[Federal Register Volume 63, Number 89 (Friday, May 8, 1998)]
[Notices]
[Pages 25493-25500]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-12301]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Notice of Availability of Funding for Alternative Projects for
the Provision of Comprehensive Refugee Resettlement Services, Including
Interim Financial Assistance, Social Services and Case Management for
Newly Arriving Refugees
AGENCY: Office of Refugee Resettlement, ACF, DHHS.
ACTION: Request for applications for alternative projects for the
provision of comprehensive refugee resettlement services, including
interim financial assistance, social services and case management for
newly arriving refugees.
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SUMMARY: The Office of Refugee Resettlement (ORR), Administration for
Children and Families (ACF) announces that competing applications will
be accepted for new grants pursuant to the Director's discretionary
authority under section 412(c)(1)(A) of the Immigration and Nationality
Act (INA) and pursuant to the Secretary's authority under section
412(e)(7) of the INA for alternative projects, as amended by section
311 of the Refugee Act of 1980 (Pub. L. 96-212), 8 U.S.C. 1522(c); 8
U.S.C. 1522(e)(7); 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) of the INA, as cited above; and the Refugee Assistance
Extension Act of 1986 (Pub. L. 99-605).
This announcement offers applicants the opportunity to implement
alternative projects to test the feasibility of providing comprehensive
resettlement services to newly arriving refugees \1\ under a public/
private-sector
[[Page 25494]]
partnership among States and national and local voluntary agencies
responsible for reception and placement services to refugees. Funding
is available to these projects under both the ``Wilson/Fish'' authority
and ORR's discretionary social services program.
\1\ In addition to persons who meet all requirements of 45 CFR
400.43, ``Requirements for documentation of refugee status'',
eligibility for refugee social services also includes: (1) Cuban and
Haitian entrants, under section 501 of the Refugee Education
Assistance Act of 1980 (Pub. L. 96-422; (2) certain Amerasians from
Vietnam who are admitted to the U.S. as immigrants under section 584
of the Foreign Operations, Export Financing, and Related Programs
Appropriations Act, 1988, as included in the FY 1988 Continuing
Resolution (Pub. L. 100-202); and certain Amerasians from Vietnam,
including U.S. citizens, 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). For convenience, the term ``refugee'' is used in this notice
to encompass all such eligible persons unless the specific context
indicates otherwise. Refugees admitted to the U.S. under admissions
numbers set aside for private-sector-initiative admissions are not
eligible to be served under the social service program (or under
other programs supported by Federal refugee funds) during their
period of coverage under their sponsoring agency's agreement with
the Department of State--usually two years from their date of
arrival or until they obtain permanent resident alien status,
whichever comes first.
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DATES: The closing date for submission of applications is August 6,
1998.
FOR FURTHER INFORMATION CONTACT: Carmel Clay-Thompson, Director,
Division of Community Resettlement, (202) 401-4557.
SUPPLEMENTARY INFORMATION: All newly arrived refugees, regardless of
family size, are eligible for these programs. Projects should be
designed to meet their needs in a manner that promotes complementary
services, coordination between assistance and services, culturally and
linguistically appropriate service delivery, and emphasizes employment
and the needs of the refugee family as a unit. The services should be
cost-effective by promoting welfare avoidance and by enhancing
refugees' prospects for early economic and social self-sufficiency.
Effective projects will demonstrate (1) close linkage in the
delivery of financial assistance and employment services; and (2)
successful resettlement along the key indicators of labor force
participation, per capita and household income, English language
acquisition, car ownership, and reductions in refugee reliance on
public assistance.
Alternative projects are to provide interim financial assistance as
needed to newly arrived refugees who might otherwise be deemed eligible
for either the Temporary Assistance for Needy Families (TANF) Program
or the Refugee Cash Assistance (RCA) Program. Federal reimbursement of
the costs of cash assistance are available through CMA appropriated
funds for a period not to exceed the eighth month (although funds are
not available for the first month of Reception and Placement) after a
refugee's date of entry into the U.S.
Consistent with section 412 (e)(7)(B) of the INA, refugees in
projects funded under this announcement will be precluded from
receiving cash assistance under the TANF program or the RCA Program.
Alternative options for medical care are not available under this
announcement. Participating refugees will retain eligibility for
medical coverage under the Refugee Medical Assistance (RMA) program or
under Medicaid, Title XIX of the Social Security Act.
Applicants may apply for discretionary funds in proportion to the
number of refugee participants in the project, for the purpose of
establishing or enhancing existing refugee-specific employment
services.
Funds will be awarded under a cooperative agreement.
The Catalog of Federal Domestic Assistance (CFDA) number assigned
to this announcement is 93.576.
This Program Announcement consists of four parts:
Part I covers information on available funds, legislative
authorities, eligible applicants, definition of terms used in the
Program Announcement, the purpose and scope of the program and types of
projects to be considered, details on project and budget periods, cost
sharing, restrictions on funds, third-party evaluation, and application
content.
Part II provides general instructions for preparing a full project
description.
Part III describes the review criteria used in the assessment of
applications.
Part IV describes the application procedures, the availability of
forms, where and how to submit an application, instructions for
completing the SF-424 and the intergovernmental review.
Part I--General Information
Availability of Funds
Approximately $4,000,000 is available under this announcement in
discretionary social service funds, to be used for refugee-specific
employment and case management services, as well as the administrative
costs of the projects. ORR anticipates making 4-6 individual grant
awards in amounts up to $1,000,000 each for these costs. Requests for
discretionary funds should be justified in proportion to the size of
the population enrolled in the project.
Successful applicants will also be eligible to receive
reimbursement of costs for interim support and related administrative
costs from ORR's CMA appropriations. The Director reserves the right to
award less, or more, than the funds described, in the absence of worthy
applications, or under such other circumstances as may be deemed to be
in the best interest of the government.
In order to be considered for funding under this Announcement,
applicants must submit a request which includes:
(a) Reimbursement of cash assistance and related administrative
costs incurred by the applicant for refugees participating in the
project. This request should be substantially equivalent to the level
of funds the project's participating population would otherwise receive
during the designated eight-month budget period under the publicly
supported program of assistance (TANF or RCA) for which they would
otherwise be eligible. Thus, the TANF payment rate should be the basis
for computing payments for TANF-type participants. The RCA payment rate
should be the basis for computing payments for RCA-type participants.
(b) A request for social services discretionary funding for
enhanced, refugee-specific services for refugees who have been targeted
for inclusion in this alternative project. Requests for services
funding should be proportional to the size of the participating
eligible population of new arrivals.
Legislative Authority
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 recertification services;
(ii) to provide training in English where necessary (regardless of
whether the refugees are employed or receiving cash or other
assistance); and (iii) to provide where specific needs have been shown
and recognized by the Director, health (including mental health)
services, social services, educational and other services.''
Projects are also authorized by section 412(e)(7) of the
Immigration and Nationality Act, 8 U.S.C. 1522(e)(7) which states:
``The Secretary shall develop and implement alternative projects for
refugees who have been in the United States less than thirty-six
months, under which refugees are provided interim support, medical
services, support services, and case management, as needed, in a manner
that encourages self sufficiency, reduces welfare dependency, and
fosters greater coordination among the resettlement agencies and
service providers.''
Eligible Applicants
Eligible applicants are those agencies of State government that are
responsible for the refugee program under 45 CFR 400.5 as well as
private, non-profit voluntary agencies under agreement
[[Page 25495]]
with the Department of State, Bureau of Population, Refugees, and
Migration to conduct the reception and placement program for refugees.
Definition of Terms
Eligible refugee participants: All newly arrived refugees in the
designated State or local jurisdiction, whether they are primary or
secondary migrants to that area. Refugees who for reasons of age or
disability may be eligible for SSI are ineligible for participation in
these projects. Income and asset disregards may be used in determining
continuing eligibility for these projects.
Interim Support: To provide financial assistance adequate to meet
the subsistence needs of refugees otherwise eligible for RCA and/or
TANF and to preclude the need to access public cash assistance during
the first eight months following arrival in the U.S.
Interim support includes provision of financial assistance, as
necessary, for up to eight months. This assistance may be in the form
of cash, an income floor, a grant diversion, financial bonuses or
incentives, payment for work-related expenses, income disregards, or
other ``Make Work Pay'' incentives for early employment.
Financial assistance shall not begin under the grant before the
31st day after the refugee's arrival.
During the second through the eighth month, the alternative program
must provide interim support in amounts substantially equivalent to the
State's established payment under the RCA or TANF program, as
appropriate, adjusted for the size of the family unit, for a period not
to exceed the eight month following U.S. arrival, or earlier, if the
refugee case as a whole is receiving wages sufficient to render interim
support unnecessary.
Refugee-Specific Services: Services which are designed specifically
to meet refugee needs, such as employment, English language training,
cultural orientation, and social adjustment, and are conducted in a
linguistically and culturally appropriate manner, in keeping with the
objectives of the refugee program.
Purpose and Scope
The purpose of this announcement is to enable applicants to
implement alternative projects to provide interim financial assistance,
support services and case management to refugees in a manner that
encourages self-sufficiency, reduces the likelihood of welfare
dependency, and fosters greater coordination among the resettlement
agencies and service providers. ORR's intent is to encourage applicants
to serve all newly arriving refugees in their jurisdiction, regardless
of family composition and regardless of the program of cash assistance
(RCA or TANF) for which they would otherwise be eligible, in a refugee-
specific program of interim cash assistance and services. Refugees who
apply and are found eligible for SSI will not be eligible for these
projects.
These awards are intended to help refugees attain self-sufficiency
within eight months after arrival in the U.S., without access to public
cash assistance.
Applicants may submit a single application which proposes funding
on a State-wide basis or which proposes an alternative project for
refugees arriving in one or more communities or localities.
Cash assistance funding may be requested for a period not to exceed
seven months (excluding the first month of Reception and Placement)
following the arrival of refugees otherwise eligible for the RCA or
TANF program.
Applicant must ensure that the target population is afforded all
safeguards specified in section 412 (e) of the INA and other applicable
law including but not limited to: Application of eligibility criteria,
administrative procedures, fair hearings, and appeals of adverse
decisions. Applicants must also ensure that all relevant statutory
conditions and prohibitions are applied to the target population.
Use of Funds
Applicants may request discretionary funds under this announcement
to enhance their ability to provide refugee-specific employment
services to this population. The discretionary funds may be used in the
following ways: Job development, placement, and post-placement
services, on-the-job training, legally established employer or employee
incentives, post-placement services, competency-based English language
training, case management and related administrative overhead. Short-
term skills training may be provided with these funds only to the
extent that such training is consistent with industry standards and
leads directly to a specific job.
To be considered, applicants must apply on behalf of all newly
arriving refugees in the designated jurisdiction or service area who
are otherwise eligible for the specific assistance category(ies) for
which this project is an alternative.
Types of Projects To Be Considered for Funding
Projects are encouraged where refugees are adversely affected by
changes brought about under welfare reform. Programs are also
encouraged where there is an interest in restructuring the refugee
program for new arrivals to produce comprehensive service delivery,
coordinated among publicly and privately supported agencies, for
assisting refugees in achieving economic and social self-sufficiency.
Circumstances where an alternative project may be appropriate
include the following examples:
Where States are having difficulty maintaining RCA in new welfare
systems and wish to find alternative resettlement methods.
Where TANF refugees may not have access to culturally and
linguistically appropriate services.
Where refugees, particularly two-parent families, are in danger of
dependency on public assistance.
Where a transition period of additional financial resources is
needed for refugee-specific services which are not funded under ORR's
formula allocations.
Where continuity of services from time of arrival through
attainment of self-sufficiency needs to be strengthened.
Applicants may establish alternative programs in various ways: some
options include:
The State government separates the refugee program from the public
welfare system and transfers its implementation to one or more
voluntary resettlement agencies, under the mechanism of a subgrant or
subcontract.
The State government, in partnership with national and local
networks of voluntary agencies, privatizes both the operations and
service delivery of refugee interim support and services.
The State government transfers responsibility for the
administration of the program to a national voluntary agency or
consortium of several voluntary agencies.
National and local voluntary resettlement agencies form a
consortium to operate a comprehensive resettlement program that is an
alternative to public welfare.
Project and Budget Periods
Under this announcement the Director solicits applications for
project periods up to three years. Awards, on a competitive basis, will
be for a one-year budget period; applications for continuation grants
funded under these awards beyond the one-year budget period may be
entertained on a non-competitive basis, subject to the availability of
funds, satisfactory progress of the project, and a
[[Page 25496]]
determination that continuation would be in the best interest of the
government.
Cost Sharing
States are encouraged to share the costs of interim support in this
program by contributing a share of funds--either Federal or State TANF
assistance for TANF-eligible refugees in the project or State (non-
TANF) funds which, subject to the necessary conditions, may be counted
towards the State's maintenance of effort requirement--in proportion to
the targeted TANF-type population in this demonstration, that would
have been expended in their behalf in the absence of this alternative
project.
Restrictions
Refugees covered under an alternative program are precluded from
receiving cash assistance under TANF and/or RCA, for which this project
is an alternative, during the first eight months following their
arrival in the U.S.
Third-Party Evaluation
An independent evaluation of each project funded under this
announcement will be conducted by ORR. For this purpose, successful
grantees will be expected to maintain and provide access to appropriate
client-specific data on date of arrival, family size, age, gender,
employment, job retention, financial assistance provided, and other key
indicators of successful resettlement, as well as on service delivery
and program implementation. Grantees will be strongly encouraged to
evaluate project effectiveness through feedback provided by
participants after completing the program.
Part II--General Instructions for Preparing a Project Description
General Instructions
Cross-referencing should be used rather than repetition. ORR 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. (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.
Applicants shall prepare the project description statement in
accordance with the following instructions.
A. Project Summary/Abstract
Provide a summary of the project description with reference to the
funding request. ORR is also interested in the following:
The total number of refugees to be served when the program
is fully operational.
The total ORR funds requested for a 12 month period when
the project is fully operational.
The amount and source of any additional funding that will
help support the project.
The community to be served (name of county(ies) or State).
The type of program option(s) proposed (for TANF-type
refugees if included with RCA-type refugees) and the proposed services.
The target date for beginning full services to newly
arrived refugees.
B. 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.
ORR is particularly interested in the following:
1. Describe the problem in the current resettlement situation to be
addressed by the alternative project with respect to:
(a) Refugee welfare utilization data, by category of assistance,
duration, and the reasons, if applicable, for high utilization in the
refugee community; (b) barriers to, and the need for, coordination
among public and private refugee agencies; (c) current employment and
other program strategies and outcomes; (d) refugees' access to entry-
level employment through culturally and linguistically appropriate
services; (e) confusion among refugees regarding the purpose of public
welfare and the employment services available within the community.
2. State the rationale for this alternative project relative to
welfare reform and justify the proposed strategy intended to reduce
welfare dependency, promote employment, and foster coordination among
resettlement agencies and service providers. Discuss the proposed
project's anticipated cost effectiveness.
C. Results or Benefits Expected
Identify the results and benefits to be derived. Describe proposed
program outcomes, in terms of appropriate indicators, including GPRA
measures currently in use in the refugee resettlement program. Include
the plan for measuring progress along these indicators: e.g., welfare
avoidance and/or reduction, numbers of refugees who retain employment
for a designated period of time, number of single refugees and refugee
families who attain self-sufficiency.
Describe data collection and analyses anticipated to document
project implementation and outcomes. Describe the plan and schedule for
project monitoring. Successful applicants will also be required to
report outcomes on ORR's standard Quarterly Performance Report.
D. Approach
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.
ORR is particularly interested in the following:
1. Describe (a) The target population (numbers, ethnicity, and
demographic characteristics) (b) anticipated refugee welfare
utilization by the category of public assistance for which the targeted
population may otherwise be eligible;
2. Financial assistance (e.g., eligibility criteria, payment
standards, administrative procedures, etc.) Include a description of
levels of support and all other incentives or cash mechanisms for
providing interim support; measures to
[[Page 25497]]
ensure fair and equitable access to financial support, provisions for
sanctions for non-cooperation and for fair hearings and appeals.
3. Discuss how refugees in this project will have eligibility for,
and access to, other programs, specifically, Refugee Medical Assistance
or Medicaid, the Children's Health Insurance Program (CHIP), Food
Stamps, expanded medical coverage under OBRA, etc.
4. Describe how the alternative project will provide interim cash
assistance and support services of case management and employment in a
manner that is coordinated and that promotes self-sufficiency and
reduces welfare dependency.
a. Demonstrate how the services of the project will be coordinated
among resettlement agencies and service providers, including voluntary
resettlement agencies, Mutual Assistance Associations, and other public
and private, non-profit agencies that provide services to refugees.
Provide letters of agreement, if available.
b. An integrated system of assistance and services is considered an
essential characteristic of an alternative project. Describe how this
integration will be effected in this project.
5. Provide a description with documentation of consultation with
the State Refugee Coordinator, if applicant is a private, non-profit
agency; and with appropriate national voluntary agencies, if applicant
is a State government.
6. Where the application is for a State-wide project, describe how
the proposed project will address any element of the current program
which the new project would include, replace, interrelate with, or
otherwise impact.
Identify the kinds of data to be collected, maintained, and/or
disseminated. Note that clearance from the U.S. Office of Management
and Budget might be needed prior to a ``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.
E. Geographic Location
Describe the precise location of the project and boundaries of the
area to be served by the proposed project. Maps or other graphic aids
may be attached.
F. Additional Information
1. 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.
ORR is also interested in the following:
Describe the organization's plan for administering and managing the
project. Describe the location of the project in the structure of the
agency and include position descriptions, qualifications, and names of
key project staff. Describe plans and qualification for training and
on-going technical assistance.
2. Third-Party Agreements
Include written agreements between grantees and subgrantees or
subcontractors or other cooperating entities. These agreements must
detail scope of work to be performed, work schedules, remuneration, and
other terms and conditions that structure or define the relationship.
G. Budget and Budget Justification
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form, e.g., cash
assistance, employment and other services, case management, and
administrative costs by program activity. 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.
ORR is also interested in the following:
Provide a client-loading chart and related budget (samples are
available from ORR.) Use the costs of the current program for the most
recent 12 month period, including numbers of refugees served and unit
costs of services, to project your budget. Include the anticipated
arrival rates of refugees into the community by probable category of
public assistance for which they would otherwise be eligible. Provide a
narrative to support the costs included in each category. List and
describe all anticipated funding sources with projected amounts, i.e.,
ORR, State government, other federal program, and any other resources.
Part III: Application Review Criteria
A. Objectives, Need for Assistance, and Rationale for Proposing the
Alternative Project
1. Identification of the problem to be addressed by the project is
based on a thorough examination and description of: Refugee welfare
utilization, current coordination of services in the local resettlement
community; opportunity for early employment for refugees; availability
of concurrent, culturally and linguistically appropriate employment and
language services; adequacy of the statistics used to describe the
problem. Points: (10)
2. The degree to which the rationale for proposing the
demonstration project is justifiable and appropriate; probability that
the project will increase refugee self-sufficiency, reduce or avoid
welfare dependency among arriving refugees, and increase coordination
among service providers. Probability that the project will be cost-
effective. Points: (10)
B. Approach/Program Strategy
The proposed project design is clear, logical and theory based,
reflecting the state of knowledge and experience in this field.
Clarity, completeness and reasonableness of the proposed strategy as it
relates to the target population and the geographic area to be covered;
anticipated need for interim cash assistance; adequacy of the cash
assistance policies and administration; reasonableness of policies and
procedures for appeals and fair hearings; coordination of services and
assistance; availability of other Federal and State programs;
consultation with the State Coordinator and voluntary agencies, as
appropriate. Points: (35)
C. Results, Benefits Expected, and Proposed Outcomes
The proposed project, if successfully implemented, is capable of
achieving the stated results. Reasonableness of the outcomes proposed;
feasibility of the methodology for collecting outcome data and client
feedback. Points: (15)
D. Organizational Capacity
Adequacy of the organizational capacity and resources for project
administration and management; the qualification and expertise of the
project staff; and the quality of the design and adequacy of the
proposed program monitoring and reporting system. Points: (15)
E. Project Budget
Reasonableness and adequacy of the budget in relation to the
expected
[[Page 25498]]
activities and outcomes. Completeness of the budget and line-item
budget narrative. Reasonableness of procedures used to estimate the
budget request. Points: (15)
Part IV: Application Submission
The Director reserves the right to award more or less than the
funds described above depending upon the quality of the applications,
or such other circumstances as may be deemed to be in the best interest
of the Government. Applicants may be required to reduce the scope of
selected projects to accommodate the amount of the approved grant
award.
Standard Form 424 with instructions for submitting an application
was published in the Federal Register on December 9, 1997 (62 FR
64856).
If an application represents a consortium (that is, the applicant
includes other types of agencies among its membership), the single
organization identified as applicant by the Authorized Representative's
signature on the SF-424, Box 18.d, will be the grant recipient and will
have primary administrative and fiscal responsibilities. An applicant
entity must be a public or private nonprofit organization.
General Application Procedures
All applications which meet the stipulated deadline and other
requirements will be reviewed competitively and scored by an
independent review panel of experts in accordance with ACF grants
policy and the criteria stated above. The results of the independent
review panel scores and explanatory comments will assist the Director
of ORR in considering competing applications. Reviewers' scores will
weigh heavily in funding decisions but will not be the only factors
considered. Applications generally will be considered in order of the
average scores assigned by the reviewers. Highly ranked applications
are not guaranteed funding since other factors are taken into
consideration, including: Comments of reviewers and of ACF/ORR
officials; previous program performance of applicants; compliance with
grant terms under previous DHHS grants; audit reports; and
investigative reports. Final funding decisions will be made by the
Director of ORR.
A. Availability of Forms
Copies of the Federal Register are available on the Internet
website address: www.access.gpo.gov/nara/index.html#cfr) and at most
local libraries and Congressional District Offices for reproduction. If
copies are not available at these sources, they may be obtained by
sending a written or faxed request to the following office: Office of
Refugee Resettlement, 370 L'Enfant Promenade SW., Washington, D.C.
20447, Fax: (202) 401-5487.
B. Forms, Certifications, Assurances, and Disclosure
1. Applicants for financial assistance under this announcement must
file the Standard Form (SF) 424, Application for Federal Assistance;
SF-424A, Budget Information--Non-Construction Programs; SF-424B,
Assurances--Non-Construction Programs. The forms may be reproduced for
use in submitting applications. An application with an original
signature and two copies is required.
2. Budget and Budget Justification--Provide line item detail and
detailed calculations for each budget object class identified on the
Budget Information form. Detailed calculations must include estimation
methods, quantities, unit costs, and other similar quantitative detail
sufficient for the calculation to be duplicated. The detailed budget
must also include a breakout by the funding sources identified in Block
15 of the SF-424.
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. According to
the instructions for completing the SF-424A and the preparation of the
budget and budget justification, ``Federal resources'' refers only to
the ACF/ORR 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.
Personnel: Costs of employee salaries and wages. Identify the
project director and 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.
Fringe Benefits: Costs of employee fringe benefits unless treated
as part of an approved indirect cost rate.
Provide a breakdown of the amounts and percentages that comprise
fringe benefit costs such as health insurance, FICA, retirement
insurance, taxes, etc.
Travel: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
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/
ORR-sponsored meetings should be detailed in the budget.
Equipment: Costs of tangible, non-expendable, personal property,
having a useful life of more than one year and an acquisition cost of
$5,000 or more per unit.
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.
Supplies: Costs of all tangible personal property other than that
included under the Equipment category.
Specify general categories of supplies and their costs. Show
computations and provide other information which supports the amount
requested.
Contractual: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, etc. Contracts with secondary recipient organizations,
including delegate agencies (if applicable), should be included under
this category.
All procurement transactions shall be conducted in a manner to
provide, to the maximum extent practical, open and free competition. If
procurement competitions were held or if procurement without
competition is being proposed, attach a list of proposed contractors,
indicating the names of the organizations, the purposes of the
contracts, the estimated dollar amounts, and the award selection
process. Justify any anticipated procurement action that is expected to
be awarded without competition and to exceed the simplified acquisition
threshold fixed at 41 USC 403(11). Recipients might be required to make
available to ACF pre-award review and procurement documents, such as
requests for proposal or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency,
[[Page 25499]]
the applicant must provide a detailed budget and budget narrative
for each delegate agency, by agency title, along with the required
supporting information referred to in these instructions.
Other: Enter the total of all other costs. Such costs, where
applicable and appropriate, may include but are not limited to
insurance, professional services costs, space and equipment rentals,
printing and publication, computer use, training costs, such as tuition
and stipends, staff development, and administrative costs.
Provide computations, a narrative description and a justification
for each cost under this category.
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 or another cognizant Federal
agency.
An applicant proposing to 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
agreement, the authorized representative of the applicant organization
must submit a signed acknowledgement that the applicant is accepting a
lower rate than allowed.
Program Income: The estimated amount of income, if any, expected to
be generated from this project. Describe the nature, source and
anticipated use of program income in the budget or refer to the pages
in the application which contain this information. Program income
generated under a Federal grant resulting from this announcement may be
added to funds committed to the project and used to further program
objectives. There is no requirement to request prior approval to defer
use of program income for a later period.
Non-Federal Resources: Amounts of non-Federal resources that will
be used to support the project as identified in Block 15 of the SF-424.
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.
3. Applicants must provide the following certifications. Copies of
the forms and assurances are located at the end of this announcement.
a. Certification regarding lobbying if your anticipated award
exceeds $100,000.
b. Certification regarding environmental tobacco smoke. By signing
and submitting the applications, applicant provides certification that
they will comply with the requirements of the Pro-Children Act of 1994
(Pub. L. 103-227, Part C--Environmental Tobacco Smoke) and need not
mail back the certification with the application.
c. Certification regarding debarment, suspension, and other
Ineligibility. By signing and submitting the applications, applicant
provides certification that they are not presently debarred, suspended
or otherwise ineligible for this award and therefore need not mail back
the certification with the application.
d. Drug-Free Workplace Act of 1988.
C. Deadline
1. Mailed applications shall be considered as meeting this
announced deadline if they are sent on or before the deadline date and
received by ORR in time for the independent review. Applications should
be mailed to: Office of Refugee Resettlement, Administration for
Children and Families, Division of Community Resettlement, 370 L'Enfant
Promenade, SW, Sixth Floor, Washington, DC 20447, Attention:
Alternative Projects.
Applicants must ensure that a legibly dated U.S. Postal Service
postmark, or a legibly dated, machine produced postmark of a commercial
mail service appears on the envelope/package containing the
application(s). An acceptable postmark from a commercial carrier is one
which includes the carrier's logo/emblem and shows the date the package
was received by the commercial mail service. Private metered postmarks
shall not be acceptable as proof of timely mailing.
Applications hand-carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m., at the Administration for
Children and Families, Office of Refugee Resettlement, Aerospace
Center, 901 D Street, SW, Washington, DC 20024, between Monday and
Friday (excluding Federal holidays). (Applicants are cautioned that
express/overnight mail services do not always deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
2. Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
3. Extension of deadlines: ACF may extend the deadline for
applicants affected by acts of God such as floods and hurricanes, or
when there is widespread disruption of the mails. A determination to
waive or extend deadline requirements rests with the Chief Grants
Management Officer.
4. Once an application has been submitted, it is considered as
final and no additional materials will be accepted by ACF.
D. Nonprofit Status
Applicants other than public agencies must provide evidence of
their nonprofit status with their applications. Either of the following
is acceptable evidence: (1) A copy of the applicant organization's
listing in the Internal Revenue Service's most recent list of tax-
exempt organizations described in section 501 (c) (3) of the IRS Code;
or (2) a copy of the currently valid IRS tax exemption certificate.
E. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.''
As of June 15, 1997, the following jurisdictions have elected not
to participate in the Executive Order process. Applicants from these
jurisdictions need take no action in regard to E.O. 12372: Alabama,
Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, American Samoa, and Palau. All remaining
jurisdictions participate in the E.O. process and have established
Single Points of Contact (SPOCs).
[[Page 25500]]
Applicants from participating jurisdictions should contact their
SPOCs as soon as possible to alert them to the prospective applications
and receive instructions. Applicants must submit any required material
to the SPOCs as soon as possible so that ORR can obtain and review SPOC
comments as part of the award process. The applicant must submit all
required materials, if any, to the SPOC and indicate the date of this
submittal (or the date of contact if no submittal is required) on the
Standard Form 424, item 16a.
Under 45 CFR 100.8 (a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to 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: Department
of Health and Human Services, Administration for Children and Families,
Office of Refugee Resettlement, Division of Community Resettlement, 6th
Floor, 370 L'Enfant Promenade, SW., Washington, DC 20447.
F. The Paperwork Reduction Act of 1995 (Pub. L. 104-13)
All information collections within this Program Announcement are
approved under the following currently valid OMB control numbers: 424,
(0348-0043); 424A (0348-0044); 424B (0348-0040); Disclosure of Lobbying
Activities (0348-0046); Uniform Project Description (0970-0139),
Expiration date 10/31/2000.
Public reporting burden for this collection of information is
estimated to average 150 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection of information. 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.
G. Applicable Regulations
Applicable DHHS regulations can be found in 45 CFR Part 74 or 92.
H. Reporting Requirements
Grantees are required to file the Financial Status Report (SF-269)
semi-annually and Program Performance Reports (OMB Approval No. 0970-
0036) on a quarterly basis. Funds issued under these awards must be
accounted for and reported upon separately from all other grant
activities.
Although ORR does not expect the proposed components/projects to
include evaluation activities, it does expect grantees to maintain
adequate records to track and report on project outcomes and
expenditures by budget line item.
The official receipt point for all reports and correspondence is
the ORR Division of Community Resettlement. An original and one copy of
each report shall be submitted within 30 days of the end of each
reporting period directly to the Project Officer named in the award
letter. The mailing address is: 370 L'Enfant Promenade SW., Sixth
Floor, Washington, DC 20447.
A final Financial and Program Report shall be due 90 days after the
budget expiration date or termination of grant support.
Dated: April 30, 1998.
Lavinia Limon,
Director, Office of Refugee Resettlement.
[FR Doc. 98-12301 Filed 5-7-98; 8:45 am]
BILLING CODE 4184-01-P
