[Federal Register: September 24, 2002 (Volume 67, Number 185)]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. CFDA 93.598]
ORR Announcement for Services to Victims of a Severe Form of
AGENCY: Office of Refugee Resettlement (ORR), ACF.
ACTION: Request for applications for projects to increase awareness
about human trafficking and to support services for individuals
determined to be victims of a severe form of trafficking.
SUMMARY: This ORR announcement invites submission of grant applications
for funding, on a competitive basis, for Local/Community Outreach and/
or Services for Victims of a Severe Form of Trafficking.
DATES: The closing date for receipt of applications is (4:30 p.m.
Eastern Time Zone) November 1, 2002. Please note that all applications
must be received (as opposed to postmarked) in ACF by this date or they
will be considered late. Delays caused by express mailing companies are
not the responsibility of ACF and negatively affected applications will
be considered late. Mailed and hand-carried applications received after
the 4:30 p.m. (Eastern Time Zone) deadline on the closing date will be
classified as late.
Announcement Availability: The program announcement and the
application materials are available from Jay Womack and Neil Kromash,
Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade SW,
Washington, DC 20447 and from the ORR Web site at: www.acf.hhs.gov/
FOR FURTHER INFORMATION CONTACT: For all categories, contact Jay
Womack, (202) 401-5525, email@example.com or Neil Kromash, (202) 401-
SUPPLEMENTARY INFORMATION: This program announcement consists of four
Part I: Background, legislative authority, funding availability,
CFDA Number, eligible applicants, project and budget periods,
program purpose and objectives, allowable activities, non-allowable
activities, and review criteria.
Part II: The Review Process--intergovernmental review, initial
ACF screening, and competitive review and evaluation criteria.
Part III: The Application--application forms, application
submission and deadlines, certifications, assurances, and disclosure
required for non-construction programs,
general instructions for preparing a full project description, and
length of application.
Part IV: Post-award--applicable regulations, treatment of
program income, and reporting requirements.
Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting
burden for this collection of information is estimated to average 16
hours per response, including the time for reviewing instructions,
gathering and maintaining the data needed, and reviewing the collection
of information. The following information collection is included in the
program announcement: OMB Approval No. 0970-0139, ACF UNIFORM PROJECT
DESCRIPTION (UPD) attached as Appendix A, which expires 12/30/03. An
agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number.
Part I: Background
Since 1994, ORR has provided assistance for social services to meet
the needs of newly arriving refugees through a standing announcement.
In May 2001, ORR modified that announcement to include services to
victims of a severe form of trafficking. However, in February 2002, ORR
further modified Category 3 of the existing standing announcement by
removing services to victims of a severe form of trafficking in order
to proceed with a new and separate announcement specifically aimed at
promoting awareness about human trafficking and addressing the service
needs of victims of a severe form of trafficking. That notice of
modification was published in the Federal Register on February 8, 2002
(67 FR 6048).
On May 24, 2002, ORR published an announcement in the Federal
Register (67 FR 36622) to request applications to provide local/
community outreach and/or services to victims of a severe form of
trafficking. Due to the positive response from that grant announcement,
ORR has decided to provide additional funding in Fiscal Year 2003.
Though the May 24, 2002 announcement was for multiple categories of
funding, this new announcement is only requesting applications to
provide local/community outreach and/or services to victims of a severe
form of trafficking.
These grants are authorized by three provisions of law: section
107(b)(1)(B) of the Trafficking Victims Protection Act of 2000
(TVPA)(22 U.S.C. 7105(b)(1)(B)); section 412(c)(1)(A) of the
Immigration and Nationality Act (INA)(8 U.S.C. 1522(c)(1)(A)), as
amended; and section 106(b) of the TVPA.
Section 107(b)(1)(B) of the TVPA, Public Law 106-386, Division A,
114 Stat. 1464 (2000), provides that ``Federal agencies shall expand
benefits and services to victims of severe forms of trafficking in
persons in the United States, without regard to the immigration status
of such victims.'' Individuals who are determined to be victims of a
severe form of trafficking will be issued a certification letter (for
adults) or eligibility letter (for minors under the age of 18) from the
U.S. Department of Health and Human Services (HHS). In conducting a
benefits eligibility determination for a victim of a severe form of
trafficking, benefit-granting agencies should accept the HHS
certification letter or HHS eligibility letter for minors in lieu of
documentation from the Immigration and Naturalization Service and as
proof of a status that confers eligibility for benefits.
Section 412(c)(1)(A) of the INA authorizes the Director ``to make
grants to, and enter into contracts with, public or private nonprofit
agencies for projects specifically designed--(i) To assist refugees in
obtaining the skills which are necessary for economic self-sufficiency,
including projects for job training, employment services, day care,
professional refresher training, and other re-certification services;
(ii) to provide training in English where necessary (regardless of
whether the refugees are employed or receiving cash or other
assistance); and (iii) to provide where specific needs have been shown
and recognized by the Director, health (including mental health)
services, social services, educational and other services.''
Section 106(b) of the TVPA provides: ``The President, acting
through the Secretary of Labor, the Secretary of Health and Human
Services, the Attorney General, and the Secretary of State, shall
establish and carry out programs to increase public awareness,
particularly among potential victims of trafficking, of the dangers of
trafficking and the protections that are available for victims of
In FY 2003, ORR expects to award an estimated $1.25 million in
funds to carry out the Trafficking Victims Protection Act of 2000. ORR
expects to make approximately three to five grants under this grant
announcement--Local/Community Outreach and/or Services for Victims of a
Severe Form of Trafficking--ranging from $50,000 to $250,000 for a
total of up to $1,250,000; renewable on a yearly basis for up to three
years, subject to the availability of funds.
The Director reserves the right to award less or more than the
funds described in this announcement. In the absence of worthy
applications, the Director may decide not to make an award if deemed in
the best interest of the government. The ORR Director reserves the
right to award grants after taking into consideration the geographic
distribution of services among the major cities and areas throughout
the United States where victims are most likely to be found and/or are
in need of assistance. Funding availability for future years is at the
Public and private nonprofit organizations, including faith-based
organizations and state, local, and tribal governments, are eligible to
apply for any of these grants (see section 412(c) of the INA). For
profit entities are eligible to apply for local/community outreach
grants only (see section 106(b) of the TVPA), although HHS funds may
not be paid as profit to any recipient even if the recipient is a
commercial organization (45 CFR 74.81). ORR expects that applicants
will coordinate with other local organizations in considering projects
and proposing services.
Any private nonprofit organization submitting an application must
submit proof of its status in its application at the time of
submission. The nonprofit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate 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 are not required to match or cost share in the
Project and Budget Periods
This announcement is inviting applications for project periods of
up to three years. Awards, on a competitive basis, will be for a one-
year budget period although project periods may be up to three years.
Applications for continuation grants funded under these awards, beyond
the one-year budget period but within the three-year project period,
will be entertained in
subsequent years on a noncompetitive basis, subject to availability of
funds, satisfactory progress of the grantee and a determination that
continued funding would be in the best interest of the Government.
Local/Community Outreach and/or Services for Victims of a Severe Form
Program Purpose and Objectives
The purpose of Local/Community Outreach and/or Services for Victims
of a Severe Form of Trafficking is multifaceted. It combines the need
to increase local/community awareness about the burgeoning problem of
human trafficking with the need to provide resources that will address
the needs of individuals determined by HHS to be victims of a severe
form of trafficking. Applications may choose to concentrate exclusively
on one of these two areas, or focus more comprehensively on a
combination of activities that incorporates both.
The purpose of this area of the announcement is to provide state
and local law enforcement, public and private service providers, non-
governmental organizations, immigrant and refugee communities, and
individual community members with opportunities to learn about the
Trafficking Victims Protection Act of 2000 (TVPA). The TVPA has
presented an unprecedented opportunity to address the previously hidden
problem of human trafficking. However, knowledge of the TVPA is limited
among service professionals, law enforcement agencies, and the general
public. Knowledge of benefits available to victims is similarly
limited, especially among groups that do not normally access benefits
or have connections with benefit-providing agencies and organizations.
Educational opportunities need to be extended to these groups to
allow them to learn about the existence of human trafficking within the
United States and to recognize trafficking, particularly in their local
communities. Integral in these outreach activities should be
familiarity with the legal definition of ``severe forms of trafficking
in persons'' as described in the TVPA. Subsequently, a clear
understanding should be established of the criteria necessary to
qualify as a victim of a severe form of trafficking for benefits and
Once trafficking victims have been identified, organizations must
be empowered to provide victims with additional information and
resources to access services available to them. Law enforcement
agencies that have contact with immigrant or refugee populations must
also be educated to look below the surface of people's circumstances in
such areas as prostitution and immigrant labor. Service providers need
to learn about the varied backgrounds from where the victims come and,
most importantly, the unique issues that trafficking victims will
present following their emancipation.
Organizations must establish that within their geographic locality/
area there is a reasonable expectation that victims of a severe form of
trafficking may be identified. Effective applications will also
identify and aim to raise awareness about victim service needs that
should be enhanced or increased based on the level of community
awareness (or lack thereof) that exists regarding trafficking in a
particular geographic locality/area.
ORR is interested in providing resources for organizations to cover
the costs of reaching out to community-based organizations so that
victims are identified where they have the best chance for receiving
assistance. In turn, communities where outreach and educational
opportunities are being extended may experience an increase in the
numbers of victims being identified and requesting services.
Services to Victims of a Severe Form of Trafficking
Through Services to Victims of a Severe Form of Trafficking, ORR
seeks to provide resources that will address the needs of individuals
determined to be victims of a severe form of trafficking. Victims must
be the recipients of a certification or eligibility letter from HHS in
order to gain access to this assistance. We believe that enhanced case
management, education, and culturally and linguistically appropriate
linkages and coordination with other service providers contribute to
the overall well-being of trafficking victims. Victims may also require
initial assistance accessing refugee and/or mainstream services for
which they are eligible. The services funded should enhance the
likelihood that victims of a severe form of trafficking receive needed
support as they work with the criminal justice system to assist in the
investigation and prosecution of trafficking crimes.
An applicant should provide anecdotal evidence that there have been
victims of a severe form of trafficking within their community and/or a
reasonable assumption that there may be additional unidentified victims
in that community.
This grant program is intended to support services that address the
special conditions of victims of a severe form of trafficking. ORR's
expectation is that victims of trafficking will most likely, after a
brief period of time, access mainstream services. Therefore, grantees
should view these resources as a temporary solution.
According to post award requirements, grantees are expected to file
periodic program reports. In the last two Program Performance Reports,
grantees will discuss the transition of services indicating whether the
services are now supported by the State, other public or private
resources, or are no longer needed. These reports must also provide
supporting information on the impact of the services provided to the
Allowable activities for local/community outreach include hosting
community forums (including coordination and facilitation of outreach
events) to raise general awareness about the problem of trafficking in
their local community. In addition, applicants should emphasize the
development of advertising and marketing anti-trafficking materials
that reflect the broad scope of the various forms of trafficking
(including debt bondage, peonage, forced labor and forced prostitution)
and that are linguistically and culturally accessible, appropriate, and
Applications focusing on Local/Community Outreach should indicate
approximate timelines for development, dissemination, and review of
actions presented to measure the effectiveness of the communication.
Services to Victims of a Severe Form of Trafficking
Allowable activities for Services to Victims of a Severe Form of
Trafficking are restricted solely to individuals who are the recipients
of a certification (for adults) or eligibility letter (for minors) from
HHS. Some of the services needed for victims of a severe form of
trafficking might include:
[sbull] Special medical care that is not otherwise available to the
[sbull] Assistance with temporary transportation needs;
[sbull] Temporary housing;
[sbull] Temporary housing for young adults with limited experience
living in families;
[sbull] Independent living skills and cultural orientation;
[sbull] Access to appropriate educational programs;
[sbull] Legal assistance/referrals and administrative costs
(excluding T-visa application fees and/or attorney fees).
[sbull] Case management, to include information and referral to
needed services in the community, either funded refugee services or
mainstream services as appropriate;
[sbull] Special mental health services, such as trauma counseling,
[sbull] Other services needed to bridge the time between the
certification or eligibility date indicated directly on the
Department's letter, and the receipt of public benefits and support
Applicants focusing on Services to Victims of a Severe Form of
Trafficking should indicate how they will ensure that services are
appropriate and accessible both linguistically and culturally.
Funds will not be awarded to applicants for the purpose of engaging
in activities of a distinctly political nature, activities designed
exclusively to promote the preservation of a specific cultural
heritage, or activities with an international objective (i.e.,
activities related to events in the refugees' country of origin). No
funds will be used to provide direct services or benefits to
trafficking victims who have not been certified by HHS and are
therefore not yet eligible to receive direct benefits and/or services.
HHS Trafficking funds may not be used by any agency or organization to
support activities relating to or supporting the legalization of
1. Objectives and Need--Local/Community Outreach--The applicant
demonstrates a clear understanding of the population to be served. The
conditions in proposed communities are clearly described, including the
reasonable expectation of identifying trafficking victims within the
community. The need for additional information leading to enhanced
acknowledgment of trafficking is documented. The applicant provides
anecdotal evidence that there are enough people and/or organizations
that would benefit from this type of outreach/educational opportunity.
Services for Victims of a Severe Form of Trafficking--The applicant
demonstrates a clear understanding of the population to be served. The
number of projected victims of trafficking to be served is reasonable
in light of the organization's capacity. The application proposes to
address a program of services for victims of trafficking. (25 points)
2. Results or Benefits Expected--The applicant clearly describes
the results and benefits to be achieved. The application clearly
describes how the specific target population will benefit from proposed
services, e.g., enhanced case management, special medical care,
referrals and follow-up with culturally and linguistically appropriate
mainstream providers. Results or benefits are described also in terms
of the opportunities provided for victims, benefit-providing agencies,
and law enforcement. The application describes how the impact of the
funds will be measured on key indicators associated with the purpose of
the project. Proposed outcomes are measurable and achievable within the
grant project period, and the proposed monitoring and information
collection is adequately planned. (25 points)
3. Approach--The strategy and plan, including a description of each
proposed geographic area/community and an assessment of appropriateness
of activities, are likely to achieve proposed results. The proposed
activities and timeframes are reasonable and feasible. The plan
describes in detail how the proposed activities will be accomplished as
well as the potential for the project to generate additional interest
in outreach to victim populations and coordination with other services.
The application includes a clear and comprehensive description of the
geographic area/communities to be served and how it/they will be
impacted by this project. Assurance is provided that proposed services
will be delivered in a manner that is linguistically and culturally
appropriate to the target population. The applicant has described the
planning and/or consultation efforts undertaken. Where coalition
partners are proposed, the applicant describes each partner agency's
respective role and financial responsibilities and describes how the
coalition will enhance the accomplishment of the project goals.
Evidence of commitment of coalition partners in implementing the
activities is demonstrated, i.e., by Memoranda of Understanding (MOUs)
among participants. Assurance is provided that proposed services will
be delivered in a manner that is linguistically and culturally
appropriate to the target population. (25 points)
4. Organizational Profiles--The administrative and management
features of the project, including a plan for fiscal and programmatic
management of each activity and planning activities, are described in
detail with proposed start-up times, ongoing timelines, major
milestones or benchmarks, a component/project organization chart,
management of affiliates, and a staffing chart of affiliate network.
The qualifications of project staff, both applicant and affiliate
agencies, as well as any volunteers, are documented. The applicant has
provided a copy of its most recent audit report. (10 points)
5. Budget and Budget Justification--The budget and narrative
justification are reasonable, clearly presented, and cost-effective in
relation to the proposed activities and anticipated results. The
applicant clearly indicates how awarded funds will complement other
community outreach efforts and/or social services to achieve the
objectives. Planning for continuation of services beyond the project
period is realistic. (15 points)
Part II: The Review Process
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed federal assistance
under covered programs.
[sbull] All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, Wyoming, and Palau have elected to participate in
the Executive Order process. Applicants from these twenty-seven
jurisdictions need take no action regarding E.O. 12372. Applicants for
projects to be administered by Federally-recognized Indian Tribes are
also exempt from the requirements of E.O. 12372. Applicants should
contact their Single-Points-of-Contact (SPOC) as soon as possible to
alert them of the prospective applications and receive any necessary
instructions. Applicants from participating jurisdictions must submit
any required material to the SPOCs as soon as possible so that the
program office can obtain and review SPOC comments as part of the award
process. The applicant must submit all required materials, if any, to
the SPOC and indicate the date of this submittal (the date of contact)
on the Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Grants Management Officer, U.S. Department of Health and
Human Services, Administration for Children and Families, Office of
Refugee Resettlement, 370 L'Enfant Promenade SW., 4th floor, Washington
A list of the Single Points of Contact for each participating State
and Territory can be found on the Web at: http://www.whitehouse.gov/
Initial ACF Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that (1) the application was received
by the closing date of November 1, 2002, and submitted in accordance
with the instructions in this announcement; and (2) the applicant is
eligible for funding.
Competitive Review and Evaluation Criteria
Applications which pass the initial ACF screening will be evaluated
and rated by an independent review panel on the basis of evaluation
criteria specified in Part I. The evaluation criteria were designed to
assess the quality of a proposed project and to determine the
likelihood of its success. The evaluation criteria are closely related
and are considered as a whole in judging the overall quality of an
application. Points are awarded only to applications that are
responsive to the evaluation criteria within the context of this
Part III: The Application
In order to be considered for a grant under this program
announcement, an application must be submitted on the forms supplied
and in the manner prescribed by ACF. Selected elements of the ACF
Uniform Project Description (UPD) relevant to this program announcement
are attached as Appendix A.
Applicants requesting financial assistance under this announcement
must file the Standard Form (SF) 424, Application for Federal
Assistance; SF 424A, Budget Information--Non-construction Programs; SF
424B, Assurances--Non-Construction Programs. The forms may be
reproduced for use in submitting applications. Application materials
including forms and instructions are also available from the Contact
named in the preamble of this announcement.
Application Submission and Deadlines
An application with an original signature and two clearly
identified copies are required. Applicants must clearly indicate on the
SF 424 the grant announcement number under which the application is
The closing date for receipt of applications is (4:30 p.m. Eastern
Time Zone) November 1, 2002. Please note that all applications must be
received (as opposed to postmarked) in ACF by this date or they will be
considered late. Delays caused by express mailing companies are not the
responsibility of ACF and negatively affected applications will be
considered late. Mailed and hand-carried applications received after
the 4:30 p.m. (Eastern Time Zone) deadline on the closing date will be
classified as late.
Mailed applications shall be considered as meeting an announced
deadline if they are either received on or before the deadline time and
date at the: U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Grants Management,
Division of Discretionary Grants, Attention: Grants Management Officer,
370 L'Enfant Promenade SW., 4th Floor, Washington, DC 20447. Applicants
are responsible for mailing applications well in advance to ensure that
applications are received on or before the deadline time and date.
Applications hand-carried by applicants, applicant couriers,
overnight/express mail couriers, or by other representatives on behalf
of the applicant shall be considered as meeting an announced deadline
if they are received on or before the deadline date, between the hours
of 8 a.m. and 4:30 p.m., EST, at the U.S. Department of Health and
Human Services, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, Attention: Grants
Management Officer, 4th Floor, Aerospace Building, 901 D Street, SW.,
Washington, DC 20447 between Monday and Friday (excluding federal
holidays). The address must appear on the envelope/package containing
the application with the note ``Attention: Grants Management Officer.''
(Applicants are cautioned that express/overnight mail services do not
always deliver as agreed. Delays caused by express mailing companies
are not the responsibility of ACF and negatively affected applications
will be considered late.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
The federal government has experienced periodic delays in mail
delivery through the U.S. Postal Service since fall 2001. In some
instances, mail has been delayed up to or over four months. To ensure
that ACF receives your application by the (4:30 p.m. Eastern Time Zone)
November 1, 2002 deadline, you may wish to send your application via an
express mailing service. Also, please send an electronic notification
that you have sent an application to Jay Womack at firstname.lastname@example.org
and Neil Kromash at email@example.com.
Late applications: Applications that do not meet the criteria above
are considered late applications. ACF shall notify each late applicant
that its application will not be considered in the current competition.
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (e.g. floods, hurricanes, etc.)
occur, or when there are widespread disruptions of mail service.
Determinations to extend or waive deadline requirements rest with the
Chief Grants Management Officer.
For Further Information on Application Deadlines Contact: Grants
Management Officer, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, 370 L'Enfant
Promenade SW., 4th Floor, Washington, DC 20447, Telephone: (202) 401-
Certifications, Assurances, and Disclosure Required for Non-
Applicants must sign and return the disclosure form, if applicable,
with their applications. Applicants requesting financial assistance for
non-construction projects must file the Standard Form 424B,
``Assurances: Non-Construction Programs.'' Applicants must sign and
return the Standard Form 424B with their applications.
Applicants must provide a signed certification regarding lobbying
with their applications, when applying for an award in excess of
$100,000. Applicants who have used non-federal funds for
lobbying activities in connection with receiving assistance under this
announcement shall complete a disclosure form to report lobbying.
Applicants must make the appropriate certification of their
compliance with the Drug Free Workplace Act of 1988. By signing and
submitting the application, the applicant is providing the
certification and need not mail back the certification with the
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for an award.
By signing and submitting the application, the applicant is providing
the certification and need not mail back the certification with the
General Instructions for Preparing a Full Project Description
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. Applicants are encouraged
to provide information on their organizational structure, staff,
related experience, and other information considered relevant. Awarding
offices use this and other information to determine whether the
applicant has the capability and resources necessary to carry out the
proposed project. It is important, therefore, that this information be
included in the application. However, in the narrative the applicant
must distinguish between resources directly related to the proposed
project from those that will not be used in support of the specific
project for which funds are requested. Please refer to the UPD sections
in the appendix.
Length of Applications
Each application narrative should not exceed 20 pages in a 12-pitch
font. Attachments and appendices should not exceed 25 pages and should
be used only to provide supporting documentation such as administration
charts, position descriptions, resumes, and letters of intent or
partnership agreements. A table of contents and an executive summary
should be included but will not count in the page limitations. Each
page should be numbered sequentially, including the attachments and
appendices. This limitation of 20 pages should be considered as a
maximum, and not necessarily a goal. Application forms are not to be
counted in the page limit.
Please do not include books or videotapes as they are not easily
reproduced and are, therefore, inaccessible to the reviewers.
Part IV: Post-Award
Applicable DHHS regulations can be found in 45 CFR Part 74 or 92.
Treatment of Program Income
Program income from activities funded under this program may be
retained by the recipient and added to the funds committed to the
project, and used to further program objectives.
Grantees are required to file the Financial Status Report (SF-269)
semi-annually and the Program Performance Reports quarterly, along with
the Schedule C of the ORR Quarterly Performance Report.
Funds awarded must be accounted for, and reported under, the
distinct grant number ascribed. Although ORR does not expect the
proposed projects to include evaluation activities, it does expect
grantees to maintain adequate records to track and report on project
outcomes and expenditures. The official receipt point for all reports
and correspondence is the Grants Management Officer, Administration for
Children and Families/Office of Grants Management, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 4th Floor,
Washington, DC 20447, Telephone: (202) 401-4577. An original and one
copy of each report shall be submitted within 30 days of the end of
each reporting period directly to the Office of Grants Management.
A Final Financial and Program Report shall be due 90 days after the
project expiration date or termination of federal budget support.
Dated: August 29, 2002.
Deputy Director, Office of Refugee Resettlement.
Appendix A--Uniform Project Description OMB No. 0970-0139
The project description is approved under OMB control number
0970-0139 which expires 12/31/03.
Part I: The Project Description Overview
The project description provides a major means by which an
application is evaluated and ranked to compete with other
applications for available assistance. The project description
should be concise and complete and should address the activity for
which Federal funds are being requested. Supporting documents should
be included where they can present information clearly and
succinctly. In preparing your project description, all information
requested through each specific evaluation criteria should be
provided. Awarding offices use this and other information in making
their funding recommendations. It is important, therefore, that this
information be included in the application.
ACF is particularly interested in specific factual information
and statements of measurable goals in quantitative terms. Project
descriptions are evaluated on the basis of substance, not length.
Extensive exhibits are not required. Cross referencing should be
used rather than repetition. Supporting information concerning
activities that will not be directly funded by the grant or
information that does not directly pertain to an integral part of
the grant funded activity should be placed in an appendix.
Pages should be numbered and a table of contents should be
included for easy reference.
Part II: General Instructions for Preparing a Full Project Description
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions and the specified evaluation criteria. The
instructions give a broad overview of what your project description
should include while the evaluation criteria expands and clarifies
more program-specific information that is needed.
Provide a summary of the project description (a page or less)
with reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The
need for assistance must be demonstrated and the principal and
subordinate objectives of the project must be clearly stated;
supporting documentation, such as letters of support and
testimonials from concerned interests other than the applicant, may
be included. Any relevant data based on planning studies should be
included or referred to in the endnotes/footnotes. Incorporate
demographic data and participant/beneficiary information, as needed.
In developing the project description, the applicant may volunteer
or be requested to provide information on the total range of
projects currently being conducted and supported (or to be
initiated), some of which may be outside the scope of the program
Results or Benefits Expected
Identify the results and benefits to be derived.
Outline a plan of action which describes the scope and detail of
how the proposed
work will be accomplished. Account for all functions or activities
identified in the application. Cite factors which might accelerate
or decelerate the work and state your reason for taking the proposed
approach rather than others. Describe any unusual features of the
project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of
activities accomplished. When accomplishments cannot be quantified
by activity or function, list them in chronological order to show
the schedule of accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and
Budget (OMB). This clearance pertains to any ``collection of
information that is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other
key individuals who will work on the project along with a short
description of the nature of their effort or contribution.
Staff and Position Data
Provide a biographical sketch for each key person appointed and
a job description for each vacant key position. A biographical
sketch will also be required for new key staff as appointed.
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information
on compliance with Federal/State/local government standards,
documentation of experience in the program area, and other pertinent
information. Any non-profit organization submitting an application
must submit proof of its non-profit status in its application at the
time of submission.
The non-profit agency can accomplish this by providing a copy of
the applicant's listing in the Internal Revenue Service's (IRS) most
recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code, or by providing a copy of the currently
valid IRS tax exemption certificate, or by providing a copy of the
articles of incorporation bearing the seal of the State in which the
corporation or association is domiciled.
Include written agreements between grantees and subgrantees or
subcontractors or other cooperating entities. These agreements must
detail scope of work to be performed, work schedules, remuneration,
and other terms and conditions that structure or define the
Letters of Support
Provide statements from community, public and commercial leaders
that support the project proposed for funding. All submissions
should be included in the application OR by application deadline.
Budget and Budget Justification
Provide line item detail and detailed calculations for each
budget object class identified on the Budget Information form.
Detailed calculations must include estimation methods, quantities,
unit costs, and other similar quantitative detail sufficient for the
calculation to be duplicated. The detailed budget must also include
a breakout by the funding sources identified in Block 15 of the SF-
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity,
reasonableness, and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be
detailed and justified in the budget and narrative justification.
For purposes of preparing the budget and budget justification,
``Federal resources'' refers only to the ACF grant for which you are
applying. Non-Federal resources are all other Federal and non-
Federal resources. It is suggested that budget amounts and
computations be presented in a columnar format: first column, object
class categories; second column, Federal budget; next column(s),
non-Federal budget(s), and last column, total budget. The budget
justification should be a narrative.
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title,
time commitment to the project (in months), time commitment to the
project (as a percentage or full-time equivalent), annual salary,
grant salary, wage rates, etc. Do not include the costs of
consultants or personnel costs of delegate agencies or of specific
project(s) or businesses to be financed by the applicant.
Description: Costs of employee fringe benefits unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and
percentages that comprise fringe benefit costs such as health
insurance, FICA, retirement insurance, taxes, etc.
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant
Justification: For each trip, show the total number of
traveler(s), travel destination, duration of trip, per diem, mileage
allowances, if privately owned vehicles will be used, and other
transportation costs and subsistence allowances. Travel costs for
key staff to attend ACF-sponsored workshops should be detailed in
Description: ``Equipment'' means an article of nonexpendable,
tangible personal property having a useful life of more than one
year and an acquisition cost which equals or exceeds the lesser of
(a) the capitalization level established by the organization for the
financial statement purposes, or (b) $5,000. (Note: Acquisition cost
means the net invoice unit price of an item of equipment, including
the cost of any modifications, attachments, accessories, or
auxiliary apparatus necessary to make it usable for the purpose for
which it is acquired. Ancillary charges, such as taxes, duty,
protective in-transit insurance, freight, and installation shall be
included in or excluded from acquisition cost in accordance with the
organization's regular written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of
units, the total cost, and a plan for use on the project, as well as
use or disposal of the equipment after the project ends. An
applicant organization that uses its own definition for equipment
should provide a copy of its policy or section of its policy which
includes the equipment definition.
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information that supports
the amount requested.
Description: Costs of all contracts for services and goods
except for those which belong under other categories such as
equipment, supplies, construction, etc. Third-party evaluation
contracts (if applicable) and contracts with secondary recipient
organizations, including delegate agencies and specific project(s)
or businesses to be financed by the applicant, should be included
under this category.
Justification: All procurement transactions shall be conducted
in a manner to provide, to the maximum extent practical, open and
free competition. Recipients and sub-recipients, 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
Enter the total of all other costs. Such costs, where applicable
and appropriate, may
include but are not limited to insurance, food, medical and dental
costs (non-contractual), professional services costs, space and
equipment rentals, printing and publication, computer use, training
costs, such as tuition 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
acknowledgment that the applicant is accepting a lower rate than
Description: The estimated amount of income, if any, expected to
be generated from this project.
Justification: Describe the nature, source and anticipated use
of program income in the budget or refer to the pages in the
application 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
[FR Doc. 02-24238 Filed 9-23-02; 8:45 am]
BILLING CODE 4184-01-P
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