[Federal Register Volume 67, Number 185 (Tuesday, September 24, 2002)]
[Notices]
[Pages 59855-59862]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-24238]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. CFDA 93.598]


ORR Announcement for Services to Victims of a Severe Form of 
Trafficking

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

ACTION: Request for applications for projects to increase awareness 
about human trafficking and to support services for individuals 
determined to be victims of a severe form of trafficking.

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SUMMARY: This ORR announcement invites submission of grant applications 
for funding, on a competitive basis, for Local/Community Outreach and/
or Services for Victims of a Severe Form of Trafficking.

DATES: The closing date for receipt of applications is (4:30 p.m. 
Eastern Time Zone) November 1, 2002. Please note that all applications 
must be received (as opposed to postmarked) in ACF by this date or they 
will be considered late. Delays caused by express mailing companies are 
not the responsibility of ACF and negatively affected applications will 
be considered late. Mailed and hand-carried applications received after 
the 4:30 p.m. (Eastern Time Zone) deadline on the closing date will be 
classified as late.
    Announcement Availability: The program announcement and the 
application materials are available from Jay Womack and Neil Kromash, 
Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade SW, 
Washington, DC 20447 and from the ORR Web site at: www.acf.hhs.gov/programs/orr

FOR FURTHER INFORMATION CONTACT: For all categories, contact Jay 
Womack, (202) 401-5525, [email protected] or Neil Kromash, (202) 401-
5702, [email protected].

SUPPLEMENTARY INFORMATION: This program announcement consists of four 
parts:

    Part I: Background, legislative authority, funding availability, 
CFDA Number, eligible applicants, project and budget periods, 
program purpose and objectives, allowable activities, non-allowable 
activities, and review criteria.
    Part II: The Review Process--intergovernmental review, initial 
ACF screening, and competitive review and evaluation criteria.
    Part III: The Application--application forms, application 
submission and deadlines, certifications, assurances, and disclosure 
required for non-construction programs,

[[Page 59856]]

general instructions for preparing a full project description, and 
length of application.
    Part IV: Post-award--applicable regulations, treatment of 
program income, and reporting requirements.

    Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting 
burden for this collection of information is estimated to average 16 
hours per response, including the time for reviewing instructions, 
gathering and maintaining the data needed, and reviewing the collection 
of information. The following information collection is included in the 
program announcement: OMB Approval No. 0970-0139, ACF UNIFORM PROJECT 
DESCRIPTION (UPD) attached as Appendix A, which expires 12/30/03. An 
agency may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a currently 
valid OMB control number.

Part I: Background

    Since 1994, ORR has provided assistance for social services to meet 
the needs of newly arriving refugees through a standing announcement. 
In May 2001, ORR modified that announcement to include services to 
victims of a severe form of trafficking. However, in February 2002, ORR 
further modified Category 3 of the existing standing announcement by 
removing services to victims of a severe form of trafficking in order 
to proceed with a new and separate announcement specifically aimed at 
promoting awareness about human trafficking and addressing the service 
needs of victims of a severe form of trafficking. That notice of 
modification was published in the Federal Register on February 8, 2002 
(67 FR 6048).
    On May 24, 2002, ORR published an announcement in the Federal 
Register (67 FR 36622) to request applications to provide local/
community outreach and/or services to victims of a severe form of 
trafficking. Due to the positive response from that grant announcement, 
ORR has decided to provide additional funding in Fiscal Year 2003. 
Though the May 24, 2002 announcement was for multiple categories of 
funding, this new announcement is only requesting applications to 
provide local/community outreach and/or services to victims of a severe 
form of trafficking.

Legislative Authority

    These grants are authorized by three provisions of law: section 
107(b)(1)(B) of the Trafficking Victims Protection Act of 2000 
(TVPA)(22 U.S.C. 7105(b)(1)(B)); section 412(c)(1)(A) of the 
Immigration and Nationality Act (INA)(8 U.S.C. 1522(c)(1)(A)), as 
amended; and section 106(b) of the TVPA.
    Section 107(b)(1)(B) of the TVPA, Public Law 106-386, Division A, 
114 Stat. 1464 (2000), provides that ``Federal agencies shall expand 
benefits and services to victims of severe forms of trafficking in 
persons in the United States, without regard to the immigration status 
of such victims.'' Individuals who are determined to be victims of a 
severe form of trafficking will be issued a certification letter (for 
adults) or eligibility letter (for minors under the age of 18) from the 
U.S. Department of Health and Human Services (HHS). In conducting a 
benefits eligibility determination for a victim of a severe form of 
trafficking, benefit-granting agencies should accept the HHS 
certification letter or HHS eligibility letter for minors in lieu of 
documentation from the Immigration and Naturalization Service and as 
proof of a status that confers eligibility for benefits.
    Section 412(c)(1)(A) of the INA authorizes the Director ``to make 
grants to, and enter into contracts with, public or private nonprofit 
agencies for projects specifically designed--(i) To assist refugees in 
obtaining the skills which are necessary for economic self-sufficiency, 
including projects for job training, employment services, day care, 
professional refresher training, and other re-certification services; 
(ii) to provide training in English where necessary (regardless of 
whether the refugees are employed or receiving cash or other 
assistance); and (iii) to provide where specific needs have been shown 
and recognized by the Director, health (including mental health) 
services, social services, educational and other services.''
    Section 106(b) of the TVPA provides: ``The President, acting 
through the Secretary of Labor, the Secretary of Health and Human 
Services, the Attorney General, and the Secretary of State, shall 
establish and carry out programs to increase public awareness, 
particularly among potential victims of trafficking, of the dangers of 
trafficking and the protections that are available for victims of 
trafficking.

Funding Availability

    In FY 2003, ORR expects to award an estimated $1.25 million in 
funds to carry out the Trafficking Victims Protection Act of 2000. ORR 
expects to make approximately three to five grants under this grant 
announcement--Local/Community Outreach and/or Services for Victims of a 
Severe Form of Trafficking--ranging from $50,000 to $250,000 for a 
total of up to $1,250,000; renewable on a yearly basis for up to three 
years, subject to the availability of funds.
    The Director reserves the right to award less or more than the 
funds described in this announcement. In the absence of worthy 
applications, the Director may decide not to make an award if deemed in 
the best interest of the government. The ORR Director reserves the 
right to award grants after taking into consideration the geographic 
distribution of services among the major cities and areas throughout 
the United States where victims are most likely to be found and/or are 
in need of assistance. Funding availability for future years is at the 
Director's discretion.

CFDA Number--93.598

Eligible Applicants

    Public and private nonprofit organizations, including faith-based 
organizations and state, local, and tribal governments, are eligible to 
apply for any of these grants (see section 412(c) of the INA). For 
profit entities are eligible to apply for local/community outreach 
grants only (see section 106(b) of the TVPA), although HHS funds may 
not be paid as profit to any recipient even if the recipient is a 
commercial organization (45 CFR 74.81). ORR expects that applicants 
will coordinate with other local organizations in considering projects 
and proposing services.
    Any private nonprofit organization submitting an application must 
submit proof of its status in its application at the time of 
submission. The nonprofit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax-exempt organizations described in Section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
    Applicants are not required to match or cost share in the 
application.

Project and Budget Periods

    This announcement is inviting applications for project periods of 
up to three years. Awards, on a competitive basis, will be for a one-
year budget period although project periods may be up to three years. 
Applications for continuation grants funded under these awards, beyond 
the one-year budget period but within the three-year project period, 
will be entertained in

[[Page 59857]]

subsequent years on a noncompetitive basis, subject to availability of 
funds, satisfactory progress of the grantee and a determination that 
continued funding would be in the best interest of the Government.

Local/Community Outreach and/or Services for Victims of a Severe Form 
of Trafficking

Program Purpose and Objectives

    The purpose of Local/Community Outreach and/or Services for Victims 
of a Severe Form of Trafficking is multifaceted. It combines the need 
to increase local/community awareness about the burgeoning problem of 
human trafficking with the need to provide resources that will address 
the needs of individuals determined by HHS to be victims of a severe 
form of trafficking. Applications may choose to concentrate exclusively 
on one of these two areas, or focus more comprehensively on a 
combination of activities that incorporates both.
Local/Community Outreach
    The purpose of this area of the announcement is to provide state 
and local law enforcement, public and private service providers, non-
governmental organizations, immigrant and refugee communities, and 
individual community members with opportunities to learn about the 
Trafficking Victims Protection Act of 2000 (TVPA). The TVPA has 
presented an unprecedented opportunity to address the previously hidden 
problem of human trafficking. However, knowledge of the TVPA is limited 
among service professionals, law enforcement agencies, and the general 
public. Knowledge of benefits available to victims is similarly 
limited, especially among groups that do not normally access benefits 
or have connections with benefit-providing agencies and organizations.
    Educational opportunities need to be extended to these groups to 
allow them to learn about the existence of human trafficking within the 
United States and to recognize trafficking, particularly in their local 
communities. Integral in these outreach activities should be 
familiarity with the legal definition of ``severe forms of trafficking 
in persons'' as described in the TVPA. Subsequently, a clear 
understanding should be established of the criteria necessary to 
qualify as a victim of a severe form of trafficking for benefits and 
services purposes.
    Once trafficking victims have been identified, organizations must 
be empowered to provide victims with additional information and 
resources to access services available to them. Law enforcement 
agencies that have contact with immigrant or refugee populations must 
also be educated to look below the surface of people's circumstances in 
such areas as prostitution and immigrant labor. Service providers need 
to learn about the varied backgrounds from where the victims come and, 
most importantly, the unique issues that trafficking victims will 
present following their emancipation.
    Organizations must establish that within their geographic locality/
area there is a reasonable expectation that victims of a severe form of 
trafficking may be identified. Effective applications will also 
identify and aim to raise awareness about victim service needs that 
should be enhanced or increased based on the level of community 
awareness (or lack thereof) that exists regarding trafficking in a 
particular geographic locality/area.
    ORR is interested in providing resources for organizations to cover 
the costs of reaching out to community-based organizations so that 
victims are identified where they have the best chance for receiving 
assistance. In turn, communities where outreach and educational 
opportunities are being extended may experience an increase in the 
numbers of victims being identified and requesting services.
Services to Victims of a Severe Form of Trafficking
    Through Services to Victims of a Severe Form of Trafficking, ORR 
seeks to provide resources that will address the needs of individuals 
determined to be victims of a severe form of trafficking. Victims must 
be the recipients of a certification or eligibility letter from HHS in 
order to gain access to this assistance. We believe that enhanced case 
management, education, and culturally and linguistically appropriate 
linkages and coordination with other service providers contribute to 
the overall well-being of trafficking victims. Victims may also require 
initial assistance accessing refugee and/or mainstream services for 
which they are eligible. The services funded should enhance the 
likelihood that victims of a severe form of trafficking receive needed 
support as they work with the criminal justice system to assist in the 
investigation and prosecution of trafficking crimes.
    An applicant should provide anecdotal evidence that there have been 
victims of a severe form of trafficking within their community and/or a 
reasonable assumption that there may be additional unidentified victims 
in that community.
    This grant program is intended to support services that address the 
special conditions of victims of a severe form of trafficking. ORR's 
expectation is that victims of trafficking will most likely, after a 
brief period of time, access mainstream services. Therefore, grantees 
should view these resources as a temporary solution.
    According to post award requirements, grantees are expected to file 
periodic program reports. In the last two Program Performance Reports, 
grantees will discuss the transition of services indicating whether the 
services are now supported by the State, other public or private 
resources, or are no longer needed. These reports must also provide 
supporting information on the impact of the services provided to the 
target population.

Allowable Activities

Local/Community Outreach
    Allowable activities for local/community outreach include hosting 
community forums (including coordination and facilitation of outreach 
events) to raise general awareness about the problem of trafficking in 
their local community. In addition, applicants should emphasize the 
development of advertising and marketing anti-trafficking materials 
that reflect the broad scope of the various forms of trafficking 
(including debt bondage, peonage, forced labor and forced prostitution) 
and that are linguistically and culturally accessible, appropriate, and 
sensitive.
    Applications focusing on Local/Community Outreach should indicate 
approximate timelines for development, dissemination, and review of 
actions presented to measure the effectiveness of the communication.
Services to Victims of a Severe Form of Trafficking
    Allowable activities for Services to Victims of a Severe Form of 
Trafficking are restricted solely to individuals who are the recipients 
of a certification (for adults) or eligibility letter (for minors) from 
HHS. Some of the services needed for victims of a severe form of 
trafficking might include:
    [sbull] Special medical care that is not otherwise available to the 
individual;
    [sbull] Assistance with temporary transportation needs;
    [sbull] Temporary housing;
    [sbull] Temporary housing for young adults with limited experience 
living in families;
    [sbull] Independent living skills and cultural orientation;

[[Page 59858]]

    [sbull] Access to appropriate educational programs;
    [sbull] Legal assistance/referrals and administrative costs 
(excluding T-visa application fees and/or attorney fees).
    [sbull] Case management, to include information and referral to 
needed services in the community, either funded refugee services or 
mainstream services as appropriate;
    [sbull] Special mental health services, such as trauma counseling, 
and
    [sbull] Other services needed to bridge the time between the 
certification or eligibility date indicated directly on the 
Department's letter, and the receipt of public benefits and support 
services.
    Applicants focusing on Services to Victims of a Severe Form of 
Trafficking should indicate how they will ensure that services are 
appropriate and accessible both linguistically and culturally.

Non-Allowable Activities

    Funds will not be awarded to applicants for the purpose of engaging 
in activities of a distinctly political nature, activities designed 
exclusively to promote the preservation of a specific cultural 
heritage, or activities with an international objective (i.e., 
activities related to events in the refugees' country of origin). No 
funds will be used to provide direct services or benefits to 
trafficking victims who have not been certified by HHS and are 
therefore not yet eligible to receive direct benefits and/or services. 
HHS Trafficking funds may not be used by any agency or organization to 
support activities relating to or supporting the legalization of 
prostitution.

Review Criteria

    1. Objectives and Need--Local/Community Outreach--The applicant 
demonstrates a clear understanding of the population to be served. The 
conditions in proposed communities are clearly described, including the 
reasonable expectation of identifying trafficking victims within the 
community. The need for additional information leading to enhanced 
acknowledgment of trafficking is documented. The applicant provides 
anecdotal evidence that there are enough people and/or organizations 
that would benefit from this type of outreach/educational opportunity. 
Services for Victims of a Severe Form of Trafficking--The applicant 
demonstrates a clear understanding of the population to be served. The 
number of projected victims of trafficking to be served is reasonable 
in light of the organization's capacity. The application proposes to 
address a program of services for victims of trafficking. (25 points)
    2. Results or Benefits Expected--The applicant clearly describes 
the results and benefits to be achieved. The application clearly 
describes how the specific target population will benefit from proposed 
services, e.g., enhanced case management, special medical care, 
referrals and follow-up with culturally and linguistically appropriate 
mainstream providers. Results or benefits are described also in terms 
of the opportunities provided for victims, benefit-providing agencies, 
and law enforcement. The application describes how the impact of the 
funds will be measured on key indicators associated with the purpose of 
the project. Proposed outcomes are measurable and achievable within the 
grant project period, and the proposed monitoring and information 
collection is adequately planned. (25 points)
    3. Approach--The strategy and plan, including a description of each 
proposed geographic area/community and an assessment of appropriateness 
of activities, are likely to achieve proposed results. The proposed 
activities and timeframes are reasonable and feasible. The plan 
describes in detail how the proposed activities will be accomplished as 
well as the potential for the project to generate additional interest 
in outreach to victim populations and coordination with other services. 
The application includes a clear and comprehensive description of the 
geographic area/communities to be served and how it/they will be 
impacted by this project. Assurance is provided that proposed services 
will be delivered in a manner that is linguistically and culturally 
appropriate to the target population. The applicant has described the 
planning and/or consultation efforts undertaken. Where coalition 
partners are proposed, the applicant describes each partner agency's 
respective role and financial responsibilities and describes how the 
coalition will enhance the accomplishment of the project goals. 
Evidence of commitment of coalition partners in implementing the 
activities is demonstrated, i.e., by Memoranda of Understanding (MOUs) 
among participants. Assurance is provided that proposed services will 
be delivered in a manner that is linguistically and culturally 
appropriate to the target population. (25 points)
    4. Organizational Profiles--The administrative and management 
features of the project, including a plan for fiscal and programmatic 
management of each activity and planning activities, are described in 
detail with proposed start-up times, ongoing timelines, major 
milestones or benchmarks, a component/project organization chart, 
management of affiliates, and a staffing chart of affiliate network. 
The qualifications of project staff, both applicant and affiliate 
agencies, as well as any volunteers, are documented. The applicant has 
provided a copy of its most recent audit report. (10 points)
    5. Budget and Budget Justification--The budget and narrative 
justification are reasonable, clearly presented, and cost-effective in 
relation to the proposed activities and anticipated results. The 
applicant clearly indicates how awarded funds will complement other 
community outreach efforts and/or social services to achieve the 
objectives. Planning for continuation of services beyond the project 
period is realistic. (15 points)

Part II: The Review Process

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.
    [sbull] All States and Territories except Alabama, Alaska, Arizona, 
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York, 
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, Wyoming, and Palau have elected to participate in 
the Executive Order process. Applicants from these twenty-seven 
jurisdictions need take no action regarding E.O. 12372. Applicants for 
projects to be administered by Federally-recognized Indian Tribes are 
also exempt from the requirements of E.O. 12372. Applicants should 
contact their Single-Points-of-Contact (SPOC) as soon as possible to 
alert them of the prospective applications and receive any necessary 
instructions. Applicants from participating jurisdictions must submit 
any required material to the SPOCs as soon as possible so that the 
program office can obtain and review SPOC comments as part of the award 
process. The applicant must submit all required materials, if any, to 
the SPOC and indicate the date of this submittal (the date of contact) 
on the Standard Form 424, item 16a.

[[Page 59859]]

    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Grants Management Officer, U.S. Department of Health and 
Human Services, Administration for Children and Families, Office of 
Refugee Resettlement, 370 L'Enfant Promenade SW., 4th floor, Washington 
DC 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/index.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 of November 1, 2002, and submitted in accordance 
with the instructions in this announcement; and (2) the applicant is 
eligible for funding.

Competitive Review and Evaluation Criteria

    Applications which pass the initial ACF screening will be evaluated 
and rated by an independent review panel on the basis of evaluation 
criteria specified in Part I. The evaluation criteria were designed to 
assess the quality of a proposed project and to determine the 
likelihood of its success. The evaluation criteria are closely related 
and are considered as a whole in judging the overall quality of an 
application. Points are awarded only to applications that are 
responsive to the evaluation criteria within the context of this 
program announcement.

Part III: The Application

    In order to be considered for a grant under this program 
announcement, an application must be submitted on the forms supplied 
and in the manner prescribed by ACF. Selected elements of the ACF 
Uniform Project Description (UPD) relevant to this program announcement 
are attached as Appendix A.

Application Forms

    Applicants requesting financial assistance under this announcement 
must file the Standard Form (SF) 424, Application for Federal 
Assistance; SF 424A, Budget Information--Non-construction Programs; SF 
424B, Assurances--Non-Construction Programs. The forms may be 
reproduced for use in submitting applications. Application materials 
including forms and instructions are also available from the Contact 
named in the preamble of this announcement.

Application Submission and Deadlines

    An application with an original signature and two clearly 
identified copies are required. Applicants must clearly indicate on the 
SF 424 the grant announcement number under which the application is 
submitted.
    The closing date for receipt of applications is (4:30 p.m. Eastern 
Time Zone) November 1, 2002. Please note that all applications must be 
received (as opposed to postmarked) in ACF by this date or they will be 
considered late. Delays caused by express mailing companies are not the 
responsibility of ACF and negatively affected applications will be 
considered late. Mailed and hand-carried applications received after 
the 4:30 p.m. (Eastern Time Zone) deadline on the closing date will be 
classified as late.
    Mailed applications shall be considered as meeting an announced 
deadline if they are either received on or before the deadline time and 
date at the: U.S. Department of Health and Human Services, 
Administration for Children and Families, Office of Grants Management, 
Division of Discretionary Grants, Attention: Grants Management Officer, 
370 L'Enfant Promenade SW., 4th Floor, Washington, DC 20447. Applicants 
are responsible for mailing applications well in advance to ensure that 
applications are received on or before the deadline time and date.
    Applications hand-carried by applicants, applicant couriers, 
overnight/express mail couriers, or by other representatives on behalf 
of the applicant shall be considered as meeting an announced deadline 
if they are received on or before the deadline date, between the hours 
of 8 a.m. and 4:30 p.m., EST, at the U.S. Department of Health and 
Human Services, Administration for Children and Families, Office of 
Grants Management, Division of Discretionary Grants, Attention: Grants 
Management Officer, 4th Floor, Aerospace Building, 901 D Street, SW., 
Washington, DC 20447 between Monday and Friday (excluding federal 
holidays). The address must appear on the envelope/package containing 
the application with the note ``Attention: Grants Management Officer.'' 
(Applicants are cautioned that express/overnight mail services do not 
always deliver as agreed. Delays caused by express mailing companies 
are not the responsibility of ACF and negatively affected applications 
will be considered late.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of date or time of 
submission and time of receipt.
    The federal government has experienced periodic delays in mail 
delivery through the U.S. Postal Service since fall 2001. In some 
instances, mail has been delayed up to or over four months. To ensure 
that ACF receives your application by the (4:30 p.m. Eastern Time Zone) 
November 1, 2002 deadline, you may wish to send your application via an 
express mailing service. Also, please send an electronic notification 
that you have sent an application to Jay Womack at [email protected] 
and Neil Kromash at [email protected].
    Late applications: Applications that do not meet the criteria above 
are considered late applications. ACF shall notify each late applicant 
that its application will not be considered in the current competition.
    Extension of deadlines: ACF may extend application deadlines when 
circumstances such as acts of God (e.g. floods, hurricanes, etc.) 
occur, or when there are widespread disruptions of mail service. 
Determinations to extend or waive deadline requirements rest with the 
Chief Grants Management Officer.
    For Further Information on Application Deadlines Contact: Grants 
Management Officer, Administration for Children and Families, Office of 
Grants Management, Division of Discretionary Grants, 370 L'Enfant 
Promenade SW., 4th Floor, Washington, DC 20447, Telephone: (202) 401-
4577.

Certifications, Assurances, and Disclosure Required for Non-
Construction Programs

    Applicants must sign and return the disclosure form, if applicable, 
with their applications. Applicants requesting financial assistance for 
non-construction projects must file the Standard Form 424B, 
``Assurances: Non-Construction Programs.'' Applicants must sign and 
return the Standard Form 424B with their applications.
    Applicants must provide a signed certification regarding lobbying 
with their applications, when applying for an award in excess of 
$100,000. Applicants who have used non-federal funds for

[[Page 59860]]

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 
application.
    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 the appendix.

Length of Applications

    Each application narrative should not exceed 20 pages in a 12-pitch 
font. Attachments and appendices should not exceed 25 pages and should 
be used only to provide supporting documentation such as administration 
charts, position descriptions, resumes, and letters of intent or 
partnership agreements. A table of contents and an executive summary 
should be included but will not count in the page limitations. Each 
page should be numbered sequentially, including the attachments and 
appendices. This limitation of 20 pages should be considered as a 
maximum, and not necessarily a goal. Application forms are not to be 
counted in the page limit.
    Please do not include books or videotapes as they are not easily 
reproduced and are, therefore, inaccessible to the reviewers.

Part IV: Post-Award

Applicable Regulations

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

Treatment of Program Income

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

Reporting Requirements

    Grantees are required to file the Financial Status Report (SF-269) 
semi-annually and the Program Performance Reports quarterly, along with 
the Schedule C of the ORR Quarterly Performance Report.
    Funds awarded must be accounted for, and reported under, the 
distinct grant number ascribed. Although ORR does not expect the 
proposed projects to include evaluation activities, it does expect 
grantees to maintain adequate records to track and report on project 
outcomes and expenditures. The official receipt point for all reports 
and correspondence is the Grants Management Officer, Administration for 
Children and Families/Office of Grants Management, Division of 
Discretionary Grants, 370 L'Enfant Promenade SW., 4th Floor, 
Washington, DC 20447, Telephone: (202) 401-4577. An original and one 
copy of each report shall be submitted within 30 days of the end of 
each reporting period directly to the Office of Grants Management.
    A Final Financial and Program Report shall be due 90 days after the 
project expiration date or termination of federal budget support.

    Dated: August 29, 2002.
Carmel Clay-Thompson,
Deputy Director, Office of Refugee Resettlement.

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

    The project description is approved under OMB control number 
0970-0139 which expires 12/31/03.

Part I: The Project Description Overview

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.

Approach

    Outline a plan of action which describes the scope and detail of 
how the proposed

[[Page 59861]]

work will be accomplished. Account for all functions or activities 
identified in the application. Cite factors which might accelerate 
or decelerate the work and state your reason for taking the proposed 
approach rather than others. Describe any unusual features of the 
project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of 
activities accomplished. When accomplishments cannot be quantified 
by activity or function, list them in chronological order to show 
the schedule of accomplishments and their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearance may be required from the U.S. Office of Management and 
Budget (OMB). This clearance pertains to any ``collection of 
information that is conducted or sponsored by ACF.''
    List organizations, cooperating entities, consultants, or other 
key individuals who will work on the project along with a short 
description of the nature of their effort or contribution.

Staff and Position Data

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

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.

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. 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 that 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 sub-recipients, other than States 
that are required to use Part 92 procedures, must justify any 
anticipated procurement action that is expected to be awarded 
without competition and exceed the simplified acquisition threshold 
fixed at 41 U.S.C. 403(11) currently set at $100,000. Recipients 
might be required to make available to ACF pre-award review and 
procurement documents, such as request for proposals or invitations 
for bids, independent cost estimates, etc.

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

Other

    Enter the total of all other costs. Such costs, where applicable 
and appropriate, may

[[Page 59862]]

include but are not limited to insurance, food, medical and dental 
costs (non-contractual), professional services costs, space and 
equipment rentals, printing and publication, computer use, training 
costs, such as tuition and stipends, staff development costs, and 
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 
acknowledgment 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 that contain this information.

Nonfederal 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]

[FR Doc. 02-24238 Filed 9-23-02; 8:45 am]
BILLING CODE 4184-01-P