[Federal Register: June 10, 2002 (Volume 67, Number 111)]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of Refugee Resettlement
[CFDA Number 93.576]
Discretionary Funds for Projects To Establish Individual
Development Account Programs for Refugees
AGENCY: Office of Refugee Resettlement (ORR), Administration for
Children and Families (ACF), Department of Health and Human Services
ACTION: Notice of availability of FY 2002 discretionary social service
funds to public and private, non-profit agencies for projects to
establish and manage Individual Development Account (IDA) programs for
SUMMARY: The Office of Refugee Resettlement invites eligible entities
to submit competitive grant applications for projects to establish and
manage Individual Development Accounts (IDAs) for low-income refugee
\1\ participants. Eligible refugee participants who enroll in these
projects will open and contribute systematically to IDAs for specified
Savings Goals, including home ownership, business capitalization, and
postsecondary education. Grantees may use ORR funds to provide matches
for the savings in the IDAs up to $2,000 per individual refugee and
$4,000 per refugee household. Applications will be screened and
evaluated as indicated in this program announcement. Awards will be
contingent on the outcome of the competition and the availability of
\1\ Eligibility for refugee social servcies includes: (1)
Refugees; (2) asylees; (3) Cuban and Haitian entrants under section
501 of the Refugee Education Assistance Act of 1980 (Pub. L. 96-
422); (4) 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); (5)
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); and (6) victims of a severe
form of trafficking (see 45 CFR 400.43 and ORR State Letter on
trafficking victims). For convenience, the term ``refugee'' is used
in this notice to encompass all such eligible persons.
DATES: The closing date for submission of applications is July 10,
2002. See Part IV of this announcement for more information on
ADDRESSES: Announcement Availability: The program announcement and the
application materials are available on the ORR website at
FOR FURTHER INFORMATION CONTACT: Henley Portner, Program Specialist,
Division of Community Resettlement (DCR), ORR, Administration for
Children and Families (ACF), (202) 401-5363; Fax: (202) 401-0981; E-
SUPPLEMENTARY INFORMATION: This program announcement consists of four
Part I: Background--program purpose, program objectives, legislative
authority, funding availability, definition of terms
Part II: Project and Applicant Eligibility--funding priorities,
preferences, eligible applicants, project and budget periods, multiple
applications, treatment of program income
Part III: The Review Process--intergovernmental review, initial ACF
screening, evaluation criteria and competitive review
Part IV: The Application--application materials, application
development, application submission
Paperwork Reduction Act of 1995 (Public Law 104-13): Public
reporting burden for this collection of information is estimated to
average four hours per response, including the time for reviewing
instructions, gathering and maintaining the data needed, and reviewing
the collection of information. The following information collection is
included in the program announcement: OMB Approval No. 0970-0139, ACF
UNIFORM PROJECT DESCRIPTION (UPD), which expires 12/31/2003. 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
Part I. Background
Program Purpose and Objectives: The Office of Refugee Resettlement
invites qualified entities to submit competing grant applications for
new projects that will establish, support, and manage Individual
Development Accounts (IDAs) for eligible low-income refugee individuals
and families. The Refugee IDA Program represents an anti-poverty
strategy built on asset accumulation for low-income refugee individuals
and families with the goal of promoting refugee economic independence.
In particular, the objectives of this program are to: Increase the
ability of low-income refugees to save; promote their participation in
the financial institutions of this country; assist refugees in
advancing their education; Increase home ownership; and assist refugees
in gaining access to capital. These new projects will accomplish these
objectives by establishing programs that combine the provision of
matched savings accounts with financial training and counseling.
Eligibility for this program is limited to refugees:
Who have earned income and whose household earned income
at time of enrollment does not exceed 200 percent of the federal
poverty level; and
Whose assets at time of enrollment do not exceed $10,000,
excluding the value of a primary residence.
A copy of the HHS Poverty Guidelines is attached to this
announcement. The Poverty Guidelines may also be found at http://
Grantees, in partnership with qualified financial institutions,
will create Individual Development Accounts for refugee participants.
Refugee participants will systematically contribute to the IDAs out of
earned income to purchase specified Savings Goals. Grantees may include
any or all of the following Savings Goals in their IDA program:
Home Purchase or Renovation;
Postsecondary Education, Vocational Training, or
Purchase of an Automobile;
Purchase of a Computer.
Additional information on these Savings Goals is provided in the
Definition of Terms section of this announcement.
ORR encourages applicants to include in their applications a plan
for developing commitments of additional public or private funds for
matching IDA deposits, operational overhead, or training. If additional
funds have been secured, documentation should be provided in the
application in writing, executed with the entity providing the non-ORR
contribution, on letterhead of the entity, and signed by a person
authorized to make a commitment on behalf of the entity.
The grantee will establish a ``Savings Plan Agreement'' with each
refugee participant. The Savings Plan Agreement should include:
(1) A proposed schedule of savings deposits by the participant;
(2) The rate at which the participant's savings will be matched;
(3) The Savings Goal(s) for which the account is maintained;
(4) Any training or counseling which the participant agrees to
(5) Agreement that the participant will not withdraw funds except
for the specified Savings Goal or for an emergency and only after
notification to the grantee; and
(6) Statement by the participant that the participant is not
participating, and has not participated, in any other ORR-funded IDA
(7) A procedure for amending the Agreement.
Applicants under this grant announcement may propose additional
provisions to be included in Savings Plan Agreements.
The IDA contains only the refugee participant's deposits and
interest earned on those deposits. The grantee will create a parallel
account (or parallel accounts), separate from the participants' IDAs,
in a qualified financial institution, in which all matching ORR grant
funds will be deposited and maintained on behalf of the refugee
participants. Drawdown of the ORR grant funds and deposit of those
funds into the parallel account(s) will be permitted no earlier than
the time of the refugee's deposit to the IDA. Grantees must draw down
ORR funds for matching IDA deposits within three months of the date
that the refugee participant makes the deposit.
ORR funds may be used at a matching rate no greater than one-to-one
for each dollar deposited in the IDA by the refugee participant.
Grantees may choose to vary the amount of the match by type of Savings
Goal and/or by income level of the refugee participants. Over the
course of the three-year project period, not more than $2,000 in ORR
grant funds may be provided through matching contributions to any one
refugee individual and not more than $4,000 may be provided to any one
refugee household. When the refugee purchases the Savings Goal, the
grantee must use vendor payments for the matching funds.
The interest that accrues on the ORR matching funds deposited in
the parallel account must be credited to the IDAs of the refugee
participants. The interest that is credited to the refugee participants
is not subject to the $2,000/$4,000 limits. The interest on the match
funds in the parallel account may not be retained by the grantee for
any purpose, including program administration, participant support
services, or program data collection.
ORR strongly encourages applicants to incorporate in these projects
financial training for the refugee participants. The training may be
provided directly by the grantee or the grantee may choose to provide
the training through subgrantees or other providers. The training
provided by a grantee should reflect both the refugee population and
the Savings Goals to be included in the program. Such training could
include budgeting, cash management, savings, investment, and credit
counseling. Specialized training and technical assistance should be
provided for refugee participants for each Savings Goal provided
through the program.
Under these projects, grantees should schedule their account
activities so that all IDA accounts reach their maximum savings, and
refugee participants have purchased their Savings Goal, within the
three-year project period.
Legislative Authority: Section 412(c)(1)(A) of the Immigration and
Nationality Act 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 skills which
are necessary for economic self-sufficiency, including projects for job
training, employment services, day care, professional refresher
training, and other recertification services; (ii) to provide training
in English where necessary (regardless of whether the refugees are
employed or receiving cash or other assistance); and (iii) to provide
where specific needs have been shown and recognized by the Director,
health (including mental health) services, social services, educational
and other services.''
Funding Availability: ORR expects to award approximately $2.5
million in FY 2002 funds for the Refugee IDA Program among
approximately six to twelve grantees. Grants are expected to range from
$200,000 to $400,000. Approximately 75-80 percent of the ORR grant
funds should be designated for the purpose of providing matches for the
refugee IDA accounts. The remaining 20-25 percent of ORR funds may be
used for the administrative and operational costs of the project and
for financial training, counseling, and technical assistance.
The Director reserves the right to award more or less than the
funds described in the absence of worthy applications or such other
circumstances as may be deemed to be in the best interest of the
government. Applicants may be required to reduce the scope of selected
projects based on the amount of the approved grant award.
Definition of Terms: Individual Development Accounts (IDAs) are
leveraged, or matched, savings accounts. IDAs are established in
insured accounts in qualified financial institutions. The funds are
intended for the Savings Goals specified in this announcement. Although
the refugee participant maintains control of all funds that the
participant deposits in the IDA, including all interest that may accrue
on the funds, the participant must sign a Savings Plan Agreement with
the grantee that specifies that the funds in the account will be used
only for the participant's Savings Goal or for an emergency withdrawal.
A signed Savings Plan Agreement is required for the refugee participant
to be eligible for matching funds.
The Savings Goals, as specified below, are the purchases/
investments for which the matching funds, and the interest on matching
funds, are available when used in conjunction with the savings from the
IDAs of refugee participants. The Savings Goal specified by a
participant in the Savings Plan Agreement may be for the benefit of the
refugee participant or of a refugee dependent of the refugee
participant. Savings Goals are defined as follows:
Home Ownership: includes costs of a principal residence
including the down payment and closing costs when purchasing a home;
also renovation costs of a newly purchased home or of an existing
primary residence. In the case of acquisition, the purchaser must be a
first-time home buyer.
Microenterprise Capitalization: means costs for a start-up
micro-business described in a qualified business plan, such as capital,
plant, equipment, working capital, and inventory expenses. The business
plan must be approved by a financial institution, a microenterprise
development organization, or a non-profit loan fund. The plan must also
describe services or goods to be sold and include a marketing plan and
projected financial statements.
Postsecondary Education, Vocational Training, and
Recertification: Tuition or fees, professional recertification fees,
books, supplies, and equipment related to the enrollment or attendance
of a refugee student at an educational institution.
Purchase of an Automobile: if necessary for the purpose of
maintaining or upgrading employment or for the purpose of
transportation for postsecondary education, vocational training, or
Purchase of a Computer: including hardware and software,
to support a refugee student's enrollment in an educational,
vocational, or recertification institution or for a microenterprise.
Qualified financial institution means a Federally insured bank or
credit union or a State-insured bank or credit union if no Federally
insured bank or credit union is available.
A parallel account is an insured account (or accounts) opened by
the grantee in a qualified financial institution for the purpose of
depositing the matching funds for the savings deposited by refugee
participants in their individual IDAs. Interest earned on the matching
funds must remain in the parallel account and be credited to the
refugee participants. Both the matching funds and the interest earned
on those funds must be made available to the refugee participant at the
time that the participant purchases the Savings Goal. The matching
funds and the interest on the matching funds in the parallel account
are not available to the refugee participant except for the Savings
Goals defined in this announcement.
An emergency withdrawal is a withdrawal of funds, or a portion of
funds, deposited by the refugee participant in his/her Individual
Development Account. The withdrawal may also include any of the
interest that may have accrued to the participant's savings in the
account. The participant must notify the project grantee of the
withdrawal prior to the withdrawal. Causes for emergency withdrawals
include, but are not limited to, medical expenses, payments to prevent
eviction or foreclosure, or payments for necessary living expenses. If
funds withdrawn for emergency purposes are not repaid within 12 months,
the refugee participant forfeits the match on those funds. Emergency
withdrawals may never be authorized from the parallel account(s).
Part II. Project and Applicant Eligibility
Eligible Applicants: To be eligible for funding under this
announcement, projects must meet the following requirements. Eligible
applicants for these funds include public and private, non-profit
organizations. Faith-based organizations are eligible to apply for
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, or by providing a copy of
the currently valid IRS tax-exempt 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.
Applicants may request funding to administer a refugee IDA project
directly with refugee participants or to act as an intermediary agency
which will administer multiple projects through participating
Applicants must also provide documentation of participation of a
qualified financial institution(s) in the project. This documentation
must be in writing, on letterhead of the financial institution, and
signed by a person authorized to make the commitment on behalf of the
financial institution. The documentation must include a commitment by
the financial institution to establish IDAs for the refugee
participants, to establish a parallel account (or accounts) for the
matching funds, and to provide the grantee with account activity data
on the IDAs and the parallel account(s) in a timely manner.
Project and Budget Periods: This announcement invites applications
for project periods of up to three years. Awards, on a competitive
basis, will be for a one-year budget period. Applications for
continuation grants funded under these awards beyond the first 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
Part III: The Review Process
A. 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.
The following jurisdictions have elected not to participate in the
Executive Order process. Applicants from these jurisdictions need take
no action in regard to E.O. 12372: Alabama, Alaska, American Samoa,
Arizona, Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas,
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New
York, Ohio, Oklahoma, Oregon, Palau, Pennsylvania, South Dakota,
Tennessee, Vermont, Virginia, Washington, and Wyoming.
Although the jurisdictions listed above no longer participate in
the process, entities which have met the eligibility criteria of the
program may still apply for a grant even if a State, Territory,
Commonwealth, etc., does not have a Single Point of Contact (SPOC). All
remaining jurisdictions participate in the Executive Order process and
have established SPOCs. Applicants from participating jurisdictions
should contact their SPOCs as soon as possible to alert them of the
prospective applications and receive 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. The applicant must submit all required materials, if
any, to the SPOC and indicate the date of this submittal (or the date
of contact if no submittal is required) on the Standard Form 424, item
16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to differentiate clearly between mere advisory comments and
those official State process recommendations, which may trigger the
``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Office of Grants Management, Attention:
Daphne Weeden, Grants Officer, 370 L'Enfant Promenade, SW., Fourth
Floor West, Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included with the application materials for this program
B. 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.
C. Competitive Review and Evaluation Criteria--Listed According to UPD
Applications that pass the initial ACF screening will be evaluated
and rated by an independent review panel on the
basis of specific evaluation criteria. 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. Proposed projects will be reviewed using the
following evaluation criteria:
1. Objectives and Need for Assistance. The application identifies
the refugee population to be assisted by this project and describes the
need for assistance of this population. Indicators of the need for
assistance include low rates of home ownership, education, access to
capital, and use of financial institutions and high rates of reliance
on public assistance and of incomes below 200 percent of the Federal
poverty level. (15 points)
2. Approach. The application provides a clear explanation of a
feasible, appropriate, and complete plan for establishing and managing
IDAs for the refugee participants and, to the extent possible, for
leveraging additional non-Federal financial matching resources. The
plan clearly describes the structure, uses, requirements, and
management of the IDAs and includes procedures for managing the
parallel account(s), ensuring that interest on the matches is credited
to refugee participants, and providing financial training appropriate
to the refugee population and to the Savings Goals included in the
project. (25 points)
3. Organizational Profiles. Applicant organization and staff and
partner organizations have demonstrated capability to implement and
manage new programs and to recruit and work with the refugee
population. The applicant has developed a partnership with a financial
institution(s) to implement the IDAs. (25 points)
4. Results or Benefits Expected. The outcomes and benefits proposed
are reasonable and reflect the objectives of this announcement. The
methodology proposed for collecting outcome data is reasonable. (20
5. Budget and Budget Justification. The budget is reasonable and
clearly justified. The methodologies for estimating the number of
refugee participants and amount of matching funds are reasonable. (15
Part IV. The Application
A. Application Development
In order to be considered for a grant under this program
announcement, an application must be submitted on the Standard Form 424
and in the manner prescribed by ACF. Application materials including
forms and instructions are available from the contact named under the
FOR FURTHER INFORMATION, CONTACT section in the preamble of this
General Guidelines for Preparing a Project Description
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. Please do not include books or
videotapes as they are not easily reproduced and are, therefore,
inaccessible to reviewers.
Pages should be numbered and a table of contents should be included
for easy reference.
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 announcement.
Results or Benefits Expected
Identify the results and benefits to be derived. For example, ORR
is particularly interested in the projected outcomes for the refugee
participants, including the number of IDAs established, the amount of
savings by refugee participants, the number and size of withdrawals for
each of the Savings Goals, and the impact of the purchase of the
Savings Goal on the refugee participant's movement toward self-
Outline a plan of action that 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 that 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
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.
Describe the precise location of the project and boundaries of the
area to be served by the proposed project. Maps or other graphic aids
may be attached.
Following are requests for additional information that need to be
included in the application:
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 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.
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 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.
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
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 that supports
the amount requested.
Description: Costs of all contracts for services and goods except
for those that 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
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, professional services costs, space and equipment
rentals, printing and publication, computer use, training costs,
such as truition and stipends, staff development costs, and
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 allowed.
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.
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
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 certification regarding
lobbying when applying for an award in excess of $100,000. Applicants
must sign and return the certification with their applications.
Applicants must disclose lobbying activities on the Standard Form LLL
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 sign and return the
disclosure form, if applicable, with their applications.
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 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
B. Application Submission
1. Mailed applications postmarked after the closing date will be
classified as late.
2. Deadline. 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., 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 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, ACF Mailroom, Second Floor
(near loading dock), Aerospace Center, 901 D Street, SW., Washington,
DC 20024, between Monday and Friday (excluding Federal holidays). The
address must appear on the envelope/package containing the application
the note ``Attention: Daphne Weeden, Grants Officer.'' 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.
3. 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
4. Extension of deadlines. ACF may extend an application deadline
when circumstances such as acts of God (floods, hurricanes, etc.)
occur, or when there is widespread disruption of the mail service, or
in other rare cases. Determinations to extend or waive deadline
requirements rest with ACF's Chief Grants Management Officer.
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.
Applicable U.S. Department of Health and Human Services regulations
can be found in 45 CFR Part 74 or 92.
Grantees under this program announcement will be required to
provide quarterly program narrative reports, describing outcomes and
activities under the grant. Grantees will also be required to submit
semi-annual financial reports using the Financial Status Report (SF-
269). A final financial and narrative report shall be due 90 days after
the end of the project period (i.e., after the final budget period).
Dated: May 24, 2002.
Nguyen Van Hanh,
Director, Office of Refugee Resettlement.
[FR Doc. 02-14465 Filed 6-7-02; 8:45 am]
BILLING CODE 4184-01-P
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