhanced case management, special medical care, referrals and 
follow-up with culturally and linguistically appropriate mainstream 
providers. The application describes how the impact of the funds will 
be measured on key indicators associated with the purpose of the 
project. Proposed outcomes are tangible and achievable within the grant 
project period and the proposed monitoring and information collection 
are adequately planned. (25 points)
    3. Approach--The strategy and plan is likely to achieve the 
proposed results; the proposed activities and timeframes are reasonable 
and feasible. The plan describes in detail how the proposed activities 
will be accomplished as well as the coordination with other services. 
Assurance is provided that proposed services will be delivered in a 
manner that is linguistically and culturally appropriate to the target 
population. Where coalition partners are proposed, the applicant 
describes each partner agency's respective role and financial 
responsibilities; and describes how the coalition will enhance the 
accomplishment of the project goals. The applicant has described the 
planning consultation efforts undertaken. Evidence of commitment of 
coalition partners in implementing the activities is demonstrated, 
i.e., by Memorandum of Understandings (MOUs) among participants. (25 
points)
    4. Organizational Profiles--Individual organization staff including 
volunteers are well qualified. The administrative and management 
features of the project, including a plan for fiscal and programmatic 
management of each activity, are described in detail with proposed 
start-up times, ongoing timelines, major milestones or benchmarks, a 
component/project organization chart, and a staffing chart. The 
applicant has provided a copy of its most recent audit report. (15 
points)
    5. Budget and Budget Justification--The budget and narrative 
justification are reasonable, clearly presented, and cost-effective in 
relation to the proposed activities and anticipated results. Planning 
for continuation of services beyond the project period is realistic. 
(10 points)

Category 4--Ethnic Community Self-Help

Purpose and Objectives
    This program is to provide assistance to organized ethnic 
communities comprised of and representative of newly arrived refugee 
populations. ORR's intended purpose is to build bridges among newcomer 
refugee communities and community resources. ORR is interested in 
applications from a national, regional (multi-state), or local level 
that address community building, cultural adjustment orientation, and 
mutually supportive functions such as information exchange, civic 
participation, and resource enhancement.
    Respondents to this program category will be of two general types:
    (1) Multi-site or national ethnic organizations which propose to 
develop or strengthen local ethnic groups and/or a national network of 
ethnic community entities for purposes of linking refugees to community 
resources; or,
    (2) Emerging local ethnic communities which seek to function as 
bridges between newly arrived refugees and mainstream local resources 
and organizations.
    A community is self-sufficient when it has the capacity to generate 
and control its own resources, determine its own goals, set priorities, 
plan and mobilize community members, including the elderly, women and 
youth, to work together to achieve these goals, and to create 
collaborations with others from within and outside the community to 
further these goals.
    ORR recognizes that one key to strengthening communities is the 
development of strong community based organizations (CBOs). A strong 
ethnic organization can tap into the community's desire for self-help, 
improve services, support leaders, attract various resources, explore 
housing and economic opportunities, collaborate with mainstream 
agencies and groups, and at the same time, remain accountable to the 
community.
    Strong CBOs can also facilitate positive interaction between 
refugees and established residents in mainstream communities. The 
ability to organize and to voice their concerns collectively gives 
refugees a better sense of identity and hope for their own and their 
community's future. Refugee self-help groups can be important building 
blocks for effective resettlement and can function as bridges between 
the refugee community and local resources.
    Many refugees who arrived in this country during the past century 
organized themselves around self-help in order to assist their own 
members, to foster long term community growth, to preserve their 
cultural heritage, and to assist community members in securing 
employment and other social services. Many newly arrived refugees, who 
have come to the United States in recent years, have not yet organized; 
consequently, they may be experiencing barriers to accessing mainstream 
resources and full participation in the economic, social, and civic 
activities of the larger community. They are distinguished in part by a 
lack of information about the process of community organizing for self-
help.
    ORR has found that effective refugee self-help groups result in:
    <bullet> A shared, dynamic vision of the community's future which 
inspires members to work together to secure that future;
    <bullet> A perception of refugees not as needy recipients but as 
active partners in their integration into their communities;
    <bullet> A link between individual self-sufficiency and community 
self-reliance;
    <bullet> Local communities which apply their own cultural, civic 
and socio-economic values to long term strategies and programs;
    <bullet> A role for refugees as decision-makers on community needs, 
program responses, and service delivery systems;
    <bullet> Local resources (generated through service delivery or 
economic development) that stay within the community;
    <bullet> Collaboration among refugee and mainstream service 
providers, policy makers, and public and private institutions.
    In recognition of the special vulnerability of newly arrived 
populations, ORR intends to provide

[[Page 23711]]

support to refugee ethnic communities who have achieved significant 
populations in the United States within the last three years. Target 
populations will range from a minimum of 1000 to a maximum of 50,000 
arrivals to the United States of a single nationality or ethnicity by 
FY 1999 \3\ (the most recent year for which ORR has documentation at 
the time of this publication), and must have experienced significant 
new arrivals since that time.
---------------------------------------------------------------------------

    \3\ ORR has dedicated earlier resources toward ethnic 
populations experiencing 50,000 or more arrivals through 1999.
---------------------------------------------------------------------------

    According to ORR's data, this includes the following refugee 
nationalities or ethnicities: Afghans, Kosovar-Albanians, Bosnians, 
Burmese, Ethiopians, Haitians, Irani, Iraqi, Liberians, Nigerians, 
Sierra Leoneans, Somali, Sudanese, and any from the former Yugoslavia. 
Awards will not be based solely on population numbers, but will be 
based on the applicant's justification and documentation, including 
such factors as community service needs and available resources.
    ORR expects applicants to match federal funds and to consider how 
they might document proposed receipt of funds from other (non-ORR) 
sources toward cost sharing of the project.\4\ The requirement will be 
not less than 10% of the requested funding for the first year award, 
15% for the second year award, and 25% for the third year award.
---------------------------------------------------------------------------

    \4\ ``Cost-sharing'' is used here to refer to any situation in 
which the grantee shares in the costs of a project. The term 
``recipient contributions'' refers to costs borne by the grantee, 
either through cash outlay or the provision of services. ``In-kind 
contributions'' means the value of goods and/or services donated by 
third parties. Grantees are not considered as providing in-kind 
contributions. The cost-sharing or in-kind contribution costs are 
subject to the rules governing allowability in 45 CFR 74.23 or 
92.24, including allowability under the applicable cost principles 
and conformance with other terms and conditions of the award that 
govern the expenditure of Federal funds.
---------------------------------------------------------------------------

Allowable Activities
    Successful national organization applicants to this notice may 
propose activities that may include, but are not limited to, the 
following:
    <bullet> Organizing for self-help and civic participation;
    <bullet> Inspiring self-determination;
    <bullet> Linking technical assistance and resources to local ethnic 
communities;
    <bullet> Supporting public education and agency linkage through an 
Internet site;
    <bullet> Facilitating information dissemination on ethnic-specific 
issues; or
    <bullet> Convening of national or regional meetings.
    Successful local ethnic self-help applicants to this notice may 
propose any of the following activities:
    <bullet> Public education activities designed to inform the refugee 
community about issues essential to functioning effectively in the new 
society;
    <bullet> Orientation and assistance to parents in connecting with 
school systems and other local public or private institutions;
    <bullet> Dissemination of information on access to community health 
and mental health services, including health care for the uninsured, 
health insurance, health maintenance organizations, the importance of 
preventive health, required immunizations, and available universal 
coverage;
    <bullet> Pairing refugee individuals or families with community 
volunteers;
    <bullet> Information and training on the roles of men and women in 
the U.S. culture; such as:

Information on laws regarding child welfare, child abuse and neglect;
Information on sexual harassment and coercion, and domestic violence;
Bilingual staff assistance for women's shelters, and
Techniques for self-protection;

    <bullet> Activities designed to improve relations between refugees 
and the law enforcement communities;
    <bullet> Community training for such activities as civic 
organizing, resource strategies, and non-profit management.
    The above are examples of services. Applicants may propose other 
relevant services and may request funds to cover core or general 
operating expenses. In all instances, however, activities must be 
designed to supplement, rather than to supplant, the existing array of 
refugee services available in the community.
    Applicants must give assurance that their governing bodies, boards 
of directors, or advisory bodies are knowledgeable and responsive to 
refugee concerns. This can be demonstrated through majority refugee 
representation on these bodies or through some other way. Women should 
be included on these representative bodies, as well.
    Planning and coalition-building should be guided by the overarching 
goal of improving the economic condition of refugee families and of 
giving them the information needed to achieve social and civic 
integration into their new country and their new communities.
Non-Allowable Activities
    Funds will not be awarded to applicants for the purpose of engaging 
in activities of a distinctly political nature, activities designed 
exclusively to promote the preservation of a specific cultural 
heritage, or activities with an international objective (i.e., 
activities related to events in the refugees' country of origin).
Review Criteria
    1. Objectives and Need for Assistance--The applicant clearly 
describes the need for ethnic organizing in the community proposed and 
documents an understanding of the distinguishing characteristics of the 
relevant ethnic group. The principal and subordinate objectives are 
clearly stated; supporting documentation, such as letters of support 
from concerned interests are included. The applicant describes in 
detail how the ethnic community has been involved in the project 
planning, how project participants are identified, and provides 
evidence of their support for the plan of action. Planning studies 
incorporating demographic data and participant information are 
referenced or included as needed. (15 points)
    2. Results or Benefits Expected--The applicant describes outcomes 
which are likely to be reached through community organizing. Two or 
more key indicators associated with ethnic community self-help are 
provided as measures of the impact of the proposed project. Proposed 
outcomes are measurable and achievable within the grant project period, 
and the proposed monitoring, information collection, and documentation 
are adequately planned. (20 points)
    3. Approach--The Strategy and plan is likely to achieve the 
proposed results; the proposed activities and timeframes are reasonable 
and feasible. The reason for taking the proposed approach to community 
organizing is adequately described. Proposed activities are likely to 
lead to desired outcomes, and the project is likely to lead to 
increased ethnic community self-help. (25 points)
    4. Organizational Profiles--Individual organization staff, 
including volunteers, proposed partners and consultants, if any, are 
well qualified. The administrative and management features of the 
project, including a plan for fiscal and programmatic management of 
each activity, is described in detail with proposed start-up times, 
ongoing timeliness, major milestones or benchmarks, a component/project 
organization chart, and a staffing chart. The applicant has provided a 
copy of its most recent audit report or fiscal management plan. If 
appropriate, written agreements between grantees and sub-grantees or 
other cooperating entities, detailing work to be performed,

[[Page 23712]]

remuneration, and other terms and conditions that structure or define 
the relationship to this project, are provided. (25 points)
    5. Budget and Budget Justification--The budget and narrative 
justification are reasonable, clearly presented, and cost-effective in 
relation to the proposed activities and anticipated results. The cost-
sharing plan is likely to be achieved and is appropriate to the overall 
funding request, and the level of activity--national or local. (15 
points)

Part II: The Review Process

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.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.

    Note: All States and Territories except Alabama, Alaska, 
Arizona, Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, 
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 
New York, Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, 
Tennessee, Vermont, Virginia, Washington, Wyoming, American Samoa 
and Palau have elected to participate in the Executive Order process 
and have established Single Points of Contact (SPOCs). Applicants 
from these twenty-eight jurisdictions need take no action regarding 
Executive Order 12372. Applicants for projects to be administered by 
Federally-recognized Indian Tribes are also exempt from the 
requirements of Executive Order 12372. Otherwise, applicants should 
contact their SPOCs as soon as possible to alert them of the 
prospective applications and receive any necessary instructions. 
Applicants must submit any required material to the SPOCs as soon as 
possible so that the program office can obtain and review SPOC 
comments as part of the award process. It is imperative that the 
applicant submit all required materials, if any, to the SPOC and 
indicate the date of this submittal (or indicate ``not applicable'' 
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: ORR Grants Officer, U.S. Department of Health and Human 
Services, Administration for Children and Families, Office of Refugee 
Resettlement, 370 L'Enfant Promenade SW., 6th floor, Washington DC, 
20447.
    A list of the Single Points of Contact for each participating State 
and Territory can be found on the web at: http://www.whitehouse.gov/omb/index.html.

    Note: Please note that as States and Territories elect not to 
participate in Executive Order 12372, notification is given to OMB 
and changes are made in the listing. It would be beneficial to call 
a policy specialist in the Division of Financial and Grants Policy 
to obtain the most current information before submitting a program 
announcement through the clearance process).

    Also Note: A program announcement may provide a longer comment 
period than 60 days, but a shorter comment period is not permitted 
unless a waiver has been granted by the Director, Division of Grants 
Policy and Oversight, ASMB before final publication.
Initial ACF Screening
    Each application submitted under this program announcement will 
undergo a pre-review to determine that (1) the application was received 
by the closing date and submitted in accordance with the instructions 
in this announcement and (2) the applicant is eligible for funding.
Competitive Review and Evaluation Criteria
    Applications which pass the initial ACF screening will be evaluated 
and rated by an independent review panel on the basis of evaluation 
criteria specified in Part I. The evaluation criteria were designed to 
assess the quality of a proposed project, and to determine the 
likelihood of its success. The evaluation criteria are closely related 
and are considered as a whole in judging the overall quality of an 
application. Points are awarded only to applications which are 
responsive to the evaluation criteria within the context of this 
program announcement.
    Applications received for each Category will be scored and ranked 
only within the Category designated on the SF 424, e.g. in one of the 
four program areas.

Part III: The Application

    In order to be considered for a grant under this program 
announcement, an application must be submitted on the forms supplied 
and in the manner prescribed by ACF. Selected elements of the ACF 
Uniform Project Description (UPD) relevant to this program announcement 
are attached as Appendix A.

Application Forms

    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. Application materials including forms 
and instructions are also available from the Contact named in the 
preamble of this announcement.

Application Submission And Deadlines

    An application with an original signature and two clearly 
identified copies is required. Applicants must clearly indicate on the 
SF 424 the Category under which the application is submitted.
    The closing date for submission of applications is June 30, 2001. 
Thereafter the Director will observe February 28, of each year as the 
closing date for applications. Mailed applications postmarked after the 
closing date will be classified as late.
    Mailed applications shall be considered as meeting an announced 
deadline if they are either received on or before the deadline date or 
sent on or before the deadline date and received by ACF in time for the 
independent review to: U.S. Department of Health and Human Services, 
Administration for Children and Families, Office of Refugee 
Resettlement, Attention: Grants Officer, 370 L'Enfant Promenade SW, 6th 
Floor, Washington, DC 20447.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark or a legibly dated, machine produced postmark of a commercial 
mail service is affixed to the envelope/package containing the 
application(s). To be acceptable as proof of timely mailing, a postmark 
from a commercial mail service must include the logo/emblem of the 
commercial mail service company and must reflect the date the package 
was received by the commercial mail service company from the applicant. 
Private Metered postmarks shall not be acceptable as proof of timely 
mailing. (Applicants are cautioned that express/overnight mail services 
do not always deliver as agreed.)
    Applications hand-carried by applicants, applicant couriers, or by 
other representatives of the applicant shall be considered as meeting 
an announced deadline if they are received on or before the deadline 
date, between

[[Page 23713]]

the hours of 8 a.m. and 4:30 p.m., EST, at the U.S. Department of 
Health and Human Services, Administration for Children and Families, 
the Office of Refugee Resettlement, 6th Floor, Aerospace Building, 901 
D Street, SW, Washington, DC 20447 between Monday and Friday (excluding 
Federal holidays). The address must appear on the envelope/package 
containing the application with the note ``Attention: Grants Officer.'' 
(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.
    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.
    Extension of deadlines: ACF may extend application deadlines when 
circumstances such as acts of God (floods, hurricanes, etc.) occur, or 
when there are widespread disruptions of mail service. Determinations 
to extend or waive deadline requirements rest with the Chief Grants 
Management Officer.
    For Further Information on Application Deadlines Contact: ORR 
Grants Officer, Administration for Children and Families, Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW, 6th Floor, Washington, 
DC 20447, Telephone: (202) 401-4577.

Certifications, Assurances, And Disclosure Required For Non 
Construction Programs

    Applicants requesting financial assistance for non-construction 
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard 
Form 424B with their applications.
    Applicants must provide a signed certification regarding lobbying 
with their applications, when applying for an award in excess of 
$100,000. Applicants who have used non-Federal funds for lobbying 
activities in connection with receiving assistance under this 
announcement shall complete a disclosure form to report lobbying.
    Applicants must make the appropriate certification of their 
compliance with the Drug Free Workplace Act of 1988. By signing and 
submitting the application, the applicant is providing the 
certification and need not mail back the certification with the 
applications.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for an award. 
By signing and submitting the application, the applicant is providing 
the certification and need not mail back the certification with the 
applications.

General Instructions for Preparing a Full Project Description

    The project description provides a major means by which an 
application is evaluated and ranked to compete with other applications 
for available assistance. The project description should be concise and 
complete and should address the activity for which Federal funds are 
being requested. Supporting documents should be included where they can 
present information clearly and succinctly. Applicants are encouraged 
to provide information on their organizational structure, staff, 
related experience, and other information considered relevant. Awarding 
offices use this and other information to determine whether the 
applicant has the capability and resources necessary to carry out the 
proposed project. It is important, therefore, that this information be 
included in the application. However, in the narrative the applicant 
must distinguish between resources directly related to the proposed 
project from those that will not be used in support of the specific 
project for which funds are requested. Please refer to the UPD sections 
in the appendix.
Length of Applications
    Each application narrative should not exceed 20 pages in a 12-pitch 
font. Attachments and appendices should not exceed 25 pages and should 
be used only to provide supporting documentation such as administration 
charts, position descriptions, resumes, and letters of intent or 
partnership agreements. A table of contents and an executive summary 
should be included but will not count in the page limitations. Each 
page should be numbered sequentially, including the attachments or 
appendices. This limitation of 20 pages per program area should be 
considered as a maximum, and not necessarily a goal. Application forms 
are not to be counted in the page limit.
    Please do not include books or videotapes as they are not easily 
reproduced and are, therefore, inaccessible to the reviewers.

Part IV: Post-Award

Applicable Regulations

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

Treatment of Program Income

    Program income from activities funded under this program may be 
retained by the recipient and added to the funds committed to the 
project, and used to further program objectives.

Reporting Requirements

    Grantees are required to file the Financial Status Report (SF-269) 
semi-annually and the Program Performance Reports submitted quarterly, 
along with the Schedule C of the ORR Quarterly Performance Report. 
Category Three grantees should note the additional requirements for the 
final two Program Performance Reports noted under Category Three 
Purpose and Objectives above.
    Funds issued under these awards must be accounted for and reported 
under the distinct grant number ascribed. Although ORR does not expect 
the proposed projects to include evaluation activities, it does expect 
grantees to maintain adequate records to track and report on project 
outcomes and expenditures. The official receipt point for all reports 
and correspondence is the ORR Grants Officer, Administration for 
Children and Families/Office of Refugee Resettlement, 370 L'Enfant 
Promenade SW., 6th Floor, Washington, DC 20447, Telephone: (202) 401-
4577. An original and one copy of each report shall be submitted within 
30 days of the end of each reporting period directly to the Grants 
Officer.
    A Final Financial and Program Report shall be due 90 days after the 
project expiration date or termination of Federal budget support.

    Dated: May 4, 2001.
Carmel Clay-Thompson,
Acting Director, Office of Refugee Resettlement.

Appendix A--Uniform Project Description OMB No. 0970-0139

    The project description is approved under OMB control number 
0970-0139 which expires 12/31/03.

Part I: The Project Description Overview

Purpose

    The project description provides a major means by which an 
application is evaluated and ranked to compete with other 
applications for available assistance. The project description 
should be concise and complete and should address the activity for 
which Federal funds are being requested.

[[Page 23714]]

Supporting documents should be included where they can present 
information clearly and succinctly. In preparing your project 
description, all information requested through each specific 
evaluation criteria should be provided. Awarding offices use this 
and other information in making their funding recommendations. It is 
important, therefore, that this information be included in the 
application.

General Instructions

    ACF 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. Cross referencing should be 
used rather than repetition. 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.

Part II: General Instructions for Preparing a Full Project Description

Introduction

    Applicants required to submit a full project description shall 
prepare the project description statement in accordance with the 
following instructions and the specified evaluation criteria. The 
instructions give a broad overview of what your project description 
should include while the evaluation criteria expands and clarifies 
more program-specific information that is needed.

Project Summary/Abstract

    Provide a summary of the project description (a page or less) 
with reference to the funding request.

Objectives and Need for Assistance

    Clearly identify the physical, economic, social, financial, 
institutional, and/or other problem(s) requiring a solution. The 
need for assistance must be demonstrated and the principal and 
subordinate objectives of the project must be clearly stated; 
supporting documentation, such as letters of support and 
testimonials from concerned interests other than the applicant, may 
be included. Any relevant data based on planning studies should be 
included or referred to in the endnotes/footnotes. Incorporate 
demographic data and participant/beneficiary information, as needed. 
In developing the project description, the applicant 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.

Rresults or Benefits Expected

    Identify the results and benefits to be derived.

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 and the number of 
activities accomplished. When accomplishments cannot be quantified 
by activity or function, list them in chronological order to show 
the schedule of accomplishments and their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearance may be required from the U.S. Office of Management and 
Budget (OMB). This clearance pertains to any ``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.

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.

Organizational Profiles

    Provide information on the applicant organization(s) and 
cooperating partners such as organizational charts, financial 
statements, audit reports or statements from CPAs/Licensed Public 
Accountants, Employer Identification Numbers, names of bond 
carriers, contact persons and telephone numbers, child care licenses 
and other documentation of professional accreditation, information 
on compliance with Federal/State/local government standards, 
documentation of experience in the program area, and other pertinent 
information. Any non-profit organization submitting an application 
must submit proof of its non-profit status in its application at the 
time of submission.
    The non-profit agency can accomplish this by providing a copy of 
the applicant's listing in the Internal Revenue Service's (IRS) most 
recent list of tax-exempt organizations described in Section 
501(c)(3) of the IRS code, or by providing a copy of the currently 
valid IRS tax exemption certificate, or by providing a copy of the 
articles of incorporation bearing the seal of the State in which the 
corporation or association is domiciled.

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.

Letters of Support

    Provide statements from community, public and commercial leaders 
that support the project proposed for funding. All submissions 
should be included in the application OR by application deadline.

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.

General

    The following guidelines are for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be 
detailed and justified in the budget and narrative justification. 
For purposes of preparing the budget and budget justification, 
``Federal resources'' refers only to the ACF grant for which you are 
applying. Non-Federal resources are all other Federal and non-
Federal resources. It is suggested that budget amounts and 
computations be presented in a columnar format: first column, object 
class categories; second column, Federal budget; next column(s), 
non-Federal budget(s), and last column, total budget. The budget 
justification should be a narrative.

Personnel

    Description: Costs of employee salaries and wages.
    Justification: Identify the project director or principal 
investigator, if known. 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 or of specific 
project(s) or businesses to be financed by the applicant.

Fringe Benefits

    Description: Costs of employee fringe benefits unless treated as 
part of an approved indirect cost rate.
    Justification: Provide a breakdown of the amounts and 
percentages that comprise fringe benefit costs such as health 
insurance, FICA, retirement insurance, taxes, etc.

Travel

    Description: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant 
travel).
    Justification: For each trip, show the total number of 
traveler(s), travel destination, duration of trip, per diem, mileage 
allowances, if privately owned vehicles will be used, and other 
transportation costs and subsistence allowances. Travel costs for 
key staff to attend ACF-sponsored workshops should be detailed in 
the budget.

[[Page 23715]]

Equipment

    Description: ``Equipment'' means an article of nonexpendable, 
tangible personal property having a useful life of more than one 
year and an acquisition cost which equals or exceeds the lesser of 
(a) the capitalization level established by the organization for the 
financial statement purposes, or (b) $5,000. (Note: Acquisition cost 
means the net invoice unit price of an item of equipment, including 
the cost of any modifications, attachments, accessories, or 
auxiliary apparatus necessary to make it usable for the purpose for 
which it is acquired. Ancillary charges, such as taxes, duty, 
protective in-transit insurance, freight, and installation shall be 
included in or excluded from acquisition cost in accordance with the 
organization's regular written accounting practices.)
    Justification: For each type of equipment requested, provide a 
description of the equipment, the cost per unit, the number of 
units, the total cost, and a plan for use on the project, as well as 
use or disposal of the equipment after the project ends. An 
applicant organization that uses its own definition for equipment 
should provide a copy of its policy or section of its policy which 
includes the equipment definition.

Supplies

    Description: Costs of all tangible personal property other than 
that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information which 
supports the amount requested.

Contractual

    Description: Costs of all contracts for services and goods 
except for those which belong under other categories such as 
equipment, supplies, construction, etc. Third-party evaluation 
contracts (if applicable) and contracts with secondary recipient 
organizations, including delegate agencies and specific project(s) 
or businesses to be financed by the applicant, should be included 
under this category.
    Justification: All procurement transactions shall be conducted 
in a manner to provide, to the maximum extent practical, open and 
free competition. Recipients and subrecipients, other than States 
that are required to use Part 92 procedures, must justify any 
anticipated procurement action that is expected to be awarded 
without competition and exceed the simplified acquisition threshold 
fixed at 41 USC 403(11) currently set at $100,000. Recipients might 
be required to make available to ACF pre-award review and 
procurement documents, such as request for proposals or invitations 
for bids, independent cost estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions.

Other

    Enter the total of all other costs. Such costs, where applicable 
and appropriate, may include but are not limited to insurance, food, 
medical and dental costs (noncontractual), professional services 
costs, space and equipment rentals, printing and publication, 
computer use, training costs, such as tuition and stipends, staff 
development costs, and administrative costs.
    Justification: Provide computations, a narrative description and 
a justification for each cost under this category.

Indirect Charges

    Description: Total amount of indirect costs. This category 
should be used only when the applicant currently has an indirect 
cost rate approved by the Department of Health and Human Services 
(HHS) or another cognizant Federal agency.
    Justification: An applicant that will charge indirect costs to 
the grant must enclose a copy of the current rate agreement. If the 
applicant organization is in the process of initially developing or 
renegotiating a rate, it should immediately upon notification that 
an award will be made, develop a tentative indirect cost rate 
proposal based on its most recently completed fiscal year in 
accordance with the principles set forth in the cognizant agency's 
guidelines for establishing indirect cost rates, and submit it to 
the cognizant agency. Applicants awaiting approval of their indirect 
cost proposals may also request indirect costs. It should be noted 
that when an indirect cost rate is requested, those costs included 
in the indirect cost pool should not also be charged as direct costs 
to the grant. Also, if the applicant is requesting a rate which is 
less than what is allowed under the program, the authorized 
representative of the applicant organization must submit a signed 
acknowledgment that the applicant is accepting a lower rate than 
allowed.

Program Income

    Description: The estimated amount of income, if any, expected to 
be generated from this project.
    Justification: Describe the nature, source and anticipated use 
of program income in the budget or refer to the pages in the 
application which contain this information.

Nonfederal Resources

    Description: Amounts of non-Federal resources that will be used 
to support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process. A detailed budget must be prepared for 
each funding source.

Total Direct Charges, Total Indirect Charges, Total Project Costs.

    [Self-explanatory]

[FR Doc. 01-11680 Filed 5-8-01; 8:45 am]
BILLING CODE 4184-01-P


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