[Federal Register: June 4, 2002 (Volume 67, Number 107)]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[CFDA Number: 93.576]
Office of Refugee Resettlement (ORR) Announcement for Services to
\1\&thnsp;Eligibility for refugee social services is limited to
persons who meet all requirements of 45 CFR 400.43 (as amended by 65
F.R. 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.
AGENCY: Office of Refugee Resettlement (ORR), ACF, DHHS.
ACTION: Request for applications for projects to support services for
recently arrived refugees and ethnic community organizations. This
notice announces two of the four Categories of the ORR Standing
Announcement for Services to Recently Arrived Refugees published in the
Federal Register on May 9, 2001 (66 FR 23705).
SUMMARY: This ORR Announcement invites submission of grant applications
for funding, on a competitive basis, in two categories of the ORR
Standing Announcement for Services to Recently Arrived Refugees:
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 and Category
4—Ethnic Community Self-Help to connect refugees and their
communities with community resources.
DATE: The closing date for applications is July 5, 2002.
Announcement Availability: The program announcement and the
application materials are available from Sue Benjamin and Marta
Brenden, Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade
SW., Washington, DC 20447 and from the ORR Web site at
FOR FURTHER INFORMATION CONTACT: Category 2—Sue Benjamin at (202)
401–4851 or SBenjamin@acf.hhs.gov and Category
4—Marta Brenden at (202) 205–3589 or
SUPPLEMENTARY INFORMATION: This program announcement consists of four
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, competitive review and evaluation criteria.
Part III: The Application—application forms, application
submission and deadlines, certifications, assurances and disclosures
required for non-construction programs, general instructions for
preparing a full project description, and length of applications.
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: 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
The ORR Director, as stated in the Standing Announcement for
Services to Recently Arrived Refugees notice published in the Federal
Register on May 9, 2001 (66 FR 23705), may invite applications outside
of the proposed closing dates, if necessary, to respond to the needs of
an imminently arriving refugee population. For this reason, the ORR
Director intends to support under this announcement unanticipated
arrivals of refugees in U.S. communities. The ORR Director also intends
to support refugee ethnic community and faith-based organizations with
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.”
ORR expects to award a total of $500,000 in discretionary social
service funds through approximately three to five projects under
Category 2—Unanticipated Arrivals ranging from $100,000 to
$200,000 for a total of $500,000; and 6 to 12 projects under Category
4—Ethnic Community Self-Help ranging from $50,000 to $300,000 for
a total of $3,000,000.
The Director of ORR 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.
For Categories 2 and 4, public and private nonprofit organizations
are eligible to apply. Faith-based organizations are also eligible to
apply under Categories 2 and 4. ORR expects that applicants in these
Categories will coordinate in partnerships 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 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
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 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 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 is that, by the end of the grant project
period, 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 in the unanticipated arrivals program are
social services for refugees that are appropriate and accessible in
language and culture. Services provided by all grantees, whether
private or public, must comply with the regulations at 45 CFR 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
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. 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)
3. 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)
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
Category 4—Ethnic Community Self-Help
Purpose and Objectives
This program is to provide assistance to organized ethnic
communities comprised of and representative of refugee populations.
ORR's intended purpose is to build bridges among refugee communities
and community resources. ORR is interested in applications from
national, regional (multi-state), or local levels 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
(2) Emerging local ethnic communities which seek to function as
bridges between refugees and mainstream local resources and
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
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 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-
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; and
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 support to refugee ethnic
communities who have achieved significant populations in the United
States within the last ten years. Awards 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.\2\ 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.
\2\&thnsp;“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
Successful national organization applicants to this notice may
propose activities that may include, but are not limited to, the
&sbull; Organizing for self-help, leadership development and
&sbull; Inspiring self-determination;
&sbull; Linking technical assistance and resources to local
&sbull; Supporting public education and agency linkage through
an Internet site;
&sbull; Facilitating information dissemination on ethnic-
specific issues; or
&sbull; Convening of national or regional meetings.
Successful local ethnic self-help applicants to this notice may
propose any of the following activities:
&sbull; Public education activities designed to inform the
refugee community about issues essential to functioning effectively in
the new society;
&sbull; Orientation and assistance to parents in connecting
with school systems and other local public or private institutions;
&sbull; 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
&sbull; Pairing refugee individuals or families with community
Information and training on the roles of men and women in the U.S.
culture; such as:
&sbull; Information on healthy marriage education programs and
partnerships with healthy marriage community and faith-based programs;
&sbull; Information on laws regarding child welfare, child
abuse and neglect;
&sbull; Information on sexual harassment and coercion, and
&sbull; Bilingual staff assistance for women's shelters, and
&sbull; Techniques for self-protection;
&sbull; Activities designed to improve relations between
refugees and the law enforcement communities;
&sbull; Community training for such activities as civic
organizing, resource strategies, and non-profit management.
&sbull; Employment and training related services.
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.
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—Listed According to UPD Order
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. 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)
3. 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)
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 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 or fiscal management plan. If
appropriate, written agreements between grantees and sub-grantees or
other cooperating entities, detailing work to be performed,
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
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.
* 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 E.O. 12372. Applicants for
projects to be administered by Federally-recognized Indian Tribes are
also exempt from the requirements of E.O. 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
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 Grants
Management, 370 L'Enfant Promenade SW., 4th floor, Washington, DC
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/
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
two 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 available from the Contact named
in the preamble of this announcement and from the ORR website.
Application Submission And Deadlines—An application with an
original signature and two clearly identified copies is required.
Applicants must clearly indicate on the SF424 the Category under which
the application is submitted.
The closing date for submission of applications is July 5, 2002.
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
Grants Management, Attention: Daphne Weeden, Grants Officer, 370
L'Enfant Promenade SW., 4th 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 the hours of 8:00 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, 4th 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
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
For Further Information on Application Deadlines Contact: Daphne
Weeden, Grants Officer, Administration for Children and Families,
Office of Grants Management, 370 L'Enfant Promenade SW., 4th 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
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
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
Reporting Requirements—Grantees are required to file the
Financial Status Report (SF–269) semi-annually and the Program
Performance Reports submitted semi-annually, along with the Schedule C
of the ORR Performance Report. Category Four grantees should note that
Program Performance Reports are due quarterly.
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 Grants Management, 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 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 22, 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
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.
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
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.
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
Results or Benefits Expected
Identify the results and benefits to be derived.
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
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.
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.
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
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
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity,
reasonableness, and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be
detailed and justified in the budget and narrative justification.
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.
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.
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.
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant
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
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.
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.
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
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.
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
acknowledgement that the applicant is accepting a lower rate than
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.
Description: Amounts of non-Federal resources that will be used
to support the project as identified in Block 15 of the
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.
[FR Doc. 02–13891 Filed 6–3–02; 8:45 am]
BILLING CODE 4184–01–P
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