[Federal Register: September 10, 2002 (Volume 67, Number 175)]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Refugee Resettlement Program; Final Notice of Availability of
Formula Allocation Funding for FY 2002 Targeted Assistance Grants for
Services to Refugees in Local Areas of High Need
AGENCY: Office of Refugee Resettlement (ORR), ACF, HHS.
ACTION: Final notice of availability of formula allocation funding for
FY 2002 targeted assistance grants to States for services to refugees
\1\ in local areas of high need.
\1\ Eligibility for targeted assistance includes refugees,
asylees, Cuban and Haitian entrants, certain Amerasians from Vietnam
who are admitted to the U.S. as immigrants, certain Amerasians from
Vietnam who are U.S. citizens, and victims of a severe form of
trafficking who receive certification or eligibility letters from
ORR. (See section II of this notice on ``Authorization,'' and refer
to 45 CFR 400.43 and the ORR State Letter 01-13 on the
Trafficking Victims Protection Act dated May 3, 2001.) The term
``refugee,'' used in this notice for convenience, is intended to
encompass such additional persons who are eligible to participate in
refugee program services, including the targeted assistance program.
SUMMARY: This notice announces the availability of funds and award
procedures for FY 2002 targeted assistance grants for services to
refugees under the Refugee Resettlement Program (RRP). The purpose of
these grants is to provide services in localities with large refugee
populations, high refugee concentrations, and high use of public
assistance by refugees, and where specific needs exist for
supplementation of currently available resources.
The final notice reflects adjustments in final allocations to
States as a result of additional arrival data. A notice of proposed
allocations of targeted assistance funds was published for public
comment in the Federal Register on May 28, 2002 (67 FR 36905).
DATES: The closing date for submission of applications is October 10,
2002. Refer to the section of this notice entitled Additional
Information for more information on submitting applications. For more
information on application procedures, States should contact their ORR
ADDRESSES: Address applications, in duplicate, to: Ms. Gayle Smith,
Office of Refugee Resettlement, Administration for Children and
Families, 370 L'Enfant Promenade, SW., Washington, DC 20447. In order
to be considered timely, applications must be received in ORR by
October 10, 2002.
Catalog of Federal Domestic Assistance (CFDA) Number: 93.584.
FOR FURTHER INFORMATION CONTACT: Gayle Smith, Director, Division of
Refugee Self-Sufficiency, (202) 205-3590, e-mail: firstname.lastname@example.org.
I. Purpose and Scope
This notice announces the availability of funds for grants for
targeted assistance for services to refugees in counties where, because
of factors such as unusually large refugee populations, high refugee
concentrations, and high use of public assistance by refugees, there
exists and can be demonstrated a specific need for supplementation of
resources for services to this population.
The Office of Refugee Resettlement (ORR) has available $49,477,000
in FY 2002 funds for the targeted assistance program (TAP) as part of
the FY 2002 appropriation for the Department of Health and Human
Services (Pub. L. 107-116).
The Director of the Office of Refugee Resettlement (ORR) will use
the $49,477,000 in targeted assistance funds as follows:
[sbull] $44,529,300 will be allocated to States under the 5-year
population formula, as set forth in this notice.
[sbull] $4,947,700 (10% of the total) will be used to award
discretionary grants to States under continuation grant awards.
The purpose of targeted assistance grants is to provide, through a
process of local planning and implementation, direct services that
would result in the economic self-sufficiency and reduced welfare
dependency of refugees through job placements.
The requirements of the targeted assistance program are contained
in section 412(c)(2)(B) of the Immigration and Nationality Act (INA),
which provides that targeted assistance grants shall be made available
``(i) primarily for the purpose of facilitating refugee employment and
achievement of self-sufficiency, (ii) in a manner that does not
supplant other refugee program funds and that assures that not less
than 95 percent of the amount of the grant award is made available to
the county or other local entity.''
Targeted assistance projects are funded under the authority of: (1)
Section 412(c)(2) of the (INA), as amended by the Refugee Assistance
Extension Act of 1986 (Pub. L. 99-605), 8 U.S.C. 1522(c); (2) section
501(a) of the Refugee Education Assistance Act of 1980 (Pub. L. 96-
422), 8 U.S.C. 1522 note, insofar as it incorporates by reference with
respect to Cuban and Haitian entrants the authorities pertaining to
assistance for refugees established by section 412(c)(2) of the INA, as
cited above; (3) section 584(c) of the Foreign Operations, Export
Financing, and Related Programs Appropriations Act, 1988, as included
in the FY 1988 Continuing Resolution (Pub. L. 100-202), insofar as it
incorporates by reference with respect to certain Amerasians from
Vietnam the authorities pertaining to assistance for refugees
established by section 412(c)(2) of the INA, as cited above, including
certain Amerasians from Vietnam who are U.S. citizens, as provided
under title II of the Foreign Operations, Export Financing, and Related
Programs Appropriations Acts, 1989 (Pub. L. 100-461), 1990 (Pub. L.
101-167), and 1991 (Pub. L. 101-513); and (4) section 107(b)(1)(A) of
the Victims of Trafficking and Violence Protection Act of 2000 (Pub. L.
106-386), insofar as it states that a victim of a severe form of
trafficking shall be eligible for federal and certain State benefits
and services to the same extent as a refugee.
III. Client and Service Priorities
Targeted assistance funding must be used to assist refugee families
to achieve economic independence. To this end, States and counties are
required to ensure that a coherent family self-sufficiency plan is
developed for each eligible family that addresses the family's needs
from time of arrival until attainment of economic independence. (See 45
CFR 400.79 and 400.156(g).) Each family self-sufficiency plan should
address a family's needs for both employment-related services and other
needed social services. The family self-sufficiency plan must include:
(1) A determination of the income level a family would have to earn to
exceed its cash grant and move into self-support without suffering a
monetary penalty; (2) a strategy and timetable for obtaining that level
of family income through the placement in employment of sufficient
numbers of employable family members at sufficient wage levels; (3)
employability plans for every employable member of the family; and (4)
a plan to address the family's social services needs that may be
barriers to self-sufficiency. In local jurisdictions that have both
targeted assistance and refugee social services programs, one family
self-sufficiency plan may be developed for a family that incorporates
both targeted assistance and refugee social services.
Services funded through the targeted assistance program are
required to focus primarily on those refugees who, either because of
their protracted use of public assistance or difficulty in securing
employment, continue to need services beyond the initial years of
resettlement. However, States may not provide services funded under
this notice, except for referral and interpreter services, to refugees
who have been in the United States for more than 60 months (5 years).
In accordance with 45 CFR 400.314, States are required to provide
targeted assistance services to refugees in the following order of
priority, except in certain individual extreme circumstances: (a)
Refugees who are cash assistance recipients, particularly long-term
recipients; (b) unemployed refugees who are not receiving cash
assistance; and (c) employed refugees in need of services to retain
employment or to attain economic independence.
In addition to the statutory requirement that TAP funds be used
``primarily for the purpose of facilitating refugee employment''
(section 412(c)(2)(B)(i) of the INA), funds awarded under this program
are intended to help fulfill the congressional intent that ``employable
refugees should be placed in jobs as soon as possible after their
arrival in the United States'' (section 412(a)(1)(B)(i) of the INA).
Therefore, in accordance with 45 CFR 400.313, targeted assistance funds
must be used primarily for employability services designed to enable
refugees to obtain jobs with less than one year's participation in the
targeted assistance program in order to achieve economic self-
sufficiency as soon as possible. Targeted assistance services may
continue to be provided after a refugee has entered a job to help the
refugee retain employment or move to a better job. Targeted assistance
funds may not be used for long-term training programs such as
vocational training that last for more than a year or educational
programs that are not intended to lead to employment within a year.
In accordance with 45 CFR 400.317, if targeted assistance funds are
used for the provision of English language training, such training must
be provided in a concurrent, rather than sequential, time period with
employment or with other employment-related activities.
Reflecting section 412(a)(1)(A)(iv) of the INA, States must
``insure that women have the same opportunities as
men to participate in training and instruction.'' In addition, in
accordance with 45 CFR 400.317, services must be provided to the
maximum extent feasible in a manner that includes the use of bilingual/
bicultural women on service agency staffs to ensure adequate service
access by refugee women. The Director of ORR also strongly encourages
the inclusion of refugee women in management and board positions in
agencies that serve refugees. In order to facilitate refugee self-
support, the Director also encourages States to implement strategies
which address simultaneously the employment potential of both male and
female wage earners in a family unit.
States and counties are expected to make every effort to obtain
child care services, preferably subsidized child care, in order to
allow caretaker family members the opportunity to participate in
employment services or to accept or retain employment. To accomplish
this, child care may be treated as an employment-related service under
the targeted assistance program. Refugees who are participating in
targeted assistance-funded or social services-funded employment
services or have accepted employment are eligible for child care.
States and counties are expected to use child care funding from other
publicly-administered programs as a prior resource and are encouraged
to work with service providers to ensure mainstream access to other
publicly funded resources for child care. For an employed refugee,
targeted assistance-funded child care should be limited to situations
in which no other publicly funded child care funding is available. In
these cases, child care services funded by targeted assistance should
be limited to one year after the refugee becomes employed.
In accordance with 45 CFR 400.317, targeted assistance services
must be provided in a manner that is culturally and linguistically
compatible with a refugee's language and cultural background, to the
maximum extent feasible. In light of the increasingly diverse
population of refugees who are resettling in this country, refugee
service agencies will need to develop practical ways of providing
culturally and linguistically appropriate services to a changing ethnic
population. Services funded under this notice must be refugee-specific
services which are designed specifically to meet refugee needs and are
in keeping with the rules and objectives of the refugee program.
Vocational or job-skills training, on-the-job training, or English
language training, however, need not be refugee-specific.
We strongly encourage States and counties when contracting for
targeted assistance services, including employment services, to give
consideration to the special strengths of mutual assistance
associations (MAAs), whenever contract bidders are otherwise equally
qualified, provided that the MAA has the capability to deliver
services. We also strongly encourage MAAs to ensure that their
management and board composition reflect the major target populations
to be served.
ORR defines MAAs as organizations with the following
a. The organization is legally incorporated as a nonprofit
b. Not less than 51% of the composition of the Board of Directors
or governing board of the mutual assistance association is comprised of
refugees or former refugees, including both refugee men and women.
Finally, in order to provide culturally and linguistically
compatible services in as cost-efficient a manner as possible in a time
of limited resources, ORR strongly encourages States and counties to
promote and give special consideration to the provision of services
through coalitions of refugee service organizations, such as coalitions
of MAAs, voluntary resettlement agencies, or a variety of service
providers. ORR believes it is essential for refugee-serving
organizations to form close partnerships in the provision of services
to refugees in order to be able to respond adequately to a changing
refugee picture. Coalition-building and consolidation of providers is
particularly important in communities with multiple service providers
in order to ensure better coordination of services and maximum use of
funding for services by minimizing the funds used for multiple
administrative overhead costs.
The award of funds to States under this notice will be contingent
upon the completeness of a State's application as described in the
section entitled Additional Information, below.
IV. Discussion of Comments Received
Four letters of comment were received by the deadline in response
to the notice of proposed availability of FY 2002 funds for targeted
assistance. These comments are summarized below and in each case are
followed by the Department's response. Two letters of comment were
received after the published deadline and will not be considered.
Comment: Three commenters expressed concern that their counties no
longer qualified for targeted assistance under the formula and
Response: In the notice of proposed allocations, we stated that if
a county does not agree with ORR's population estimate for refugees and
entrants or wishes to submit data on asylees or victims of a severe
form of trafficking who have been served by the county, the county must
submit evidence to ORR by June 27, 2002, in the form of specified data
elements published in the proposed notice. We also indicated that
failure to submit the required documentation within the specified time
frame would result in forfeiture of consideration.
One of these three commenters submitted data as well as written
comments in response to the proposed notice . Those data have been
reviewed and were found to pertain to secondary migrants. As we have
noted in previous years, we are not able to include secondary migrants
in the population formula for targeted assistance because secondary
migration data are not available at the county level.
States report on secondary migration annually on the ORR-11. This
reporting is based on the first three digits of the social security
number (SSN). These digits identify the State in which the SSN was
issued, which, with a few exceptions, is the State of initial
resettlement. This information allows ORR to both credit the State of
in-migration and debit the State of out-migration in developing State
population estimates. Most States and counties are not able to provide
county-level secondary migration data. We cannot use secondary
migration data for one county alone. It would be necessary to collect
and determine both in-migration and out-migration for approximately
1,000 counties during the qualification process in order to arrive at
accurate adjusted county population estimates.
ORR understands that discontinuance of funding in counties that no
longer qualify will have an effect on the services in those counties.
Every three years, the targeted assistance qualification process
attempts to direct targeted assistance funds to those counties that are
the most-impacted by recent refugee arrivals. Counties losing targeted
assistance formula funds may wish to apply for ORR targeted assistance
discretionary funds through their States at the next available
ORR does not plan to consider the eligibility of additional
counties for targeted assistance formula funds until FY 2005, when ORR
will again review data on all counties that could
potentially qualify for targeted assistance based on the published
Comment: One commenter questioned whether Havana Parolee numbers
included in the formula are accurate and represent Havana parolees who
migrate north after a short stay in Florida. The same commenter also
asked whether asylee numbers are included in the formula.
Response: For fiscal years 1999-2001, Havana parolee numbers
included in the formula were derived from actual data. For fiscal years
1997-1998, INS provided the number of actual Havana parolees. Please
refer to the response above for the discussion of secondary migration
as it relates to targeted assistance. In regard to asylees, the
proposed notice stated that counties that served asylees could submit
specific data on each asylee served in order to have their population
estimate adjusted to include those asylees whose asylum was granted
within the 60-month period ending September 30, 2001. All asylee data
received by close of business June 27, 2002 were reviewed for
completeness and complete records were used to adjust arrival data.
Comment: Another commenter requested a redesignation of a Standard
Metropolitan Statistical Area (SMSA) to include one county instead of
three because new refugee arrivals have been concentrated in one of the
three SMSA counties, and refugee centers in the other two counties have
closed previously due to declining new arrivals and time-eligibility
limitations on services for the residual county populations.
Response: ORR examined the distribution of arrivals within the
three-county SMSA and found that the two counties that the commenter
requested to be dropped from the SMSA had small numbers of arrivals
during the 5-year period from FY 1997-FY 2001. There is an advantage to
the State to retain the SMSA as a three-county SMSA, because arrivals
receive double weight in the qualifying process, while concentration
receives single weight, and allocations are made on the basis of
arrivals. The State qualifies for targeted assistance using the SMSA
population and concentration. The State is able to determine how the
targeted assistance funds will be used within the SMSA and may
determine to use the funds in the county with the largest number of
arrivals, as it does currently. The State should include its proposal
for use of funds in its targeted assistance application. Refer to the
section of this notice titled ``BUDGET AND BUDGET JUSTIFICATION,
CRITERIA 1 APPROACH, for required application content
regarding the distribution of funds to various counties within an SMSA.
Comment: A different commenter suggested that ORR's method of
determining impacted counties was unfair because it used the entire
county population to determine impact instead of the population of
impacted cities in which refugees resided within the county.
Response: Regarding the suggestion that ORR determine eligibility
for targeted assistance at the municipality level, ORR is required by
section 412(c)(2)(A) of the INA to make grants to States for assistance
to counties and similar areas. Therefore, we do not consider cities,
townships or municipalities as meeting the intent of section
412(c)(2)(A) of the INA.
V. Eligible Grantees
Eligible grantees are: 1. those agencies of State governments that
are responsible for the refugee program under 45 CFR 400.5 in States
containing counties which qualify for FY 2002 targeted assistance
awards, and 2. those non-State agencies funded under the Wilson-Fish
program which administer, in lieu of a State, a statewide refugee
assistance program containing counties which qualify for FY 2002
targeted assistance formula funds.
The Director of ORR will determine the eligibility of counties for
inclusion in the FY 2002 targeted assistance program on the basis of
the method described in section VI of this notice.
The use of targeted assistance funds for services to Cuban and
Haitian entrants is limited to States which have an approved State plan
under the Cuban/Haitian Entrant Program (CHEP).
The State/Wilson-Fish agency will submit a single application on
behalf of all county governments of the qualified counties in that
State. Subsequent to the approval of the State/Wilson-Fish agency's
application by ORR, local targeted assistance plans will be developed
by the county government or other designated entity and submitted to
the State/Wilson-Fish agency.
A State with more than one qualified county is permitted, but not
required, to determine the allocation amount for each qualified county
within the State. However, if a State chooses to determine county
allocations differently from those set forth in the final notice, in
accordance with 45 CFR 400.319, the FY 2002 allocations proposed by the
State must be based on the State's population of refugees who arrived
in the U.S. during the most recent 5-year period. A State may use
welfare data as an additional factor in the allocation of its targeted
assistance funds if it so chooses; however, a State may not assign a
greater weight to welfare data than it has assigned to population data
in its allocation formula. In addition, if a State chooses to allocate
its FY 2002 targeted assistance funds in a manner different from the
formula set forth in the final notice, the FY 2002 allocations and
methodology proposed by the State must be included in the State's
application for ORR review and approval.
Applications submitted in response to the final notice are not
subject to review by State and area wide clearinghouses under Executive
Order 12372, ``Intergovernmental Review of Federal Programs.''
VI. Qualification and Allocation
For FY 2002, ORR will continue to use the formula that bases
allocation of targeted assistance funds on the most current five-year
refugee/entrant arrival data. Targeted assistance services are limited
to refugees residing in qualified counties who have been in the U.S.
five years or less. The Director of ORR proposes to determine the
qualification of counties for targeted assistance once every three
years, as stated in the FY 1999 notice of proposed availability of
targeted assistance allocations to States which was published in the
Federal Register on March 10, 1999 (64 FR 11927). The FY 1999-FY 2001
three-year project cycle expires 9/30/2002. In preparation for re-
qualifying counties for FY 2002, ORR has reviewed data on all counties
that could potentially qualify for TAP funds on the basis of the most
current five-year refugee/entrant \2\ arrival data.
A. Qualifying Counties
In order to qualify for application for FY 2002 targeted assistance
funds, a county (or group of adjacent counties with the same Standard
Metropolitan Statistical Area, or SMSA) will be required to either: (1)
Rank above a selected cut-off point of jurisdictions for which data
were reviewed, based on two criteria: (a) The number of refugee/entrant
arrivals placed in the county during the most recent five-year period
(FY 1997-FY 2001) and (b) the five-year refugee/entrant arrival
population as a percent of the county overall population, or (2) have
received 3,000 or more refugee/entrant arrivals during this same five-
In regard to the first qualification criteria, each county will be
ranked on the basis of its five-year arrival population and its
concentration of refugees, with a relative weighting of
two to one respectively, because we believe that large numbers of
refugee/entrant arrivals into a county create a significant impact,
regardless of the ratio of refugees to the county general population.
Each county will then be ranked in terms of the sum of a county's
rank on refugee arrivals and its rank on concentration. To qualify for
targeted assistance based on rank, a county will have to rank within
the top 50 counties. In addition, counties that have received at least
3,000 arrivals within the most recent five-year period will also
qualify. The total number of qualifying counties is 53--the original 50
ranked counties plus three additional counties with at least 3,000
arrivals within the most recent five-year period. ORR has limited the
number of qualified counties to 53 in order to cover as many counties
as possible while still targeting a sufficient level of funding to the
most impacted counties.
ORR decided that counties with 3,000 or more arrivals should
qualify for targeted assistance after analyzing the arrival data and
discovering that there were three counties which ranked high in arrival
numbers (37, 28, and 39) but will not qualify for targeted assistance
based solely on the sum of the ranks formula. ORR concluded that these
counties which ranked high nationally in refugee population were
impacted by high numbers of refugee arrivals, and thus should qualify
for Targeted Assistance.
ORR has screened data on all counties that have received awards for
targeted assistance since FY 1983 and on all other counties that could
potentially qualify for TAP funds based on the criteria proposed in
this notice. Analysis of these data indicates that: (1) 44 counties
which have previously received targeted assistance will continue to
qualify; (2) five counties which have previously received targeted
assistance will no longer qualify; and (3) nine new counties will be
Table 1 provides a list of the counties that will remain qualified
and the new counties that will qualify, the number of refugee/entrant
arrivals in those counties within the past five years, the percent that
the five-year arrival population represents of the overall county
population, and each county's rank, based on the qualification formula
Table 2 lists the counties that have previously received targeted
assistance which will no longer qualify, the number of refugee/entrant
arrivals in those counties within the past five years, the percent that
the five-year arrival population represents of the overall county
population, and each county's rank, based on the qualification formula.
The counties listed in this final notice as qualified to apply for
FY 2002 TAP funding will remain qualified for TAP funding through FY
2004. ORR does not plan to consider the eligibility of additional
counties for TAP funding until FY 2005, when ORR will again review data
on all counties that could potentially qualify for TAP funds based on
the criteria contained in this final notice. We believe that a more
frequent redetermination of county qualification for targeted
assistance will not provide qualifying counties a sufficient period of
time within a stable funding climate to adequately address the refugee
impact in their counties, while a less frequent redetermination of
county qualification will pose the risk of not considering new
population impacts in a timely manner.
B. Allocation Formula
Of the funds available for FY 2002 for targeted assistance,
$44,529,300 will be allocated by formula to States for qualified
counties based on the initial placements of refugees, Amerasians,
entrants (including Havana parolees), and Kurdish asylees in these
counties during the five-year period from FY 1997 through FY 2001
(October 1, 1996--September 30, 2001). These data are available in the
ORR refugee data system.
For fiscal years 1999 through 2001, Havana parolees were derived
from actual data. For fiscal years 1997-1998, INS provided the number
of actual Havana parolees. The State of Florida supplied ORR with the
actual number of these parolees which arrived in Florida. The remaining
parolees were not identified with any other State of arrival. To
account for these arrivals, ORR prorated the non-Florida parolee
numbers to qualifying counties in other States based on the counties'
proportion of the five-year entrant population in the U.S.
Table 3 lists the final qualifying counties, the number of refugee
and entrant arrivals in those counties during the five-year period from
October 1, 1996--September 30, 2001, the number of Havana parolee
arrivals in those counties for this five-year period, the sum of the
third, fourth, and fifth columns, and the final amount of each county's
allocation based on its five-year arrival population.
Table 4 provides State totals for final targeted assistance
allocations. Table 5 indicates the areas that each final qualifying
county represents. Tables 1 through 5 follow:
BILLING CODE 4184-01-P
[GRAPHIC] [TIFF OMITTED] TN10SE02.000
[GRAPHIC] [TIFF OMITTED] TN10SE02.001
[GRAPHIC] [TIFF OMITTED] TN10SE02.002
[GRAPHIC] [TIFF OMITTED] TN10SE02.003
[GRAPHIC] [TIFF OMITTED] TN10SE02.004
BILLING CODE 4184-01-M
VIII. Application and Implementation Process
Under the FY 2002 targeted assistance program, States and Wilson/
Fish agencies may apply for and receive grant awards on behalf of
qualified counties in the State. A single allocation will be made to
each State by ORR on the basis of an approved State application. The
State or Wilson/Fish agency will, in turn, receive, review, and
determine the acceptability of individual county targeted assistance
Pursuant to 45 CFR 400.210(b), FY 2002 targeted assistance funds
must be obligated by the State agency no later than one year after the
end of the Federal fiscal year in which the Department awarded the
grant. Funds must be liquidated within two years after the end of the
Federal fiscal year in which the Department awarded the grant. A
State's final financial report on targeted assistance expenditures must
be received no later than 90 days after the end of the two-year
expenditure period. If final reports are not received on time, the
Department will deobligate any unexpended funds, including any
unliquidated obligations, on the basis of the State's last filed
The requirements regarding the discretionary portion of the
targeted assistance program will be addressed under separate
continuation grant awards. Continuation applications for these funds,
therefore, are not subject to provisions contained in this notice but
to other requirements which will be published separately.
IX. Required Assurances
A. Assurance that targeted assistance funds will be used in
accordance with the requirements in 45 CFR Part 400.
B. Assurance that targeted assistance funds will be used primarily
for the provision of services which are designed to enable refugees to
obtain jobs with less than one year's participation in the targeted
assistance program. States must indicate what percentage of FY 2002
targeted assistance formula allocation funds that are used for services
will be allocated for employment services.
C. Assurance that targeted assistance funds will not be used to
offset funding otherwise available to counties or local jurisdictions
from the State agency in its administration of other programs, e.g.
social services, cash and medical assistance.
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
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of activities
accomplished. When accomplishments cannot be quantified by activity or
function, list them in chronological order to show the schedule of
accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
Following are requests for additional information that need to be
included in the application:
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.
Budget and Budget Justification
Criteria 1: Approach
[sbull] If administered locally, the name of the local agency
administering the funds, and the name and telephone number of the
[sbull] The amount of funds to be awarded to the targeted county or
counties. In instances where a State receives targeted assistance
funding for impacted counties contained in a standard metropolitan
statistical area (SMSA), the State must indicate in its application the
proposed allocation plan for the counties contained in the SMSA and the
rationale for the proposed allocations. In instances in which a State
receives targeted assistance funding for impacted counties contained in
an SMSA that includes a county or counties located in a neighboring
State, the State receiving those funds must provide a description of
coordination and planning activities undertaken with the State Refugee
Coordinator of the neighboring State in which the impacted county or
counties are located. These planning and coordination activities should
result in a proposed allocation plan for the equitable distribution of
targeted assistance funds by county based on the distribution of the
eligible population by county within the SMSA. The proposed allocation
plan must be included in the State's application to ORR.
[sbull] Assurance that county targeted assistance plans will
1. A description of the local planning process for determining
targeted assistance priorities and services, taking into consideration
all other ORR-funded services available to the refugee population,
including formula social services.
2. Identification of refugee/entrant populations to be served by
targeted assistance projects, including approximate numbers of clients
to be served, and a description of characteristics and needs of
targeted populations. (As per 45 CFR 400.314)
3. Description of specific strategies and services to meet the
needs of targeted populations.
4. The relationship of targeted assistance services to other
services available to refugees/entrants in the county including formula
allocated ORR social services to States/Wilson-Fish agencies.
5. Analysis of available employment opportunities in the local
community. Examples of acceptable analyses of employment opportunities
might include surveys of employers or potential employers of refugee
clients, surveys of presently effective employment service providers,
and review of studies on employment opportunities/forecasts which will
be appropriate to the refugee populations.
6. Description of the monitoring and oversight responsibilities to
be carried out by the county or qualifying local jurisdiction.
7. Assurance that the local administrative budget will not exceed
15% of the local allocation. Targeted assistance grants are cost-based
awards. Neither a State nor a county is entitled to a certain amount
for administrative costs. Rather, administrative cost requests should
be based on projections of actual needs. All TAP counties will be
allowed to spend up to 15% of their allocation on TAP administrative
costs, as need requires. However, States and counties are strongly
encouraged to limit administrative costs to the extent possible to
maximize available funding for services to refugees.
8. For any State that administers the program directly or otherwise
provides direct service to the refugee/entrant population in a
qualified county (with the concurrence of the county), the State must
have the same information contained in a county plan prior to issuing a
Request for Proposals (RFP) for services. States that administer
programs directly may spend no more than 5% of their total allocation,
and up to 10% of the county's allocation, on administrative costs that
are reasonable, allocable, and necessary.
9. Assurance that the State will make available to the county or
designated local entity not less than 95% of the amount of its formula
allocation for purposes of implementing the activities proposed in its
plan, except in the case of a State that administers the program
locally as described in item H above. Allocable costs for State
contracting and monitoring for targeted assistance, if charged, must be
charged to the targeted assistance grant and not to general State
Criteria 2: Additional Information
[sbull] A description of the State's plan for conducting fiscal and
programmatic monitoring and evaluations of the targeted assistance
program, including frequency of on-site monitoring.
Criteria 3: Objectives and Need for Assistance
Identify the results and benefits to be derived.
All applicants will be required to establish proposed targeted
assistance performance goals for each of the six ORR performance
outcome measures for each impacted county's proposed service
contract(s) or sub-grants for the next contracting cycle. Proposed
performance goals must be included in the application for each
performance measure. The six ORR performance measures are: entered
employments, cash assistance reductions due to employment, cash
assistance terminations due to employment, 90-day employment
retentions, average wage at placement, and entered employments with
available health benefits. Targeted assistance program activity and
progress achieved toward meeting performance outcome goals are to be
reported quarterly on the ORR-6, the ``Quarterly Performance Report.''
States that are currently grantees for targeted assistance funds
should base projected annual outcome goals on past performance. Current
grantees should have adequate baseline data for all of the six ORR
performance outcome measures based on a history of targeted assistance
States identified as new eligible targeted assistance grantees are
also required to set proposed outcome goals for each of the six ORR
performance outcome measures. New grantees may use baseline data, as
available, and current data as reported on the ORR-6 for social
services program activity to assist them in the goal-setting process.
New qualifying counties within States that are current grantees are
also required to set proposed outcome goals for each of the six ORR
performance outcome measures. New counties may use baseline data, as
available, and current data as reported on the ORR-6 for social
services program activity to assist them in the goal-setting process.
Proposed targeted assistance outcome goals should reflect
improvement over past performance and strive for continuous improvement
during the project period from one year to another.
Final targeted assistance outcome goals are due November 15, 2002,
in conjunction with the ORR Government Performance and Results Act
Criteria 4: 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 Office of Refugee
Resettlement is particularly interested in the following:
A line item budget and justification for State administrative costs
limited to a maximum of 5% of the total award to the State. Each total
budget period funding amount requested must be necessary, reasonable,
and allocable to the project. States that administer the program
directly in lieu of the county, through a mutual agreement with the
qualifying county, States that administer programs directly may spend
no more than 5% of their total award, and up to 10% of the county's
allocation, on administrative costs that are reasonable, allocable, and
Forms may be obtained from the ORR Web site at: http://
X. Reporting Requirements
States are required to submit quarterly reports on the outcomes of
the targeted assistance program, using Schedule A and Schedule C of the
ORR-6 Quarterly Performance Report (0970-0036).
XI. The Paperwork Reduction Act of 1995 (Pub. L. 104-13)
All information collections within this program notice are approved
under the following valid OMB control numbers: SF 424 (0348-0043); SF
424A (0348-0044); SF 424B (0348-0040); Disclosure of Lobbying
Activities (0348-0046); Uniform Project Description (0970-0139),
Expiration date 12/31/2003; Financial Status Report (SF-269) (0348-
0039); and ORR Quarterly Performance Report (0970-0036).
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.
Public reporting burden for this collection of information is
estimated to average 10 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection of information.
Dated: August 27, 2002.
Deputy Director, Office of Refugee Resettlement.
[FR Doc. 02-22851 Filed 9-9-02; 8:45 am]
BILLING CODE 4184-01-P
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