[Federal Register Volume 66, Number 45 (Wednesday, March 7, 2001)]
[Notices]
[Pages 13771-13776]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-5510]



[[Page 13771]]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES (DHHS)

Administration for Children and Families (ACF)

[Program Announcement CFDA Number 93.604]


Discretionary Funds for Assistance for Treatment of Torture 
Survivors

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

ACTION: Request for applications for services to victims of torture 
including medical, psychological, legal and social services; and 
research and training for health care providers outside of treatment 
centers to enable the provision of services to victims of torture.

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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 ``Treatment and Services for Torture Survivors'' grants 
to provide assistance to victims of torture, including treatment for 
the physical and psychological effects of torture and social and legal 
services, and to provide research and training for health care 
providers outside of treatment centers to provide rehabilitation 
services.

DATES: The closing date for submission of applications is May 7, 2001. 
See Part III of this announcement for more information on submitting 
applications.
    Announcement Availability: The program announcement and the 
application materials are available from Marta Brenden, Office of 
Refugee Resettlement (ORR) 370 L'Enfant Promenade, SW., Washington DC 
20447 and from the ORR website at www.acf.dhhs.gov/programs/orr

FOR FURTHER INFORMATION CONTACT: Marta Brenden, Refugee Program 
Specialist, Division of Community Resettlement, Office of Refugee 
Resettlement, Tel (202) 205-3589, Fax (202) 401-5772, 
[email protected].

SUPPLEMENTARY INFORMATION: This program announcement consists of four 
parts:
    Part I: Background and General Information--background, legislative 
authority, funding availability, CFDA Number, eligible applicants, 
project and budget periods, purpose and objectives, allowable 
activities, and review criteria.
    Part II. The Review Process--intergovernmental review, initial ACF 
screening, and competitive review.
    Part III: The Application--application development: application 
forms, application submission and deadlines, late applications, 
extension of deadlines, certifications, general instructions for 
preparing a full project description, and length of applications.
    Part IV: Post-award--applicable regulations, treatment of program 
income and reporting requirements.

Paperwork Reduction Act of 1995 
(Pub. L. 104-13)

    Public reporting burden for this collection of information is 
estimated to average 30 hours per response, including the time for 
reviewing instructions, gathering and maintaining the data needed, and 
reviewing the collection information. The following information 
collections are included in the program announcement: OMB control 
number 0970-0139, ACF UNIFORM PROJECT DESCRIPTION (UPD) which expires 
12/31/2003. An agency may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless it displays 
a currently valid OMB control number.

Part I. Background and General Information

Background

Torture and Torture Victims
    The psychosocial and health consequences of violence and traumatic 
stress have emerged as one of the public health problems of our time. 
Torture constitutes one of the most extreme forms of trauma, with the 
potential for long-term psychological and physical suffering. The term 
torture has been defined in different ways by various organizations for 
multiple purposes.
    This program authorized by the ``Torture Victims Relief Act of 
1998'' uses the definition of torture found in 18 U.S.C. 2340 (1) and 
``includes the use of rape and other forms of sexual violence by a 
person acting under the color of law upon another person under his 
custody or physical control.'' The definition of ``torture'' at 18 
U.S.C. 2340 (1) provides that:
    `torture' means an act committed by a person under the color of law 
specifically intended to inflict severe physical or mental pain or 
suffering (other than pain or suffering incidental to lawful sanctions) 
upon another person within his custody or physical control.
    This provision also defines the term ``severe mental pain or 
suffering'' as: the prolonged mental harm caused by or resulting from--
    (A) the intentional infliction or threatened infliction of severe 
physical pain or suffering;
    (B) the administration or application, or threatened administration 
or application, of mind-altering substances or other procedures 
calculated to disrupt profoundly the senses or the personality;
    (C) the threat of imminent death; or
    (D) the threat that another person will imminently be subjected to 
death, severe physical pain or suffering, or the administration or 
application of mind-altering substances or other procedures calculated 
to disrupt profoundly the senses or personality.
    It should be emphasized that, for purposes of this announcement, 
the experience of torture may include specific characteristics of 
torture as documented in personal testimony or in clinical, medical, or 
detention settings. Some specific examples of physical and 
psychological types of torture are: systemic beating, sexual torture, 
electrical torture, suffocation, burning, bodily suspension, 
pharmacological torture, mutilations, dental assaults, deprivation and 
exhaustion, threats about the use of torture, witnessing the torture of 
others, humiliation, and isolation.
    Estimates of the number of torture survivors have been established 
primarily by extrapolating from the major populations at risk--refugees 
and internally displaced persons. In 1997, there were estimated to be 
more that 13,600,000 refugees and asylum seekers in the world and 20 
million internally displaced persons. The estimates of refugees, asylum 
seekers and displaced persons who have been tortured vary widely from 
5% to 35%. This announcement, which focuses on health, social and legal 
services for torture survivors, as well as education and training of 
providers, recognizes that torture may have been an experience of many 
members of groups residing in the United States, including refugees, 
asylees, immigrants, other displaced persons, and U.S. citizens. Using 
data cited above, it has been estimated that there may be more than 
400,000 torture survivors in the United States.

Consequences of Torture and Services for Torture Survivors

    Physical consequences of torture may be extensive and severe. 
Specific neuropsychological symptoms are often difficult to diagnose 
because of head injuries and the multiplicity of symptoms. Post-
traumatic stress disorder, depression, substance abuse, and other 
anxiety disorders are common diagnoses among torture survivors. 
Therefore, for many severely tortured individuals, access to medical

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practitioners and sophisticated diagnostic instruments and testing 
(e.g., neuro-imaging, cognitive functions, etc.), for the purpose of 
differential diagnosis, is paramount.
    A high percentage of torture survivors are in need of social and 
legal services. Access to legal and immigration services is usually a 
priority. Social services, such as employment assistance and training, 
are also extremely important and correlate with successful psychosocial 
adjustment and well-being. From the national experience with refugees 
and survivors of wartime violence, it has been demonstrated that early 
and adequate access to social and legal services may also preclude the 
need for more specialized psychological treatment services.
    The torture rehabilitation and treatment center movement, which was 
established in Denmark in the 1970's, and adopted in the US, Canada, 
France and other countries, has led to the growth of specialized 
torture survivor treatment centers in select parts of the nation. 
Although the treatment center movement has created opportunities for 
treatment and training in specific urban areas, many torture survivors 
do not have access to these highly specialized programs. Medical, 
social and legal services for torture survivors are needed in areas and 
in settings and institutions wherever torture survivors will seek 
assistance. Thus there is also a national need for more broad-based 
training of medical and mental health practitioners in the 
identification, diagnosis and treatment of torture survivors.
    Torture survivors, now in the United States, should be provided 
with the rehabilitation services which would enable them to become 
productive community members. The Torture Victims Relief Act of 1998 
provides for services for the treatment of the psychological and 
physical effects of torture, social and legal services for torture 
survivors, and research and training for health care providers.

Legislative Authority

    In October 1998, Congress enacted the ``Torture Victims Relief Act 
of 1998,'' Pub. Law 105-320 (22 U.S.C. 2152 note). Sec. 5 (a) of the 
law provides:
    Assistance for Treatment of Torture Victims--The Secretary of 
Health and Human Services may provide grants to programs in the United 
States to cover the cost of the following services:
    (1) Services for the rehabilitation of victims of torture, 
including treatment of the physical and psychological effects of 
torture.
    (2) Social and legal services for victims of torture.
    (3) Research and training for health care providers outside of 
treatment centers, or programs for the purpose of enabling such 
providers to provide the services described in paragraph (1).
    In November 1999, Congress enacted the ``Torture Victims Relief 
Reauthorization Act of 1999,'' Pub. Law 106-87 (22 U.S.C. 2151 note).

Funding Availability

    Congress appropriated $10,000,000 for carrying out section 5 of the 
Torture Victims Relief Act of 1998 for the second year of 
implementation of FY 2001 Consolidated Appropriations Act, 2001, as 
enacted into law by section 1 (a)(1) of Public Law 106-554.
    ORR anticipates that this increase in funding will permit the award 
of 4-6 new grants during FY 2001 at a total amount of approximately 
$2,000,000. The Director will award the new awards as well as the 
continuation awards subject to availability of funds, satisfactory 
progress of the FY 2000 awards, and a determination that the awards are 
in the best interest of the Government.
    The ORR 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. It is important to make torture treatment available to 
the greatest number of victims of torture and for that reason, the ORR 
Director reserves the right to award applications that will cover the 
largest number of geographic areas.
    Applications for subsequent year continuation grants funded under 
these awards will be entertained on a non-competitive basis, subject to 
the availability of funds, satisfactory progress of the grantee, and a 
determination that continued funding would be in the best interest of 
the Government.

CFDA Number: 93.604

Eligible Applicants

    Eligible applicants are public or private organizations and 
institutions.

Project and Budget Periods

    This announcement invites applications for project periods up to 
three years. Awards, on a competitive basis, will be for a one-year 
budget period although project periods may be for three years. 
Applications for continuation grants funded under these awards, beyond 
the one-year budget period but within the three-year project period, 
will be entertained in subsequent years on a noncompetitive basis, 
subject to availability of funds, satisfactory progress of the grantee 
and a determination that continued funding would be in the best 
interest of the Government.

Purpose and Objectives

    Through this announcement, the Office of Refugee Resettlement 
(ORR), Administration for Children and Families (ACF) intends to fund 
grant applications for 4-6 organizations to provide assistance to 
victims of torture.
    The purpose of the torture treatment program is to provide services 
to persons who have experienced torture. It is also to conduct research 
and training for health care providers outside of treatment centers so 
that these providers may also provide rehabilitative services to 
victims of torture.
    The persons who have been tortured may have one of several 
immigration statuses: they may be legally admitted as refugees or 
asylees, while others may be seeking asylum. Still other persons may be 
U.S. citizens. The services funded under this announcement should 
respond to the diversity of populations to be targeted in the project 
area whether they are immigrants, asylum seekers, asylees, refugees 
admitted under the U.S. refugee program, or citizens of the United 
States.
    However, not all torture survivors have the same medical, 
psychological, social, or legal needs. It is encouraged that, within 
the clinical, social and legal service domains, proposals are 
encouraged that will address a broad menu of services for any of the 
torture victims in the project's specified geographic area. The 
applications may include several organizations in collaborative 
relationships in order to have all the services necessary for the 
clients. Partnerships are encouraged among organizations in order to 
reach all the torture victims in that area and to provide a 
comprehensive program of services. For example, an organization that 
currently provides legal advice to detained asylum seekers, who are 
torture survivors, might collaborate with a social service or treatment 
center organization to pool resources and expand their range of 
services for their clients.

Allowable Activities

    Applicants may propose one or more of the following activities 
listed in the legislation: (1) services for the rehabilitation of 
victims of torture, including treatment of the physical and 
psychological effects of torture; (2) social and legal services for 
victims of torture; (3) research and training for health care providers 
outside of

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treatment centers. For example, applications may propose programs in 
treatment centers to provide medical, psychological, social and legal 
services. Applications may also propose programs for the purpose of 
enabling health care providers outside the treatment centers to provide 
medical, psychological, social and legal services. Applications should 
provide the rationale for activities describing how these activities 
meet the needs of the victims of torture to be served in the geographic 
area to be served.

Review Criteria

    1. Objectives and Need for Assistance. The application clearly 
demonstrates experience with and knowledge of victims of torture and an 
assessment of their presence in the proposed geographic area of 
service. There is a clear description of the process by which the 
client has access to treatment and to the other allowable services. 
Where research and training activities are proposed, applicant clearly 
demonstrates interest and willingness of service providers outside the 
treatment centers to attend training. (15 Points)
    2. Approach. The application provides a clear and feasible strategy 
for assisting torture survivors that demonstrates knowledge of the 
clients, experience in serving these clients, and community resources 
and has planned with other collaborative organizations to assist the 
clients in an effective and efficient manner. The service plan and 
collaborative relationships are reasonable, substantiated with 
appropriate documents, have a likelihood of success and provide a 
feasible strategy to work with the torture survivor in becoming a 
productive member of the community. Where research and training 
activities are proposed, applicant provides a plan for research and 
training demonstrating interest in the service providers to attend the 
training activities. (25 points)
    3. Organization Profiles. The application demonstrates the 
organization's capacity to provide assistance appropriate to torture 
survivors (and, if appropriate to the activities in the approach, the 
service providers to be trained) that includes: (a.) agency mission and 
organizational chart; (b.) resumes of project staff demonstrating 
linguistic and cultural access for clients; (c.) history of experience 
with torture survivors, such as experience as a treatment center or an 
organization that provides social and legal services to survivors of 
torture; (d.) management plan for the project contains systems of 
client records, program records, and financial management; and (e.) 
timeline for implementation of project activities. (25 points)
    4. Results or Expected Benefits. The outcomes and benefits of the 
assistance and training are clearly explained and are reasonable. There 
are clear and understandable outcome measures for the services, and a 
reasonable plan for reporting the outcomes to ORR. (25 points)
    5. Budget and Budget Justification. The budget is reasonable and 
clearly justified. The methodologies for estimating the number of 
client/patients to be served are reasonable. The plan for program 
income generated by fees, including, Medicaid, Refugee Medical 
Assistance (RMA), and private health coverage for client fees for 
treatment, when available, is appropriate, reasonable and viable. (10 
points)

Part II. The Review Process

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 
Program and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.

    Please Note: All States and Territories except Alabama, Alaska, 
Arizona, Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, 
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 
New York, Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, 
Tennessee, Vermont, Virginia, Washington, Wyoming, American Samoa 
and Palau have elected to participate in the Executive Order process 
and have established Single Points of Contact (SPOCs). Applicants 
from these twenty-eight jurisdictions need take no action regarding 
E.O. 12372. Applicants for projects to be administered by Federally-
recognized Indian Tribes are also exempt from the requirements of 
E.O. 12372. Otherwise, applicants should contact their SPOCs as soon 
as possible to alert them of the prospective applications and 
receive any necessary 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. It is imperative that the applicant submit all 
required materials, if any, to the SPOC and indicate the date of 
this submittal (or indicate ``not applicable'' 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, OCSE Office of Grants Management, 370 
L'Enfant Promenade, S.W., 4th floor East, Washington, D.C. 20447.
    A list of the Single Points of Contact for each participating State 
and Territory can be found on the web at: http//www.whitehouse.gov/omb/grants/spoc.html

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.

Competitive Review and Evaluation Criteria

    The applications that pass the initial ACF screening will be 
evaluated and rated by an independent review panel on the basis of 
evaluation criteria specified in Part I. The evaluation criteria are 
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.

Part III. Application

Application Development

    In order to be considered for a grant under this program 
announcement, an application must be submitted on the forms supplied 
and in the manner prescribed by ACF. Application materials including 
forms and instructions are available from the contact named under the 
``Announcement Availability'' section in the preamble of this 
announcement. Selected elements of the ACF Uniform Project Description 
(UPD) relevant to this program announcement are attached as Appendix A.

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Application Forms

    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. Application materials including forms 
and instructions are also available from the Contact named in the 
``Announcement Availability'' section of this announcement.

Application Submission and Deadlines

    An application with an original signature and two clearly 
identified copies is required.
    The closing date for submission of applications is May 7, 2001. 
Mailed applications postmarked after the closing date will be 
classified as late.
    Mailed applications shall be considered as meeting an announced 
deadline if they are either received on or before the deadline 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: Ms. Daphne Weeden.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark or a legibly dated, machine produced postmark of a commercial 
mail service is affixed to the envelope/package containing the 
application(s). To be acceptable as proof of timely mailing, a postmark 
from a commercial mail service must include the logo/emblem of the 
commercial mail service company and must reflect the date the package 
was received by the commercial mail service company from the applicant. 
Private Metered postmarks shall not be acceptable as proof of timely 
mailing. (Applicants are cautioned that express/overnight mail services 
do not always deliver as agreed.)
    Applications hand-carried by applicants, applicant couriers, or by 
other representatives of the applicant shall be considered as meeting 
an announced deadline if they are received on or before the deadline 
date, between the hours of 8 a.m. and 4:30 p.m., EST, at the U.S. 
Department of Health and Human Services, Administration for Children 
and Families, the Office of Refugee Resettlement, 6th Floor, Aerospace 
Building, 901 D Street, SW, Washington, DC 20447 between Monday and 
Friday (excluding Federal holidays). The address must appear on the 
envelope/package containing the application with the note ``Attention: 
Ms. Daphne Weeden.'' (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.

Late Applications

    Applications that do not meet the criteria above are considered 
late applications. ACF shall notify each late applicant that its 
application will not be considered in the current competition.

Extension of Deadlines

    ACF may extend application deadlines when circumstances such as 
acts of God (floods, hurricanes, etc.) occur, or when there are 
widespread disruptions of mail service. Determinations to extend or 
waive deadline requirements rest with the Chief Grants Management 
Officer.
    For Further Information on Application Deadlines Contact: Ms. 
Daphne Weeden, Administration for Children and Families, Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW, 6th Floor, Washington, 
DC 20447, Telephone: (202) 401-4577.

Certifications, Assurances, And Disclosure Required For Non 
Construction Programs

    Applicants requesting financial assistance for non-construction 
projects must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard 
Form 424B with their applications.
    Applicants must provide a signed certification regarding lobbying 
with their applications, when applying for an award in excess of 
$100,000. Applicants who have used non-Federal funds for lobbying 
activities in connection with receiving assistance under this 
announcement shall complete a disclosure form to report lobbying.
    Applicants must make the appropriate certification of their 
compliance with the Drug Free Workplace Act of 1988. By signing and 
submitting the application, the applicant is providing the 
certification and need not mail back the certification with the 
applications.
    Applicants must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for an award. 
By signing and submitting the application, the applicant is providing 
the certification and need not mail back the certification with the 
applications.

General Instructions for Preparing a Full Project Description

    The project description provides a major means by which an 
application is evaluated and ranked to compete with other applications 
for available assistance. The project description should be concise and 
complete and should address the activity for which Federal funds are 
being requested. Supporting documents should be included where they can 
present information clearly and succinctly. Applicants are encouraged 
to provide information on their organizational structure, staff, 
related experience, and other information considered relevant. Awarding 
offices use this and other information to determine whether the 
applicant has the capability and resources necessary to carry out the 
proposed project. It is important, therefore, that this information be 
included in the application. However, in the narrative the applicant 
must distinguish between resources directly related to the proposed 
project from those that will not be used in support of the specific 
project for which funds are requested. Please refer to the UPD sections 
in appendix A.

Length of Applications

    Each application narrative portion should not exceed 25 double-
spaced pages in a 12-pitch font. Attachments and appendices should not 
exceed 25 pages and should be used only to provide supporting 
documentation such as maps, administration charts, position 
descriptions, resumes, and letters of intent for partnership 
agreements. Please do not include books or video tapes as they are not 
easily reproduced and are therefore, inaccessible to the reviewers. 
Each page should be numbered sequentially, including the attachments or 
appendices.

Part IV. Post-award--Applicable Regulations and Reporting 
Requirements

Applicable Regulations

    Applicable DHHS regulations can be found in 45 CFR Part 74 or Part 
92.

Treatment of Program Income

    Program income from activities funded under this program may be 
retained by the recipient and added to the funds committed to the 
project and used to further program objectives.

Reporting Requirements

    Grantees are required to file the Financial status Report (SF-269) 
and

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Program Performance Reports on a semi-annual basis. Funds issued under 
these awards must be accounted for and reported upon separately from 
all other grant activities. ORR does not expect the proposed 
components/projects to include evaluation activities, however, it does 
expect grantees to maintain adequate records to track and report on 
project outcomes. The official receipt point for all reports and 
correspondence is the ORR Grants Officer. An original and one copy of 
each report shall be submitted within 30 days of the end of each 
reporting period directly to the Grants Officer. The mailing address 
is: Ms. Daphne Weeden, Administration for Children and Families, Office 
of Refugee Resettlement, 370 L'Enfant Promenade SW, 6th 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: February 28, 2001.
Carmel Clay-Thompson,
Acting Director, Office of Refugee Resettlement.

Appendix A--Uniform Project Description Overview OMB No. 0970-0139

    The project description is approved under OMB control number 
0970-0139 which expires 12/31/2003.

Part I The Project Description Overview

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. In preparing your project description, all information 
requested through each specific evaluation criteria should be 
provided. Awarding offices use this and other information in making 
their funding recommendations. It is important, therefore, that this 
information be included in the application.

General Instructions

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

Part II General Instructions for Preparing a Full Project Description

Introduction

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

Project Summary/Abstract

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

Objectives and Need for Assistance

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

Results or Benefits Expected

    Identify the results and benefits to be derived. For example, 
the application would describe the torture victims to be treated, 
the number expected to use the service and the measures of 
improvement expected in the clients as a result of the treatment. 
Similarly, where research and training activities are proposed, the 
application would describe the training schedule and curriculum as 
well as the number expected to attend the training and the measures 
of information to be gained from the training.

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 and the number of 
activities accomplished. For example, applicants might project the 
number of torture victims to be enrolled for services with the 
number of clinical hours, social services and legal hours to be 
provided. Where the application proposes training, applicants might 
project frequency of training activities, the content of training, 
projected attendance and knowledge gained. When accomplishments 
cannot be quantified by activity or function, list them in 
chronological order to show the schedule of accomplishments and 
their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearance may be required from the U.S. Office of Management and 
Budget (OMB). This clearance pertains to any ``collection of 
information that is conducted or sponsored by ACF.''
    List organizations, cooperating entities, consultants, or other 
key individuals who will work on the project along with a short 
description of the nature of their effort or contribution.

Geographic Location

    Describe the precise location of the project and boundaries of 
the area to be served by the proposed project. Maps or other graphic 
aids may be attached.

Staff and Position Data

    Provide a biographical sketch for each key person appointed and 
a job description for each vacant key position. A biographical 
sketch will also be required for new key staff as appointed.

Organizational Profiles

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

Dissemination Plan

    Provide a plan for distributing reports and other project 
outputs to colleagues and the public. Applicants must provide a 
description of the kind, volume and timing of distribution.

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

[[Page 13776]]

terms and conditions that structure or define the relationship.

Letters of Support

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

Budget and Budget Justification

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

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 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 ACF-sponsored workshops should be detailed in 
the budget.

Equipment

    Description: ``Equipment'' means an article of nonexpendable, 
tangible personal property having a useful life of more than one 
year and an acquisition cost which equals or exceeds the lesser of 
(a) the capitalization level established by the organization for the 
financial statement purposes, or (b) $5,000. (Note: Acquisition cost 
means the net invoice unit price of an item of equipment, including 
the cost of any modifications, attachments, accessories, or 
auxiliary apparatus necessary to make it usable for the purpose for 
which it is acquired. Ancillary charges, such as taxes, duty, 
protective in-transit insurance, freight, and installation shall be 
included in or excluded from acquisition cost in accordance with the 
organization's regular written accounting practices.)
    Justification: For each type of equipment requested, provide a 
description of the equipment, the cost per unit, the number of 
units, the total cost, and a plan for use on the project, as well as 
use or disposal of the equipment after the project ends. An 
applicant organization that uses its own definition for equipment 
should provide a copy of its policy or section of its policy which 
includes the equipment definition.

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.

Contractual

    Description: Costs of all contracts for services and goods 
except for those which belong under other categories such as 
equipment, supplies, construction, etc. Third-party evaluation 
contracts (if applicable) and contracts with secondary recipient 
organizations, including delegate agencies and specific project(s) 
or businesses to be financed by the applicant, should be included 
under this category.
    Justification: All procurement transactions shall be conducted 
in a manner to provide, to the maximum extent practical, open and 
free competition. Recipients and subrecipients, other than States 
that are required to use Part 92 procedures, must justify any 
anticipated procurement action that is expected to be awarded 
without competition and exceed the simplified acquisition threshold 
fixed at 41 U.S.C. 403(11) currently set at $100,000. Recipients 
might be required to make available to ACF pre-award review and 
procurement documents, such as request for proposals or invitations 
for bids, independent cost estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions.

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 Charges

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

Program Income

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

Total Direct Charges, Total Indirect Charges, Total Project Costs

    Self-explanatory.
[FR Doc. 01-5510 Filed 3-6-01; 8:45 am]
BILLING CODE 4184-01-P