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< Back to current issue of Immigration Daily < Back to current issue of Immigrant's Weekly


[Federal Register: May 24, 2002 (Volume 67, Number 101)]
[Notices]               
[Page 36622-36632]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24my02-94]                         

-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. CFDA 93.598]

 
ORR Announcement for Services To Victims of a Severe Form of 
Trafficking

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

ACTION: Request for Applications for projects to increase awareness 
about human trafficking and to support services for individuals 
determined to be victims of a severe form of trafficking. This notice 
supersedes the notice published in the Federal Register on February 8, 
2002 (67 FR 6048).

-----------------------------------------------------------------------

SUMMARY: This ORR announcement invites submission of grant applications 
for funding, on a competitive basis, in three categories: Category 1--
Local/Community Outreach and/or Services for Victims of a Severe Form 
of Trafficking; Category 2--Technical Assistance and Training; and 
Category 3--Information Discovery for National Outreach/Educational 
Campaign.

DATES: July 31, 2002 is the closing date for all categories. Please 
note that all applications must be received (as opposed to postmarked) 
in ACF by this date or they will be considered late.
    Announcement Availability: The program announcement and the 
application materials are available from Jay Womack and Neil Kromash, 
Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade SW, 
Washington, DC 20447 and from the ORR website at: www.acf.hhs.gov/
programs/orr

FOR FURTHER INFORMATION CONTACT: For all categories, contact Jay 
Womack, (202) 401-5525, jwomack@acf.hhs.gov or Neil Kromash, (202) 401-
5702, nkromash@acf.hhs.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 three categories--program purpose and objectives, allowable and 
non-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-
3: 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. 
In May 2001, ORR modified that announcement to include services to 
victims of a severe form of trafficking. However, in February 2002, ORR 
further modified Category 3 of the existing standing announcement by 
removing services to victims of a severe form of trafficking in order 
to proceed with a new and separate announcement specifically aimed at 
promoting awareness about human trafficking and addressing the service 
needs of victims of a severe form of trafficking. That notice of 
modification was published in the Federal Register on February 8, 2002 
(67 FR 6048).
    This new Announcement establishes a new set of three categories 
designed to increase awareness about trafficking in persons and provide 
assistance to victims of a severe form of trafficking.

Legislative Authority

    These grants are authorized by three provisions of law: section 
107(b)(1)(B) of the Trafficking Victims Protection Act of 2000 (TVPA), 
section 412(c)(1)(A) of the

[[Page 36623]]

Immigration and Nationality Act (INA) (8 U.S.C. 1522(c)(1)(A)), as 
amended, and section 106(b) of the TVPA.
    Section 107(b)(1)(B) of the TVPA, Pub. L. 106-386, Division A, 114 
Stat. 1464 (2000), provides that ``[federal agencies] shall expand 
benefits and services to victims of severe forms of trafficking in 
persons in the United States, without regard to the immigration status 
of such victims.'' Section 107(b) of the TVPA also provides that 
individuals who are determined to be victims of a severe form of 
trafficking will be issued a certification letter (for adults) or 
eligibility letter (for minors under the age of 18) from the U.S. 
Department of Health and Human Services (HHS). In conducting a benefits 
eligibility determination for a victim of a severe form of trafficking, 
benefit-granting agencies should accept the HHS certification letter or 
HHS eligibility letter for minors in lieu of documentation from the 
Immigration and Naturalization Service and as proof of a status that 
confers eligibility for benefits.
    Section 412(c)(1)(A) of the INA authorizes the Director ``to make 
grants to, and enter into contracts with, public or private nonprofit 
agencies for projects specifically designed--(i) to assist refugees in 
obtaining the skills which are necessary for economic self-sufficiency, 
including projects for job training, employment services, day care, 
professional refresher training, and other re-certification 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.''
    Section 106(b) of the TVPA provides: ``The President, acting 
through the Secretary of Labor, the Secretary of Health and Human 
Services, the Attorney General, and the Secretary of State, shall 
establish and carry out programs to increase public awareness, 
particularly among potential victims of trafficking, of the dangers of 
trafficking and the protections that are available for victims of 
trafficking.

Funding Availability

    In FY 2002, ORR expects to award an estimated $3.9 million in funds 
that were appropriated to carry out the Trafficking Victims Protection 
Act of 2000. ORR expects to make approximately 8-10 grants under 
Category 1--Local/Community Outreach and/or Services for Victims of a 
Severe Form of Trafficking ranging from $50,000 to $250,000 for a total 
of up to $2,500,000; renewable on a yearly basis for up to 3 years, 
subject to availability of funds; one grant under Category 2--Technical 
Assistance and Training ranging from $300,000 to $500,000 for a total 
of up to $500,000 per year, renewable on a yearly basis for up to 3 
years, subject to availability of funds; and one grant under Category 
3--Information Discovery for National Outreach/Educational Campaign for 
a total of up to $900,000 per year, renewable on a yearly basis for up 
to 3 years, subject to availability of funds.
    The Director reserves the right to award less or more than the 
funds described in this announcement. In the 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--93.598

Eligible Applicants

    In Categories 1 and 2 public and private nonprofit organizations, 
including faith-based organizations, are eligible to apply for these 
grants (see [sect] 412(c) of the INA). ORR expects that applicants will 
coordinate with other local organizations in considering projects and 
proposing services. In Category 3, any entity is eligible to apply (see 
section 106(b) of the TVPA), although HHS funds may not be paid as 
profit to any recipients even if the recipient is a commercial 
organization (45 CFR 74.81).
    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.

Project and Budget Periods

    This announcement is inviting applications in Categories 1, 2, and 
3 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.

Category 1--Local/Community Outreach and/or Services for Victims of a 
Severe Form of Trafficking

Purpose and Objectives

    The purpose of Category 1, Local/Community Outreach and/or Services 
for Victims of a Severe Form of Trafficking, is multifaceted. It 
combines the need to increase local/community awareness about the 
burgeoning problem of human trafficking with the need to provide 
resources that will address the needs of individuals determined to be 
victims of a severe form of trafficking. Category 1 applications may 
choose to concentrate exclusively on one of these two areas, or focus 
more comprehensively on a combination of activities that incorporates 
both.

Local/Community Outreach

    The emphasis on Category 1 is to provide state and local law 
enforcement, public and private service providers, non-governmental 
organizations, immigrant and refugee communities, and individual 
community members with opportunities to learn about the Trafficking 
Victims Protection Act of 2000 (TVPA). The TVPA has presented an 
unprecedented opportunity to address the previously hidden problem of 
human trafficking. However, knowledge of the TVPA is limited among 
service professionals, law enforcement agencies, and the general 
public. Knowledge of benefits available to victims is similarly 
limited, especially among groups that do not normally access benefits 
or have connections with benefit-providing agencies and organizations.
    Educational opportunities need to be extended to these groups to 
allow them to learn about the existence of human trafficking within the 
United States and to recognize trafficking, particularly in their local 
communities. Integral in these outreach activities should be 
familiarity with the legal definition of ``severe forms of trafficking 
in persons'' as described in the TVPA. Subsequently, a clear 
understanding should be established of the criteria necessary to 
qualify as a victim of a severe form of trafficking for benefits and 
services purposes.

[[Page 36624]]

    Once trafficking victims have been identified, organizations must 
be empowered to provide victims with additional information and 
resources to access services available to them. Law enforcement 
agencies that have contact with immigrant or refugee populations must 
also be educated to look below the surface of people's circumstances in 
such areas as prostitution and immigrant labor. Service providers need 
to learn about the varied backgrounds from where the victims come and 
most importantly the unique issues that trafficking victims will 
present following their emancipation.
    Organizations must establish that within their geographic locality/
area there is a reasonable expectation that victims of a severe form of 
trafficking may be identified. Successful applicants will consider 
which services need to be enhanced or increased in light of increased 
community awareness of trafficking.
    ORR is interested in providing resources for organizations to cover 
the costs of reaching out to community-based organizations so that 
victims are identified where they have the best chance for receiving 
assistance. In turn, communities where outreach and educational 
opportunities are being extended may experience an increase in the 
numbers of victims being identified and requesting services.

Services to Victims of a Severe Form of Trafficking

    Through Category 1, Services to Victims of a Severe Form of 
Trafficking, ORR seeks to provide resources that will address the needs 
of individuals determined to be victims of a severe form of 
trafficking. Victims must be the recipients of a certification or 
eligibility letter from HHS in order to gain access to this assistance. 
We believe that enhanced case management, education, culturally and 
linguistically appropriate linkages and coordination with other service 
providers contribute to the overall well-being of trafficking victims. 
Victims may also require initial assistance accessing refugee and/or 
mainstream services for which they are eligible. The services funded 
through Category 1 should enhance the likelihood of victims of a severe 
form of trafficking receiving needed support as they work with the 
criminal justice system to assist in the investigation and prosecution 
of trafficking crimes. In all instances, activities must be designed to 
supplement, rather than supplant, the existing array of refugee 
services available in the community.
    An applicant should provide anecdotal evidence that there have been 
victims of a severe form of trafficking within their community and/or a 
reasonable assumption that there may be additional unidentified victims 
in that community.
    This grant program is intended to support services that address the 
special conditions of victims of a severe form of trafficking. ORR's 
expectation is that victims of trafficking will most likely, after a 
brief period of time, access mainstream services. Therefore, grantees 
should view these resources as a temporary solution.
    According to post award requirements, grantees are expected to file 
periodic program reports. 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 to the 
target population.

Allowable Activities

Local/Community Outreach

    Allowable activities for local/community outreach include hosting 
community forums (including coordination and facilitation of outreach 
events) to raise general awareness about the problem of trafficking in 
their local community. In addition, applicants should emphasize the 
development of advertising and marketing anti-trafficking materials 
that reflect the broad scope of the various forms of trafficking 
(including debt bondage, peonage, forced labor and forced prostitution) 
and that are linguistically and culturally accessible, appropriate, and 
sensitive.
    Applications focusing on Local/Community Outreach should indicate 
approximate timelines for development, dissemination, and review of 
actions presented to measure the effectiveness of the communication.

Services to Victims of a Severe Form of Trafficking

    Allowable activities for Services to Victims of a Severe Form of 
Trafficking are restricted solely to individuals who are the recipients 
of a certification (for adults) or eligibility (for minors) letter from 
HHS. Some of the services needed for victims of a severe form of 
trafficking might include:
    [sbull] Special medical care that is not otherwise available to the 
individual;
    [sbull] Assistance with temporary transportation needs;
    [sbull] Temporary housing;
    [sbull] Temporary housing for young adults with limited experience 
living in families;
    [sbull] Independent living skills and cultural orientation;
    [sbull] Access to appropriate educational programs;
    [sbull] Legal assistance/referrals and administrative costs 
(excluding T-visa application fees and/or attorney fees).
    [sbull] Case management, to include information and referral to 
needed services in the community, either funded refugee services or 
mainstream services as appropriate;
    [sbull] Special mental health services, such as trauma counseling, 
and
    [sbull] Other services needed to bridge the time between the 
certification or eligibility date indicated directly on the 
Department's letter, and the receipt of public benefits and support 
services.
    Applicants focusing on Services to Victims of a Severe Form of 
Trafficking should indicate how they will ensure that services are 
appropriate and accessible both linguistically and culturally.

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--Local/Community Outreach--The applicant 
demonstrates a clear understanding of the population to be served. The 
conditions in proposed communities are clearly described, including the 
reasonable expectation of identifying trafficking victims within the 
community. The need for additional information leading to enhanced 
acknowledgment of trafficking is documented. The applicant provides 
anecdotal evidence that there are enough people and/or organizations 
that would benefit from this type of outreach/educational opportunity. 
Services for Victims of a Severe Form of Trafficking--The applicant 
demonstrates a clear understanding of the population to be served. The 
number of projected victims of trafficking to be served is reasonable 
in light of the organization's capacity. The application proposes to 
address a program of services for victims of trafficking. (25 points)
    2. Results or Benefits Expected--The applicant clearly describes 
the results

[[Page 36625]]

and benefits to be achieved. 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. 
Results or benefits are described also in terms of the opportunities 
provided for victims, benefit-providing agencies, and law enforcement. 
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. (25 points)
    3. Approach--The strategy and plan, including a description of each 
proposed community and an assessment of appropriateness of activities, 
are likely to achieve 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 generate additional interest in outreach 
to victim populations and coordination with other services. The 
application includes a clear and comprehensive description of the 
communities proposed 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. The applicant has described the planning consultation 
efforts undertaken. 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. Evidence of commitment of 
coalition partners in implementing the activities is demonstrated, 
i.e., by Memoranda of Understanding (MOUs) among participants. 
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, are 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 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 other 
community outreach efforts and/or social services to achieve the 
objectives. Planning for continuation of services beyond the project 
period is realistic. (15 points)

Category 2--Technical Assistance and Training

Purpose and Objectives

    This program is to provide technical and issue-specific assistance 
and training to organized groups, organizations, and individuals 
regarding the background and impact of the TVPA, with specific emphasis 
on the provision of benefits as it relates to the needs of trafficking 
victims. The program is also aimed at providing and disseminating 
research and resources for benefit-issuing agencies, law enforcement 
agencies, and others relating to issues of trafficking in persons.
    We believe that strong technical assistance for the provision of 
benefits is needed by organizations and individuals that have limited 
experience working with victims of a severe form of trafficking. 
Victims of a severe form of trafficking have distinct and acute needs 
for assistance that may differ from the needs of other refugees. 
Programs targeted at domestic victims of crime are not necessarily 
prepared to address the specific needs of trafficking victims (e.g., 
culturally appropriate and sensitive trauma counseling, language 
translation, legal and immigration process referrals). Likewise, many 
refugee benefit-issuing organizations do not have experience in 
identifying the needs of a trafficking victim as distinct from the 
needs of other refugee populations.
    The target audience requires guidance on: The types of benefits and 
services available to victims; barriers to victims receiving benefits; 
successful methodologies to ensure that victims access benefits and 
services available to them; and how to provide case assessments (needs 
assessments) of victims, including how to conduct clinical assessments.
    Organizations and individuals also need to learn more about the 
TVPA including the legislative background, programmatic impact, 
technical details of the Act, and the processes that enable victims to 
receive certain types of benefits. Additional background regarding the 
history of trafficking prior to the TVPA, including precipitating 
factors to the enactment of the law, will also provide a better 
understanding of the potential impact of the TVPA for both victims and 
service providers.
    To ensure that service organizations, law enforcement agencies and 
others have all the necessary information that enables them to provide 
assistance to victims, the development of research and background 
materials is critical. As resources and information continue to be 
developed, these resources need to be disseminated to ensure that the 
growing base of knowledge can be used to create effective and lasting 
programmatic advances for victim assistance.
    We expect that applicants to this program category will have strong 
knowledge of and demonstrate significant experience working with 
victims of a severe form of trafficking in areas including direct 
services, legal assistance referrals, and case management.

Allowable Activities

    ORR will accept applications under this announcement for projects 
that propose services that enhance the knowledge base and service 
ability of other potential grantees, current grantees, law enforcement 
agencies, benefit-issuing agencies and other concerned populations who 
are working with or may be working with victims of a severe form of 
trafficking.
    Specific activities may include:
    [sbull] Educational outreach. Serving as a consulting partner to 
other ORR trafficking grantees. Providing technical guidance to other 
agencies regarding benefits and services available to victims of a 
severe form of trafficking and the travel associated with this 
activity.
    [sbull] Meetings and conferences. Hosting educational events to 
disseminate information on victim services and methodologies. 
Participation in national or international meetings and conferences 
that may contribute to capacity development and knowledge base on 
trafficking, and otherwise enhance collaborative activities.
    (Note--all international travel must be approved in advance by ORR 
project officer.)
    [sbull] Clearing house of information. Development of a library of 
resources to be made available to other organizations and individuals. 
Development of an internet web site which could include

[[Page 36626]]

chat, resources, links, or community bulletin boards. Providing and 
facilitating information exchange among various contributors.
    [sbull] Consultation/mentoring services. Providing specific issue 
guidance/advice to other agencies working on anti-trafficking 
initiatives.
    [sbull] Curriculum development and dissemination. Development of 
written protocols for handling trafficking cases and directing victims 
to available benefits.
    Acceptable applications will include the development of curricula 
that can be disseminated to other organizations. Curricula should 
follow the above objectives and address the provision of benefits, 
methodologies for successful implementation, as well as follow-up 
resource development. Included in the development process should be 
allowances for training other organizations on the curricula and 
follow-up as needed.

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 trafficking victims' country of 
origin).

Review Criteria

    1. Objectives and Need--The applicant demonstrates a clear 
understanding of the population to be served through significant/
extensive experience working with victims of a severe form of 
trafficking. The applicant demonstrates clear training and advocacy 
experience through quantitatively demonstrated experience with 
trafficking victims of various cultural, linguistic, and experiential 
background. The applicant has experience with case assessment and 
creating links to law enforcement agencies, benefit issuing agencies, 
non-profit organizations and others. The application proposes to 
address 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 ability, increased capacity to create 
referrals, and follow-up with culturally and linguistically appropriate 
mainstream providers. Any curricula developed can be used as key 
resource to be shared throughout the country and provided in 
conjunction with at least three (3) training sessions within the first 
year of the grant. Proposed quantitative 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 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 coordination with any 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 Memoranda of Understanding (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 any costs for publication, printing, dissemination, and similar 
costs are reasonable and comprehensive. (10 points)

Category 3--Information Discovery for National Outreach/Educational 
Campaign

Purpose and Objectives

    The purposes of this project are: (A) To determine the extent of 
community awareness regarding the problem of human trafficking among 
both the general United States population and the organizations that 
serve victims; and (B) to better understand the successful approaches 
that might encourage victims to come forward for identification and 
assistance. The resultant information will be used as the basis for an 
array of culturally appropriate Public Service Announcements (PSAs) 
designed to increase the number of victims identified and encourage the 
development and implementation of additional programs intended to 
protect and care for victims of severe forms of trafficking.
    There is a critical need for information discovery regarding public 
awareness of trafficking, of provisions of the Trafficking Victims 
Protection Act of 2000 (TVPA), and identification of factors that 
encourage victims to come forward to access protection and services. 
Given the relatively recent passage of this legislation and the TVPA's 
impact upon the welfare of trafficking victims, ORR believes it is 
important for this information to be gathered and analyzed without 
delay in order to identify and assist additional victims.
    In comparison to other immigrant populations (i.e., refugees or 
asylees) trafficking victims are a population about whom relatively 
little is known. Due to the nascent nature of the TVPA, there is a 
relatively small number of victims who have been made eligible to 
receive certain federal or state funded or administered benefits. While 
there is a growing amount of anecdotal evidence about the needs of 
trafficking victims and their access to benefits, this evidence may not 
accurately reflect the range of victim needs. For example, trafficking 
victims may require immediate, secure, and confidential contact with 
law enforcement agencies while other immigrant populations may not. We 
need more information to fully estimate the level of public awareness 
of trafficking and the factors that may encourage victims to come 
forward to utilize available benefits and services.
    It is also important to describe how victims interact with 
community organizations and service providers. Many of these 
organizations currently play a vital role in identifying and providing 
support to trafficking victims and may be called upon for additional 
support. For example, organizations that are the front line service 
providers at hospitals, clinics, or domestic violence shelters may not 
realize that many of the people they have assisted are actually 
trafficking victims. Similarly, community organizations (e.g., mutual 
assistance associations) and religious institutions can play an 
important role in the lives of trafficking victims. This project will 
seek to improve our understanding of those roles and how they are 
affected by the TVPA.

[[Page 36627]]

Allowable Activities

Grantee Responsibilities

    1. The Grantee should propose a project work plan that describes 
conditions within the topic areas underlined below. The project should 
explore the knowledge and relationships among trafficking victims 
(including child and elderly victims), service providers, and community 
organizations within each topic. Questions listed next to each topic 
suggest the type of information in which ORR has particular interest.
    [sbull] Trafficking Awareness. What level of awareness does the 
general community exhibit? How are communities and individual community 
members currently being educated about the existence of trafficking? 
How are trafficking victims being educated about the crime of human 
trafficking? What information has been disseminated? What have 
community members identified as areas in need of increased knowledge or 
awareness? What are the successful approaches to encouraging victims to 
come forward?
    [sbull] Victim Identification. Who are the first to come into 
contact with victims? How are victims identified as victims (e.g., 
victim determination) and who does this? How much information do these 
organizations/groups have regarding the TVPA? What connection, if any, 
do they have with other providers?
    [sbull] Victim Assistance. To what extent is the community aware of 
assistance that may be made available to victims? How are services 
being directed to victims? What actions have been taken or are planned 
to expand these services? What is the demand for community-based 
assistance (including food, medical, and mental health services)? To 
what sources do victims turn in order to meet their needs?
    [sbull] Employment. What type of employment do victims pursue 
following their emancipation? How long do they stay in their jobs? What 
level of wages do victims receive and how much do they receive in total 
earnings? What fringe benefits do victims receive from their employers? 
What are the child care arrangements for employed trafficking victims?
    [sbull] Victims' Income. What are victims' sources of income 
following their emancipation and how much do they receive from each 
source? What is the ratio of assistance to total income? What types of 
assistance and services are received and from whom (e.g., public or 
private service providers, friends, family)?
    [sbull] Role of Community Organizations. What role(s) do community 
organizations have in identifying trafficking victims? What type (e.g., 
housing, security, medical, clothing, etc.) and how much assistance do 
trafficking victims receive from those community organizations, 
including religious institutions? How have these organizations helped 
victims access public benefits to which victims may be eligible under 
the TVPA?
    Special consideration will be given to applications that 
demonstrate a concerted effort to examine organizations and individuals 
who are reaching out to victims of severe forms of trafficking and 
pursuing actions that encourage victims to come forward. Applicants 
should focus on at least two communities with high densities of 
trafficking victims.
    The applicant's proposal should also seek to answer the relevant 
questions above from the standpoint of victims, service providers, and 
community organizations. The methodology for accomplishing this 
approach is at the discretion of the grantee; however, many 
organizations that initially come into contact with victims may be 
excellent sources of information. These could include, but are not 
limited to, hospitals, clinics, police and other law enforcement 
agencies, immigrant-serving community-based organizations, social 
service providers, child care facilities, and public health 
authorities. Information from these organizations should describe the 
relationship between trafficking victims and the community, the types 
of support community organizations provide to immigrant families, and, 
to the extent possible, any outreach efforts being undertaken.
    2. Category three of this announcement is the only category that 
will be a cooperative agreement. In the spirit of the cooperative 
agreement, the Grantee should provide monthly updates to inform the 
Federal Project Officer of research developments and the status of 
project activities.
    3. With input from the Federal Project Officer, the Grantee should 
select an Advisory Panel to provide guidance in project development. 
The Advisory Panel may participate in subsequent meetings between the 
Federal Project Officer and the Grantee. The Grantee may be responsible 
for the Advisory Panel's travel and related expenses, if any.
    4. Prior to completion of the work plan (analysis plan), the 
Grantee should meet with relevant Federal personnel in Washington, DC 
to discuss the preliminary methodology and design of the research 
project including what research questions will be answered and what 
methodology the Grantee will employ to answer the questions. Federal 
personnel will have the opportunity to provide input and suggestions in 
these areas. If applicable, the Federal Project Officer should be 
invited to participate in other meetings in which the Grantee is 
involved during discussions regarding critical aspects of the project 
with other funding sources.
    5. After consultation, the Grantee should submit a final work plan 
that is based on any updates to the work plan submitted in the original 
application. The plan should:
    (a) Include a complete list of research questions the project will 
answer and the variables that will be used to answer each question. 
These variables could include (but are not limited to) immigration 
status and demographic information for all victims, including income 
level and source; type of victimization; benefit eligibility and 
history, employment history; and health status.
    (b) Identify and describe the methodology used to gather 
information on trafficking with respect to these variables and the 
analysis to be performed.
    (c) Identify how the proposed variables and data sets will be used 
by the Grantee to answer the research questions described in the work 
plan.
    (d) Identify important questions/issues for which data currently 
are not available, and strategies for dealing with this lack of data 
when it pertains to the research questions in the work plan.
    (e) Identify how the confidentiality will be protected of any 
research subjects involved in the project.
    (f) Describe the results that will be produced and construct 
examples of tables illustrating how these results will be presented.
    (g) Identify steps to coordinate with any federal or contractor 
staff assigned responsibility for designing and implementing the 
national outreach/educational campaign.
    6. Once initial analyses have been conducted, the Grantee should 
meet with relevant federal personnel in Washington, DC to discuss 
preliminary findings and the format for the final report. In the spirit 
of a cooperative agreement, the Grantee should work with federal 
personnel to determine the need for additional collection or analysis 
of information.
    7. After completing their analysis, the Grantee will prepare a 
final report describing the procedures used to gather information and 
conduct the analysis, barriers encountered in completing the

[[Page 36628]]

project and the results of their analysis. A draft of this report 
should be delivered to the Federal Project Officer before the 
completion of the project. The Federal Project Officer will return 
comments on the draft report to the Grantee and a final report that 
reflects the comments of the Federal Project Officer should be 
delivered to the Grants Officer before the completion of the project. 
The report should be provided to the Grants Officer both in hard copy 
and on 3.5'' floppy disk in a format that is agreed upon by both 
parties.
    8. Following the completion of the final report, the Grantee should 
conduct a briefing in Washington, DC for federal personnel regarding 
the results of the analyses. The Grantee should be responsible for 
assembling and copying any necessary briefing materials. The briefing 
should take place before the completion of the project.
    9. The Grantee will make data and analysis completed as a result of 
this project available to the research community and the government.

ORR Responsibilities

ORR will:
    1. Provide input into the final work plan, including methodology, 
analysis, and dissemination plan.
    2. Provide consultation and technical assistance in planning and 
operating program activities.
    3. Work with the Grantee to resolve any methodological or 
analytical issues.
    4. Assist in the transfer of information to appropriate federal, 
state and local entities, including any PSA developer(s).
    5. Review Grantee activities and provide feedback to ensure that 
objectives and award conditions are being met. ORR retains the right to 
withhold future year funding if technical performance requirements are 
not met.

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 objectives and 
anticipated results of the proposed project will advance policy 
knowledge and development. The proposed research questions address the 
required topics listed in this announcement and answers to these 
questions will effectively describe the status of trafficking victims, 
their communities and the organizations that serve them. The applicant 
demonstrates a clear understanding of the populations to be researched 
through significant/extensive knowledge of the issues of severe forms 
of trafficking in persons and the effect upon victims. The applicant 
demonstrates clear research experience through quantitatively 
demonstrated experience with trafficking victims of various cultural, 
linguistic, and experiential backgrounds. The applicant has experience 
with creating links to law enforcement agencies, benefit issuing 
agencies, non-profit organizations and others. The application proposes 
to develop information to be used to design and execute a national 
outreach and educational program with the goal of increasing public 
awareness about human trafficking. (25 points)
    2. Results or Benefits Expected--Information and data are developed 
and provided that will allow PSA creator(s) to choose and target 
specific geographic media markets on the problem of human trafficking. 
(25 points)
    3. Approach--Information gathering supplements (rather than 
duplicates) studies already underway by the federal government, 
including research on current and/or effective public awareness 
strategies for victims of trafficking. Methodology is appropriate, 
sound, and cost-effective, including the research design, statistical 
techniques, analytical strategies, selection of existing data sets, and 
other procedures. Sites selected for the study have a concentration of 
previously identified trafficking victims, diverse demographic victim 
populations (i.e. country of origin, types of identified trafficking 
crimes--sexual exploitation, involuntary domestic servitude, forced 
labor, etc.), and diverse levels of local service provision.
    The proposed methodology accurately describes victims' status as 
suggested by the topics listed in this announcement, as well as the 
interaction between victims, their communities and service providers. 
To the extent that projects seek to examine the impact of the TVPA, the 
applicant's proposed methodology reliably attributes impacts. (20 
points)
    4. Organizational Profiles--Project personnel are well qualified to 
conduct the proposed research, as evidenced by their professional 
training and experience. The capacity of the organization to provide 
the infrastructure and support necessary for the project is suitable. 
The applicant has experience coordinating and sequencing tasks with 
other organizations. Special consideration will be given to applicants 
that collaborate with organizations that frequently work with immigrant 
populations. The applicant has pledged and shown ability to work in 
collaboration with other organizations in search of similar goals. The 
applicant has demonstrated capacity to work with a range of government 
agencies. 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. (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. Planning 
for any costs for information research, dissemination, and similar 
costs (e.g., travel) are reasonable and comprehensive. Applications 
should include separate estimates for each of the three years, if 
funding levels are expected to be substantially different in subsequent 
years. (10 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.
    [sbull] 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, and Palau have elected to participate in 
the Executive Order process. Applicants from these twenty-seven 
jurisdictions need take no action regarding E.O. 12372. Applicants for 
projects to be administered by Federally-recognized Indian Tribes are 
also exempt from the requirements of E.O. 12372. Applicants should 
contact their Single-Points-of-Contact (SPOC) as soon as possible to 
alert them of the

[[Page 36629]]

prospective applications and receive any necessary instructions. 
Applicants from participating jurisdictions 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. The 
applicant must submit all required materials, if any, to the SPOC and 
indicate the date of this submittal (the date of contact) 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: Grants Management Officer, U.S. Department of Health and 
Human Services, Administration for Children and Families, Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW., 4th 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.
    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 of July 31, 2002 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 that 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 
three 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 requesting 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 are required. 
Applicants must clearly indicate on the SF 424 the Category under which 
the application is submitted.
    The closing date for receipt of applications is (4:30 p.m. Eastern 
Time Zone) July 31, 2002. Please note that all applications must be 
received in ORR (as opposed to postmarked) by the closing date. Mailed 
and hand-carried applications received after the 4:30 p.m. (Eastern 
Time Zone) deadline on 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 time and 
date at the: U.S. Department of Health and Human Services, 
Administration for Children and Families, Office of Grants Management, 
Division of Discretionary Grants, Attention: Grants Management Officer, 
370 L'Enfant Promenade SW., 4th Floor, Washington, DC 20447. Applicants 
are responsible for mailing applications well in advance to ensure that 
applications are received on or before the deadline time and date.
    Applications hand-carried by applicants, applicant couriers, 
overnight/express mail couriers, or by other representatives on behalf 
of the applicant shall be considered as meeting an announced deadline 
if they are received on or before the deadline date, between 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, Office of 
Grants Management, Division of Discretionary Grants, Attention: Grants 
Management Officer, 4h 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 Management 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.
    The federal government has experienced periodic delays in mail 
delivery through the U.S. Postal Service since fall 2001. In some 
instances, mail has been delayed up to or over four months. To ensure 
that ACF receives your application by the (4:30 p.m. Eastern Time Zone) 
July 31, 2002 deadline, you may wish to send your application via an 
express mailing service. Also, please send an electronic notification 
that you have sent an application to Jay Womack at jwomack@acf.hhs.gov 
and Neil Kromash at nkromash@acf.hhs.gov.
    Late applications: Applications that 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 (e.g. 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: Grants 
Management Officer, Administration for Children and Families, Office of 
Grants Management, Division of Discretionary Grants, 370 L'Enfant 
Promenade SW., 4th Floor, Washington, DC 20447, Telephone: (202) 401-
4577.
    Certifications, Assurances, And Disclosure Required For Non-
Construction Programs--Applicants must sign and return the disclosure 
form, if applicable, with their applications. 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

[[Page 36630]]

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 
application.
    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 and appendices. This limitation of 20 pages 
per category 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 quarterly, along with the Schedule C of the ORR Quarterly 
Performance Report. Category Three grantees should note the additional 
requirements for the final report noted under Category Three Grantee 
Responsibilities above.
    Funds awarded 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 Grants Management Officer, Administration for 
Children and Families/Office of Grants Management, Division of 
Discretionary Grants, 370 L'Enfant Promenade SW., 4th 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 Office of Grants Management.
    A Final Financial and Program Report shall be due 90 days after the 
project expiration date or termination of federal budget support.

    Dated: May 13, 2002.
Nguyen Van Hanh,
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. 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.

Results 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

[[Page 36631]]

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.

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 U.S.C. 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

[[Page 36632]]

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 that 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. 02-13089 Filed 5-23-02; 8:45 am]
BILLING CODE 4184-01-P





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