[Federal Register: May 9, 2001 (Volume 66, Number 90)]
[Notices]
[Page 23705-23715]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09my01-90]

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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 http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://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 Aportz@ACF.DHHS.GOV

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

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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

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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:
special medical care;
prostheses and related physical therapies for disabled
refugees;
assistance with transportation;
temporary housing for young adults with limited experience
living in families;
independent living skills, both U.S. legal standards and
social customs, including social skills for the unaccompanied youth;
mental health services, such as coping with the traumatic
experiences of war; and
access to appropriate educational programs and educational
advancement.
The services needed for victims of trafficking might include:
case management, to include information and referral to
needed services in the community, either funded refugee services or
mainstream services as appropriate;
temporary housing;
special mental health services, such as trauma counseling,
and

[[Page 23710]]

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:
A shared, dynamic vision of the community's future which
inspires members to work together to secure that future;
A perception of refugees not as needy recipients but as
active partners in their integration into their communities;
A link between individual self-sufficiency and community
self-reliance;
Local communities which apply their own cultural, civic
and socio-economic values to long term strategies and programs;
A role for refugees as decision-makers on community needs,
program responses, and service delivery systems;
Local resources (generated through service delivery or
economic development) that stay within the community;
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:
Organizing for self-help and civic participation;
Inspiring self-determination;
Linking technical assistance and resources to local ethnic
communities;
Supporting public education and agency linkage through an
Internet site;
Facilitating information dissemination on ethnic-specific
issues; or
Convening of national or regional meetings.
Successful local ethnic self-help applicants to this notice may
propose any of the following activities:
Public education activities designed to inform the refugee
community about issues essential to functioning effectively in the new
society;
Orientation and assistance to parents in connecting with
school systems and other local public or private institutions;
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;
Pairing refugee individuals or families with community
volunteers;
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;

Activities designed to improve relations between refugees
and the law enforcement communities;
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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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

[[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