[Federal Register Volume 64, Number 110 (Wednesday, June 9, 1999)]
[Notices]
[Pages 31009-31015]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-14575]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Discretionary Funds for Projects To Establish Individual 
Development Accounts for Refugees

AGENCY: Office of Refugee Resettlement (ORR), ACF, DHHS.

ACTION: Notice of availability of FY 1999 Discretionary Social Service 
Funds to public and private, non-profit agencies for projects to 
establish and manage Individual Development Accounts for refugees.

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SUMMARY: The Office of Refugee Resettlement invites eligible entities 
to submit competitive grant applications for projects to establish and 
manage Individual Development Accounts (IDAs) for low-income refugee 
1 participants. Eligible refugee participants who enroll in 
these projects will open and contribute systematically to IDAs for 
specified Savings Goals, including homeownership, business 
capitalization, and post-secondary education. Grantees may use ORR 
funds to provide matches for the savings in the IDAs up to $2,000 per 
individual refugee and $4,000 per refugee household. Applications will 
be screened and evaluated as indicated in this program announcement. 
Awards will be contingent on the outcome of the competition and the 
availability of funds.

    \1\ In addition to persons who meet all requirements of 45 CFR 
400.43, 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, as included in the FY 1988 
Continuing Resolution (Pub. L. 100-202); and (3) certain Amerasians 
from Vietnam, including U.S. citizens, under Title II of the Foreign 
Operations, Export Financing, and Related Programs Appropriations 
Act of 1989 (Pub. L. 100-461), 1990 (Pub. L. 101-167), and 1991 
(Pub. L. 101-513). For convenience, the term ``refugee'' is used in 
this notice to encompass all such eligible persons.
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DATES: The closing date for submission of applications is August 9, 
1999. See Part IV of this announcement for more information on 
submitting applications.

ANNOUNCEMENT AVAILABILITY: The program announcement and the application 
materials are available on the ORR website at www.acf.dhhs.gov/
programs/orr.

FOR FURTHER INFORMATION CONTACT: Carmel Clay-Thompson, Director, 
Division of Community Resettlement (DCR), ORR, Administration for

[[Page 31010]]

Children and Families (ACF), (Telephone: (202) 401-4557; Fax: (202) 
401-5487) or Henley Portner, Program Specialist, DCR, ORR, ACF, 
(Telephone: (202) 401-5363; Fax: (202) 401-5772; E-mail: 
[email protected]).

SUPPLEMENTARY INFORMATION: This program announcement consists of four 
parts:

Part I: Background--program purpose, program objectives, legislative 
authority, funding availability, CFDA Number, definition of terms
Part II: Project and Applicant Eligibility--funding priorities, 
preferences, eligible applicants, project and budget periods, 
multiple applications, treatment of program income
Part III: The Review Process--intergovernmental review, initial ACF 
screening, evaluation criteria and competitive review
Part IV: The Application--application materials, application 
development, application submission

Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting 
burden for this collection of information is estimated to average four 
hours per response, including the time for reviewing instructions, 
gathering and maintaining the data needed, and reviewing the collection 
of information. The following information collection is included in the 
program announcement: OMB Approval No. 0970-0139, ACF UNIFORM PROJECT 
DESCRIPTION (UPD), which expires 10/31/2000. An agency may not conduct 
or sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.

Part I. Background

    Program Purpose and Objectives: The Office of Refugee Resettlement 
invites qualified entities to submit competing grant applications for 
new projects that will establish, support, and manage Individual 
Development Accounts (IDAs) for eligible low-income refugee individuals 
and families. The Refugee IDA Program represents an anti-poverty 
strategy built on asset accumulation for low-income refugee individuals 
and families with the goal of promoting refugee economic independence. 
In particular, the objectives of this program are to: Increase the 
ability of low-income refugees to save; promote their participation in 
the financial institutions of this country; assist refugees in 
advancing their education; increase home ownership; and assist refugees 
in gaining access to capital. These new projects will accomplish these 
objectives by establishing programs that combine the provision of 
matched savings accounts with financial training and counseling.
    Eligibility for this program is limited to refugees:
     Who have earned income and whose household earned income 
at time of enrollment does not exceed 200 percent of the federal 
poverty level; and
     Whose assets at time of enrollment do not exceed $10,000, 
excluding the value of a primary residence.
    Grantees may target their projects to refugees with lower incomes 
and net worth than the limits described above. A copy of the HHS 
Poverty Guidelines is attached to this announcement. The Poverty 
Guidelines may also be found at http:/aspe.hhs.gov/poverty/
99poverty.htm.
    Grantees, in partnership with qualified financial institutions, 
will create Individual Development Accounts for refugee participants. 
Refugee participants will systematically contribute to the IDAs in 
order to purchase specified Savings Goals. Grantees may include any or 
all of the following Savings Goals in their IDA program:
     Home Purchase or Renovation;
     Post-Secondary Education, Vocational Training, or 
Recertification;
     Microenterprise Capitalization;
     Purchase of an Automobile;
     Purchase of a Computer.
    Additional information on these Savings Goals is provided in the 
Definition of Terms section of this announcement.
    ORR encourages applicants to include in their projects commitments 
of additional public or private funds for matching IDA deposits, 
operational overhead, or training. Documentation of additional funds 
should be provided in the application in writing, executed with the 
entity providing the non-ORR contribution, on letterhead of the entity, 
and signed by a person authorized to make a commitment on behalf of the 
entity.
    The grantee will establish a ``Savings Plan Agreement'' with each 
refugee participant. The Savings Plan Agreement should include:

(1) A proposed schedule of savings deposits by the participant;
(2) The rate at which participant's savings will be matched;
(3) The Savings Goal for which the account is maintained;
(4) Any training or counseling which the participant agrees to attend;
(5) Agreement that the participant will not withdraw funds except for 
the specified Savings Goal or for an emergency and only after 
consultation with the grantee; and
(6) A procedure for amending the Agreement.

    Applicants may propose additional provisions to be included in 
Savings Plan Agreements.
    The IDA contains only the refugee participant's deposits and 
interest earned on those deposits. The grantee will create a parallel 
account (or parallel accounts), separate from the participants' IDAs, 
in a qualified financial institution, in which all matching ORR grant 
funds will be deposited and maintained on behalf of the refugee 
participants. Drawdown of the ORR grant funds and deposit of those 
funds into the parallel account(s) will be permitted no earlier than 
the time of the refugee's deposit to the IDA. Grantees must draw down 
ORR funds for matching IDA deposits within three months of the date 
that the refugee participant makes the deposit.
    ORR funds may be used at a matching rate no greater than two-to-one 
for each dollar deposited in the IDA by the refugee participant. 
Grantees may choose to vary the amount of the match by type of Savings 
Goal and/or by income level of the refugee participants. Over the 
course of the five-year project period, not more than $2,000 in ORR 
grant funds may be provided through matching contributions to any one 
refugee individual and not more than $4,000 may be provided to any one 
refugee household.
    The interest that accrues on the ORR matching funds deposited in 
the parallel account must be credited to the IDAs of the refugee 
participants. Interest on the matching funds is not subject to the 
$2,000/$4,000 limitation on total match for an individual and a 
household. The interest on the match funds in the parallel account may 
not be retained by the grantee for any purpose, including program 
administration, participant support services, or program data 
collection.
    ORR strongly encourages applicants to incorporate in these projects 
financial training for the refugee participants. The training may be 
provided directly by the grantee or the grantee may choose to provide 
the training through subgrantees or other providers. The types of 
training provided by a grantee should reflect both the refugee 
population and the types of Savings Goals to be included in the 
program. Such training could include budgeting, cash management, 
savings, investment, and credit counseling. Specialized training and 
technical assistance should be provided for refugee participants whose 
Savings Goals are home purchase or microenterprise.

[[Page 31011]]

    Legislative Authority: Section 412(c)(1)(A) of the Immigration and 
Nationality Act authorizes the Director ``to make grants to, and enter 
into contracts with, public or private nonprofit agencies for projects 
specifically designed--(i) To assist refugees in obtaining skills which 
are necessary for economic self-sufficiency, including projects for job 
training, employment services, day care, professional refresher 
training, and other recertification services; (ii) to provide training 
in English where necessary (regardless of whether the refugees are 
employed or receiving cash or other assistance); and (iii) to provide 
where specific needs have been shown and recognized by the Director, 
health (including mental health) services, social services, educational 
and other services.''
    Funding Availability: ORR expects to award approximately $5 million 
in FY 1999 funds for the Refugee IDA Program among approximately eight 
to twelve grantees. Grants are expected to range from $200,000 to 
$800,000. Approximately 75-80 percent of the ORR grant funds should be 
designated for the purpose of providing matches for the refugee IDA 
accounts. The remaining 20-25 percent of ORR funds may be used for the 
administrative and operational costs of the project and for financial 
training, counseling, and technical assistance.
    The Director reserves the right to award more or less than the 
funds described in the absence of worthy applications or such other 
circumstances as may be deemed to be in the best interest of the 
government. Applicants may be required to reduce the scope of selected 
projects based on the amount of the approved grant award.
    The Catalog of Federal Domestic Assistance (CFDA) number assigned 
to this announcement is 93.576. The title of the program is the Refugee 
Individual Development Account Program.
    Applicable Regulations: Applicable U.S. Department of Health and 
Human Services regulations can be found at 45 CFR part 74 or part 92.
    Definition of Terms: Individual Development Accounts (IDAs) are 
leveraged, or matched, savings accounts. IDAs are established in 
insured accounts in qualified financial institutions; and the funds are 
intended for the Savings Goals specified in this announcement. Although 
the refugee participant maintains control of all funds that the 
participant deposits in the IDA, including all interest that may accrue 
on the funds, the participant must sign a Savings Plan Agreement with 
the grantee that specifies that the funds in the account will be used 
only for the participant's Savings Goal or for an emergency withdrawal. 
A signed Savings Plan Agreement is required for the refugee participant 
to be eligible for matching funds.
    The Savings Goals, as specified below, are the purchases/
investments for which the matching funds, and the interest on matching 
funds, are available when used in conjunction with the savings from the 
IDAs of refugee participants. The Savings Goal specified by a 
participant in the Savings Plan Agreement may be for the benefit of the 
refugee participant or of a refugee dependent of the refugee 
participant. Savings Goals are defined as follows:
     Home ownership: Includes costs of a principal residence 
including the downpayment and closing costs when purchasing a home; 
also renovation costs of a new home or of an existing primary 
residence. In the case of acquisition, the purchaser must be a first-
time homebuyer.
     Microenterprise capitalization: Means costs described in a 
qualified business plan, such as capital, plant, equipment, working 
capital, and inventory expenses. The business plan must be approved by 
a financial institution, a microenterprise development organization, or 
a nonprofit loan fund. The plan must also describe services or goods to 
be sold and include a marketing plan and projected financial 
statements. Also included in microenterprise capitalization are 
expenditures for a business expansion.
     Post-secondary Education, Vocational Training, and 
Recertification: Tuition or fees, professional recertification fees, 
books, supplies, and equipment related to the enrollment or attendance 
of a refugee student at an educational institution.
     Purchase of an Automobile: If necessary for the purpose of 
maintaining or upgrading employment.
     Purchase of a Computer: Including hardware and software, 
to support a refugee student's enrollment in an educational, 
vocational, or recertification institution or for a microenterprise.
     Qualified financial institution means a Federally insured 
bank, credit union, or savings and loan institution or a State-insured 
bank, credit union, or savings and loan institution if no Federally 
insured bank, credit union, or savings and loan institution is 
available.
     A parallel account is an insured account (or accounts) 
opened by the grantee in a qualified financial institution for the 
purpose of depositing the matching funds for the savings deposited by 
refugee participants in their individual IDAs. Interest earned on the 
matching funds must remain in the parallel account and be credited to 
the refugee participants. Both the matching funds and the interest 
earned on those funds must be made available to the refugee participant 
at the time that the participant purchases the Savings Goal. The 
matching funds and the interest on the matching funds in the parallel 
account are not available to the refugee participant except for the 
Savings Goals defined in this announcement.
     An emergency withdrawal is a withdrawal of funds, or a 
portion of funds, deposited by the refugee participant in his/her 
Individual Development Account. The withdrawal may also include any of 
the interest that may have accrued to the participant's savings in the 
account. Such a withdrawal must be approved by the project grantee and 
be consistent with the terms of the Savings Plan Agreement between the 
grantee and the refugee participant. Causes for emergency withdrawals 
include, but are not limited to, medical expenses, payments to prevent 
eviction or foreclosure, or payments for necessary living expenses. If 
funds withdrawn for emergency purposes are not repaid within 12 months, 
the refugee participant forfeits the match on those funds. Emergency 
withdrawals may never be authorized from the parallel account(s).

Part II. Project and Applicant Eligibility

    Eligible Applicants: To be eligible for funding under this 
announcement, projects must meet the following requirements. Eligible 
applicants for these funds include States and private, non-profit 
organizations. Applicants may request funding to administer a refugee 
IDA project directly with refugee participants or as an intermediary 
agency which will administer multiple projects through participating 
community-based organizations. Private, non-profit agency applicants 
must provide documentation of their 501(c)(3) tax-exempt status at the 
time of the application submission.
    Applicants must also provide documentation of participation of a 
qualified financial institution(s) in the project. This documentation 
must be in writing, on letterhead of the financial institution, and 
signed by a person authorized to make the commitment on behalf of the 
financial institution. The documentation must include a commitment by 
the financial institution to establish IDAs for the refugee 
participants, to establish a parallel account (or accounts) for the 
matching funds, and to provide the grantee with

[[Page 31012]]

account activity data on the IDAs and the parallel account(s) in a 
timely manner.
    Project and Budget Periods: This announcement invites applications 
for project periods up to five years. Awards, on a competitive basis, 
will be for a one-year budget period. Applications for continuation 
grants funded under these awards beyond the first one-year budget 
period but within the five-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.
    Under these projects, grantees should schedule their account 
activities so that all IDA accounts reach their maximum savings, and 
refugee participants have purchased their Savings Goal, within the 
five-year project period. Applicants should include in their 
applications their proposal for handling accounts in the event that any 
refugee participant has not completed the Savings Goal purchase by the 
end of the five-year project period. (For instance, applicants may 
consider creating an escrow account for each participant's matching 
funds.)

Part III: The Review Process

A. Intergovernmental Review

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    As of November 20, 1998, the following jurisdictions have elected 
not to participate in the Executive Order process. Applicants from 
these jurisdictions need take no action in regard to E.O. 12372: 
Alabama, Alaska, American Samoa, Colorado, Connecticut, Kansas, Hawaii, 
Idaho, Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New 
Jersey, Ohio, Oklahoma, Oregon, Palau, Pennsylvania, South Dakota, 
Tennessee, Vermont, Virginia, and Washington.
    Although the jurisdictions listed above no longer participate in 
the process, entities which have met the eligibility criteria of the 
program may still apply for a grant even if a State, Territory, 
Commonwealth, etc., does not have a SPOC. All remaining jurisdictions 
participate in the Executive Order process and have established SPOCs. 
Applicants from participating jurisdictions should contact their SPOCs 
as soon as possible to alert them of the prospective applications and 
receive instructions. Applicants must submit any required material to 
the SPOCs as soon as possible so that the program office can obtain and 
review SPOC comments as part of the award process. The applicant must 
submit all required materials, if any, to the SPOC and indicate the 
date of this submittal (or the date of contact if no submittal is 
required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), 
a SPOC has 60 days from the application deadline to comment on proposed 
new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to differentiate clearly between mere advisory comments and 
those official State process recommendations, which may trigger the 
``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Office of Refugee Resettlement, Attention: 
Shirley B. Parker, ORR Grants Officer, 370 L'Enfant Promenade, SW., 
Washington, DC 20447.
    A list of the Single Points of Contact for each State and Territory 
is included with the application materials for this program 
announcement.

B. Initial ACF Screening

    Each application submitted under this program announcement will 
undergo a pre-review to determine that: (1) The application was 
received by the closing date and submitted in accordance with the 
instructions in this announcement; and (2) the applicant is eligible 
for funding.

C. Competitive Review and Evaluation Criteria

    Applications that pass the initial ACF screening will be evaluated 
and rated by an independent review panel on the basis of specific 
evaluation criteria. The evaluation criteria were designed to assess 
the quality of a proposed project and to determine the likelihood of 
its success. The evaluation criteria are closely related and are 
considered as a whole in judging the overall quality of an application. 
Points are awarded only to applications that are responsive to the 
evaluation criteria within the context of this program announcement. 
Proposed projects will be reviewed using the following evaluation 
criteria:
    1. Description of Targeted Population and Need for Assistance. The 
application identifies the refugee population to be assisted by this 
project and describes the need for assistance of this population. 
Indicators of the need for assistance include low rates of: use of 
financial institutions, home ownership, education, and access to 
capital; and high rates of: reliance on public assistance and incomes 
below 200 percent of the Federal poverty level. (15 points)
    2. Project Plan and Design. The application provides a clear 
explanation of a feasible, appropriate, and complete plan for 
establishing and managing IDAs for the refugee participants. The plan 
clearly describes the structure, uses, requirements, and management of 
the IDAs and includes procedures for: managing the parallel account(s); 
ensuring that interest on the matches is correctly credited to 
individual refugee participants; and providing financial training 
appropriate to the refugee population and to the Savings Goals included 
in the project. (25 points)
    3. Organizational and Staff Experience. Applicant organization and 
staff and partner organizations have demonstrated capability to 
implement and manage new programs and to recruit and work with the 
refugee population. The applicant has developed a partnership with a 
financial institution(s) to implement the IDAs. (25 points)
    4. Proposed Outcomes and Expected Benefits. The outcomes and 
benefits proposed are reasonable and reflect the objectives of this 
announcement. The methodology proposed for collecting outcome data is 
reasonable. (20 points)
    5. Project Budget. The budget is reasonable and clearly justified. 
The methodologies for estimating the number of refugee participants and 
amount of matching funds are reasonable. (15 points)

Part IV. The Application

A. Application Development

    In order to be considered for a grant under this program 
announcement, an application must be submitted on the Standard Form 424 
and in the manner prescribed by ACF. Application materials including 
forms and instructions are available from the contacts named under the 
FOR FURTHER INFORMATION CONTACT section in the preamble of this 
announcement.

[[Page 31013]]

General Guidelines for Preparing a Project Description
    Purpose: 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 to be 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.
    General Instructions: Cross-referencing should be used rather than 
repetition. 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. (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.
    Project Summary/Abstract: Provide a summary of the project 
description (a page or less) with reference to the funding request.
    Objectives and Need for Assistance: Clearly identify the economic, 
social, financial, institutional, and/or other problem(s) requiring a 
solution. The need for assistance must be demonstrated and the 
principal and subordinate objectives of the project must be clearly 
stated; supporting documentation, such as letters of support and 
testimonials from concerned interests other than the applicant, may be 
included. Any relevant data based on planning studies should be 
included or referred to in the endnotes/footnotes. Incorporate 
demographic data and participant/beneficiary information, as needed. In 
developing the project description, the applicant may volunteer, or be 
requested to provide, information on the total range of projects 
currently being conducted and supported (or to be initiated), some of 
which may be outside the scope of the program announcement.
    Results or Benefits Expected: Identify the results and benefits to 
be derived from this project. ORR is particularly interested in the 
projected outcomes for the targeted refugee group, including the number 
of IDAs opened, rate of growth in savings, number and size of 
withdrawals for each of the Savings Goals, and the impact of the 
purchase of the Savings Goal on the participant's movement toward self-
sufficiency.
    Approach: Outline a plan of action that describes the scope and 
detail of how the proposed work will be accomplished. Account for all 
functions or activities identified in the application. Cite factors 
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 IDAs 
to be opened. When accomplishments cannot be quantified by activity or 
function, list them in chronological order to show the schedule of 
accomplishments and their target dates. 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.
    Geographic Location: Describe the precise location of the project 
and boundaries of the area to be served by the proposed project. Maps 
or other graphic aids may be attached.
    Additional Information: Following is a description of additional 
information that should be placed in the appendix to the application.
    Staff and Position Data: Provide a biographical sketch for each key 
person appointed and a job description for each vacant key position. A 
biographical sketch will also be required for new key staff as 
appointed.
    Organization Profiles: Provide information on the applicant 
organization(s) and cooperating partners such as organizational charts, 
financial statements, audit reports or statements from CPAs/Licensed 
Public Accountants, Employer Identification Numbers, names of bond 
carriers, contact persons and telephone numbers, child care licenses 
and other documentation of professional accreditation, information on 
compliance with Federal/State/local government standards, documentation 
of experience in the program area, and other pertinent information. Any 
non-profit organization submitting an application must submit proof of 
its non-profit status in its application at the time of submission. The 
non-profit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in section 501(c)(3) of the 
IRS code or by providing a copy of the currently valid IRS tax 
exemption certificate or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
    Third-Party Agreements: Include written agreements between grantees 
and subgrantees or subcontractors or other cooperating entities. These 
agreements must detail scope of work to be performed, work schedules, 
remuneration, and other terms and conditions that structure or define 
the relationship.
    Letters of Support: Provide statements from community, public, and 
commercial leaders that support the project proposed for funding.

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.

General

    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

[[Page 31014]]

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.

Personnel

    Description: Costs of employee salaries and wages.
    Justification: Identify the project director or principal 
investigator, if known. For each staff person, provide the title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include the costs of consultants or personnel 
costs of delegate agencies or of specific project(s) or businesses to 
be financed by the applicant.

Fringe Benefits

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

Travel

    Description: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    Justification: For each trip, show the total number of traveler(s), 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ORR-
sponsored conferences should be detailed in the budget.

Equipment

    Description: 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. However, an applicant may use its own 
definition of equipment provided that such equipment would at least 
include all equipment defined above.
    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.

Supplies

    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, which supports 
the amount requested.

Other

    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 (noncontractual), professional services costs, 
space and equipment rentals, printing and publication, computer use, 
training costs, such as tuition and stipends, staff development costs, 
and administrative costs.
    Justification: Provide computations, a narrative description and a 
justification for each cost under this category.

Indirect Costs

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

Program Income

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

Non-Federal Resources

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

Total Direct Charges, Total Indirect Charges, Total Project Costs

    Self-explanatory.

B. Application Submission

    1. Mailed applications postmarked after the closing date will be 
classified as late.
    2. Deadline. Mailed applications shall be considered as meeting an 
announced deadline if they are either received on or before the 
deadline date or sent on or before the deadline date and received by 
ACF in time for the independent review to: U.S. Department of Health 
and Human Services, Administration for Children and Families, Office of 
Refugee Resettlement, Attention: Shirley B. Parker, ORR Grants Officer, 
370 L'Enfant Promenade, SW, Washington, DC 20447. Applicants must 
ensure that a legibly dated U.S. Postal Service postmark or a legibly 
dated, machine produced postmark of a commercial mail service is 
affixed to the envelope/package containing the application(s). To be 
acceptable as proof of timely mailing, a postmark from a commercial 
mail service must include the logo/emblem of the commercial mail 
service company and must reflect the date the package was received by 
the commercial mail service company from the applicant. Private metered 
postmarks shall not be acceptable as proof of timely mailing. 
(Applicants are cautioned that express/overnight mail services do not 
always deliver as agreed.) Applications handcarried by applicants, 
applicant couriers, or by other representatives of the applicant shall 
be considered as meeting an announced deadline if they are received on 
or before the deadline date, between

[[Page 31015]]

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 Refugee Resettlement, ACF Mailroom, Second Floor (near 
loading dock), Aerospace Center, 901 D Street, SW, Washington, DC 
20024, between Monday and Friday (excluding Federal holidays). The 
address must appear on the envelope/package containing the application 
with the note ``Attention: Shirley B. Parker, ORR Grants Officer.'' ACF 
cannot accommodate transmission of applications by fax or through other 
electronic media. Therefore, applications transmitted to ACF 
electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    3. Late applications. Applications that do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    4. Extension of deadlines. ACF may extend an application deadline 
when circumstances such as acts of God (floods, hurricanes, etc.) 
occur, or when there is widespread disruption of the mail service, or 
in other rare cases. Determinations to extend or waive deadline 
requirements rest with ACF's Chief Grants Management Officer.

Reporting Requirements

    Grantees under this program announcement will be required to 
provide quarterly program narrative reports, describing outcomes and 
activities under the grant. Grantees will also be required to submit 
semi-annual financial reports using the Financial Status Report (SF-
269). A final financial and narrative report shall be due 90 days after 
the end of the Grant Project Period (i.e., after the final budget 
period).

    Dated: June 3, 1999.
Lavinia Limon,
Director, Office of Refugee Resettlement.

Attachment A--The 1999 HHS Poverty Guidelines

One Version of the [U.S.] Federal Poverty Measure

[Information Contracts/References--Poverty Guidelines & Thresholds--
Also History of U.S. Poverty Lines]

    There are two slightly different versions of the federal poverty 
measures:

 The poverty thresholds, and
 The poverty guidelines.

    The poverty thresholds are the original version of the federal 
poverty measure. They are updated each year by the Census Bureau 
(although they were originally developed by Mollie Orshansky of the 
Social Security Administration). The thresholds are used mainly for 
statistical purposes--for instance, preparing estimates of the 
number of Americans in poverty each year. (In other works, all 
official poverty population figures are calculated using the poverty 
thresholds, not the guidelines.)
    The poverty guidelines are the other version of the federal 
poverty measure. They are issued each year in the Federal Register 
by the Department of Health and Human Services (HHS). The guidelines 
are a simplification of the poverty thresholds for use of 
administrative purposes--for instance, determining financial 
eligibility for certain federal program. (The full text of the 
Federal Register notice with the 1999 poverty guidelines is 
available here.)

                                           1999 HHS Poverty Guidelines
----------------------------------------------------------------------------------------------------------------
                                                                   48 contiguous
                       Size of family unit                        states, and DC      Alaska          Hawaii
----------------------------------------------------------------------------------------------------------------
1...............................................................          $8,240         $10,320          $9,490
2...............................................................          11,060          13,840          12,730
3...............................................................          13,880          17,360          15,970
4...............................................................          16,700          20,880          19,210
5...............................................................          19,520          24,400          22,450
6...............................................................          22,340          27,920          25,690
7...............................................................          25,160          31,440          28,930
8...............................................................          27,980          34,960          32,170
For each additional person, add.................................           2,820           3,520           3,240
----------------------------------------------------------------------------------------------------------------
Source: Federal Register, Vol. 64, No. 52, March 18, 1999, pp. 13428-13430.

(The separate poverty guidelines for Alaska and Hawaii reflect 
Office of Economic Opportunity administrative practice beginning in 
the 1966-1970 period. Notice that the poverty thresholds--the 
original version of the poverty measure--have never had separate 
figures for Alaska and Hawaii.)
    Programs using the guidelines (or percentage multiples of the 
guidelines--for instance, 130 percent of the guidelines) in 
determining eligibility include Head Start, the Food Stamp Program, 
the National School Lunch Program, and the Low-Income Home Energy 
Assistance Program. Note that is general, public assistance programs 
(Aid to Families with Dependent Children and its block grant 
successor Temporary Assistance for Needy Families, and Supplemental 
Security Income) do NOT use the poverty guidelines in determining 
eligibility. The Earned Income Credit program also does NOT use the 
poverty guidelines to determine eligibility.
    The poverty guidelines (unlike the poverty thresholds) are 
designated by the year in which they are issued. For instance, the 
guidelines issued in March 1999 are designated the 1999 poverty 
guidelines. However, the 1999 HHS poverty guidelines only reflect 
price changes through calendar year 1998; accordingly, they are 
approximately equal to the Census Bureau poverty thresholds for 
calendar year 1998. (The 1998 thresholds will be issued in final 
form about September or October 1999; a preliminary version of the 
1998 thresholds is now available from the Census Bureau.)
    The poverty guidelines are sometimes loosely referred to as the 
``Federal poverty level'' (FPL), but that term is ambiguous, and 
should be avoided in situation (e.g., legislative or administrative) 
where precision is important.

    Go to the page of Information Contracts and References on the 
Poverty Guidelines, the Poverty Thresholds, and the Development and 
History of U.S. Poverty Lines.
    Return to the Poverty Guidelines, Research, and Measurement main 
page.

[FR Doc. 99-14575 Filed 6-8-99; 8:45 am]
BILLING CODE 4184-01-P