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

[Federal Register: June 10, 2002 (Volume 67, Number 111)]
[Page 39731-39737]
From the Federal Register Online via GPO Access []



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 
submitting applications.

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-
mail: HPortner@ACF.HHS.GOV.

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 
control number.

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 
 Microenterprise Capitalization;
 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;

[[Page 39732]]

    (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.

[[Page 39733]]

    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 
these grants.
    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 
community-based organizations.
    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 
the Government.

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

[[Page 39734]]

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.

General Instructions

    ACF is particularly interested in specific factual information and 
statements of measurable goals in quantitative terms. Project 
descriptions are evaluated on the basis of substance, not length. 
Extensive exhibits are not required. Cross-referencing should be used 
rather than repetition. Supporting information concerning activities 
that will not be directly funded by the grant or information that does 
not directly pertain to an integral part of the grant-funded activity 
should be placed in an appendix. 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.

Part II--Introduction

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

Project Summary/Abstract

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

Objectives and Need for Assistance

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

Results or Benefits Expected

    Identify the results and benefits to be derived. 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

[[Page 39735]]

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.

Geographic Location

    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.

Additional Information

    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.

Organizational Profiles

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

Third-Party Agreements

    Include written agreements between grantees and subgrantees or 
subcontractors or other cooperating entities. These agreements must 
detail scope of work to be performed, work schedules, remuneration, and 
other terms and conditions that structure or define the relationship.

Letters of Support

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

Budget and Budget Justification

    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.


    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.

Fringe Benefits

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


    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 
equipment definition.

[[Page 39736]]


    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 
estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions, professional services costs, space and equipment 
rentals, printing and publication, computer use, training costs, 
such as truition and stipends, staff development costs, and 
administrative costs.

    Justification: Provide computations, a narrative description, and a 
justification for each cost under this category.

Indirect Charges

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

Program Income

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

Nonfederal Resources

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

Total Direct Charges, Total Indirect Charges, Total Project Costs

    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 

[[Page 39737]]

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

    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 Regulations

    Applicable U.S. Department of Health and Human Services regulations 
can be found in 45 CFR Part 74 or 92.

Reporting Requirements

    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]