[Federal Register: May 4, 2005 (Volume 70, Number 85)]
[Notices]
[Page 23216-23224]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04my05-84]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Office of Refugee Resettlement; Discretionary Funds for Refugee
Microenterprise Development Projects
Announcement Type: Initial.
Funding Opportunity Number: HHS-2005-ACF-ORR-RG-0094.
CFDA Number: 93.576.
Due Date for Applications: Application is due July 5, 2005.
Executive Summary: The Office of Refugee Resettlement (ORR) has
supported the field of microenterprise development since 1991 with
discretionary grants to various State governments, community economic
development agencies, community action and other human service
agencies, local mutual assistance associations, and voluntary agencies.
Organizations with successful programs have typically been those with a
long-term commitment to microenterprise, particularly access to
lending, and to its adaptation to the refugee experience. They have
committed agency resources to support refugee programs; and their work
in refugee microenterprise development has been consistent with the
overall agency mission.
A public or private non-profit agency interested in receiving
funding under this announcement must have the organizational capacity
to work with refugees who have low incomes, limited English-language
proficiency, and neither assets nor American business experience. Many
newly arrived refugees do not qualify for commercial loans or for
admission into mainstream microenterprise development programs for
these reasons. Organizations that cannot support in-house lending and
essential loan-servicing responsibilities may experience difficulties
in implementing a microenterprise project.
Refugees bring positive attributes to microenterprise development
projects, including a diverse and rich array of business ideas, skills,
experiences, and ambitions. These characteristics have been largely
responsible for the success of the ORR program. During the last 14
years, refugees have started or expanded more than 1,800 micro-
businesses (with a business survival rate of over 88 percent). ORR
grantees have provided over $4 million in financing to these
entrepreneurs and clients have used these loans to leverage an
additional $4,500,000 in loans from other sources. The loan repayment
rate is close to 100 percent. Additionally, 2,666 new jobs have been
created. Over 10,500 refugees have gained new entrepreneurial skills
and knowledge; and the additional business income is helping refugee
families to achieve economic self-sufficiency. By commonly accepted
measures of performance (business survival rates, loan default rates,
etc.), the ORR-funded programs have excelled and frequently led the
field in achievement.
Building on the experience of the last 14 years, ORR seeks in this
announcement to continue support to this field, particularly on behalf
of those refugees who, because of language and cultural barriers, are
unlikely to gain access to commercial loans or business training
through other programs. To be successful in this competition, refugee-
serving organizations must demonstrate their organization's capacity to
provide the technical expertise necessary to help refugees start,
expand, or strengthen businesses, and to provide access to credit.
Economic development agencies must show how they will modify their
existing programs to serve refugees effectively.
The Office of Refugee Resettlement (ORR) invites eligible entities
to submit competitive grant applications for microenterprise
development projects for refugees.\1\ Applications will be accepted
pursuant to the Director's discretionary authority under section 412(c)
of the Immigration and Nationality Act (INA) (8 U.S.C. 1522(c)), as
amended. Applications will be screened and evaluated as indicated in
this program announcement. Awards will be contingent on the outcome of
the competition and the availability of funds.
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\1\ Eligibility for refugee social services includes: (1)
Refugees; (2) asylees; (3) Cuban and Haitian entrants under section
501 of the Refugee Education Assistance Act of 1980 (Pub. L. 96-
422); (4) certain Amerasians from Vietnam who are admitted to the
U.S. as immigrants under section 584 of the Foreign Operations,
Export Financing, and Related Programs Appropriations Act, as
included in the FY 1988 Continuing Resolution (Pub. L. 100-202); (5)
certain Amerasians from Vietnam who are U.S. citizens under Title II
of the Foreign Operations, Export Financing, and Related Programs
Appropriations Act of 1989 (Pub. L. 100-461), 1990 (Pub. L. 101-
167), and 1991 (Pub. L. 101-513); and (6) victims of a severe form
of trafficking who receive certification or eligibility letters from
ORR and certain family members who have been granted derivative T
visas (see 45 CFR 400.43 and ORR State Letters Number 01-13 as
modified by State Letter Number 02-01 and Number 04-12 on
trafficking victims). For convenience, the term ``refugee'' is used
in this notice to encompass all such eligible persons. Additional
information on eligibility is available at: http://www.acf.hhs.gov/programs/orr/policy/s101-13.htm; http://www.acf.hhs.gov/programs/orr/policy/s102-01.htm
; and http://www.acf.hhs.gov/programs/orr/
policy/s104-12.htm.
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I. Funding Opportunity Description
Legislative Authority: Section 412(c)(1)(A) of the Immigration and
Nationality Act (INA)(8 U.S.C. 1522(c)(1)(A)) 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 that are necessary for economic self-
sufficiency, including projects for job training, employment services,
day care, professional refresher training, and other recertification
services; (ii) to provide training in English where necessary
(regardless of whether the refugees are employed or receiving cash or
other assistance); and (iii) to provide where specific needs have been
shown and recognized by the Director, health (including mental health)
services, social services, educational and other services''. In
addition, section 412(a)(4)(A)(i) of the INA (8 U.S.C.
1522(a)(4)(A)(i)) authorizes the Director to make loans for the purpose
of carrying out this section.
Discretionary Funds for Refugee Microenterprise Development Projects
1. Description
Purpose and Scope: The purpose of microenterprise development is to
assist refugees in becoming economically self-sufficient and to help
refugee communities in developing employment and capital resources.
To achieve this purpose, applicants for microenterprise development
projects may request funds for business technical assistance, short-
term training, credit in the form of microloans, a revolving microloan
fund or loan loss reserve fund, and post-loan technical assistance.
Funds may also be requested to cover administrative costs associated
[[Page 23217]]
with managing a microenterprise project.
Projects should be designed in a manner that is culturally and
linguistically appropriate for the refugee population, including
interest in diverse microbusinesses and English-language proficiency.
Project designs should also take into account such economic factors as
employment rates, welfare status, and length of time in the U.S.
Applicants should also be familiar with the capital needs and capital
market gaps for refugee entrepreneurs and should demonstrate how
refugees will gain access to business credit.
Successful applicants should demonstrate an understanding of the
economic opportunities in the community for refugees and should have
established working partnerships with the communities' refugee
resettlement services network, with existing microenterprise
development organizations (where they are present), and with financial
institutions.
Client Eligibility: Eligible clients are refugees who aspire to
establish, expand, or stabilize a microenterprise but who lack the
financial resources, credit history, or personal assets to qualify for
business loans or assistance through commercial institutions. Refugees
who are not yet citizens may participate regardless of their date of
arrival in the U.S. However, refugees who arrived in the U.S. within
the last five years have priority for services. Grantees will be
responsible for documenting refugee client eligibility.
Allowable Activities: Project components may include one-on-one
business consultation and training, training in classroom settings,
access to business credit, revolving loan funds, loan-loss reserve
funds, and technical assistance to refugee businesses. ORR funds may
also be used for the administrative costs associated with managing a
revolving loan fund.
Training and Technical Assistance
Training and other services should be individualized and flexible.
While not all clients need extensive training or comprehensive
technical assistance, proposals should address how the grant award will
be allocated based on client need. Applications should indicate how
technical assistance will be provided to address the complexity of the
business plan, the level of risk entailed by the business, and the
experiential background of the client.
If structured training is offered, it is generally recommended that
the training be relatively short-term. The goal of training should be
the completion of the business plan. Training should also stress
marketing and cash-flow projections.
Loans
Microloans consist of small amounts of credit that are less than
$15,000 and are extended to low-income entrepreneurs for start-ups of
microenterprises or for the expansion or stabilization of existing
microenterprises. ORR funds may be used for microloans to individual
refugee entrepreneurs in sums not to exceed $15,000 (of ORR monies).
These funds may be disbursed through individual loans or a revolving
loan fund. Grantees with loan funds will be responsible for
establishing written lending policies and procedures and for collecting
and servicing loan repayments.
ORR supports the use of commercial lending institutions for refugee
borrowers to leverage the limited amount of ORR funds available for
this purpose and to provide borrowers with the opportunity to establish
creditworthy histories with traditional lenders. Applicants may elect
to establish cooperative relationships with one or more of the
community's financial institutions to obtain access to commercial loan
funds. Alternatively, grantees may establish a loan-loss reserve fund
with a financial institution, but should ensure that the agreement with
the financial institution is beneficial to the grantee and the refugee
clients; this should be monitored particularly in reference to the
amount of additional funds leveraged using ORR monies and the way in
which loans will be approved. In this case, ORR funds may be used for
microloans to individual refugee entrepreneurs in sums not to exceed
$15,000 of ORR monies in the reserve, but the total loan may be larger
if necessary.
ORR does not encourage the use of below-market rates of interest
for the loan funds. Conversely, grantees may not charge refugees
interest rates that exceed four percentage points above the New York
prime lending rate at the time of loan approval. Unless the terms and
interest rate are identical, ORR loan funds cannot be combined with
other sources.
Microloans will have a maximum maturity of three years. The
applicant must demonstrate how they will ensure that loans are closed
out by the end of the project period. If the term of the loan will
exceed the time of the grant, grantees may also propose how they will
continue to administer the loan repayment and any necessary technical
assistance after the end of the project period. Loans may be used for
working capital, inventory, supplies, furniture, fixtures, machinery,
tools, equipment, building renovation, and/or leasehold improvements.
Microloan funds may not be used for the following types of
businesses:
As venture capital for established businesses that are
attempting major expansion;
For enterprises engaged in gambling or speculation;
For any illegal activity or production or for the service
or distribution of illegal products;
For purposes not related to microenterprise development;
e.g., for the purchase of a personal-use automobile.
Additionally, ORR strongly urges that if a refugee client proposes
opening an import/export business or a franchise business, the
businesses be thoroughly investigated and documented to ensure legality
and fairness to the refugee.
Treatment of Program Income: Projects with revolving loan funds may
earn and retain program income in the form of interest (on individual
loans or from loan-loss reserves). Specifically, program income funds
may be retained by the project to expand the pool of credit in
accordance with 45 CFR 74.24 (b)(1), (b)(2) and (e) for non-profit
organizations and 45 CFR 92.25 (g)(2) for governmental entities.
Similarly, repaid loan principal is to be treated as program income and
placed in the revolving loan fund or loan-loss reserve fund for re-
lending. Program income may be retained by the grantee so long as the
use of these funds furthers the objectives of the grant and is
consistent with the Federal statute under which the grant was made (45
CFR 74.24(e)).
Any fees or charges imposed on refugee clients by the grantee or
its subcontractors or affiliates (e.g., loan processing or training
fees) must be disclosed in the application and preapproved by ORR.
Program income must be reported on the Financial Status Report (SF 269)
semiannually during the project period.
Successful grantees will be expected to coordinate their policies
and procedures for developing and administering refugee microenterprise
development projects with the existing refugee microenterprise services
network. To ensure an exchange of technical and training information
among programs, all grantees are encouraged to attend two ORR training
meetings during each year of their participation in this program area.
Grant funds may be used to offset the cost of attendance.
[[Page 23218]]
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Priority Area Funding: $1,200,000.
Anticipated Number of Awards: 4 to 12.
Ceiling on Amount of Individual Awards Per Budget Period: $500,000.
Average Projected Award Amount Per Budget Period: $200,000.
Length of Project Periods: 48-month project with four 12-month
budget Periods.
III. Eligibility Information
1. Eligible Applicants
State governments;
County governments; City or township governments; State-controlled
institutions of higher education; Non-profits having a 501(c)(3) status
with the IRS, other than institutions of higher education; Non-profits
that do not have a 501(c)(3) status with the IRS, other than
institutions of higher Education; and Private institutions of higher
education.
Additional Information on Eligibility
Only public and private non-profit organizations are eligible to
apply. Faith-based organizations are eligible to apply.
To be successful in this competition, refugee-serving organizations
must demonstrate their organization's capacity to provide the technical
expertise necessary to help refugees start, expand, or strengthen
businesses, and to provide access to credit. Economic development
agencies must show how they will modify their existing programs to
serve refugees effectively.
2. Cost Sharing/Matching
None.
3. Other
All applicants must have a Dun & Bradstreet number. On June 27,
2003 the Office of Management and Budget published in the Federal
Register a new Federal policy applicable to all Federal grant
applicants. The policy requires Federal grant applicants to provide a
Dun & Bradstreet Data Universal Numbering System (DUNS) number when
applying for Federal grants or cooperative agreements on or after
October 1, 2003. The DUNS number will be required whether an applicant
is submitting a paper application or using the government-wide
electronic portal (http://www.Grants.gov). A DUNS number will be required for
every application for a new award or renewal/continuation of an award,
including applications or plans under formula, entitlement and block
grant programs, submitted on or after October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
online at http://www.dnb.com.
Non-profit organizations applying for funding are required to
submit proof of their non-profit status. Proof of non-profit status is
any one of the following:
A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS code.
A copy of a currently valid IRS tax-exemption certificate.
A statement from a State taxing body, State attorney
general, or other appropriate State official certifying that the
applicant organization has a non-profit status and that none of the net
earnings accrue to any private shareholders or individuals.
A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
Any of the items in the subparagraphs immediately above
for a State or national parent organization and a statement signed by
the parent organization that the applicant organization is a local non-
profit affiliate.
When applying electronically we strongly suggest that you attach
your proof of non-profit status with your electronic application.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms,'' ``Survey for Private, Non-Profit Grant Applicants,''
titled, ``Survey on Ensuring Equal Opportunity for Applicants,'' at:
http://www.acf.hhs.gov/programs/ofs/forms.htm.
Disqualification Factors
Applications that exceed the ceiling amount will be considered non-
responsive and will not be considered for funding under this
announcement.
Any application that fails to satisfy the deadline requirements
referenced in Section IV.3 will be considered nonresponsive and will
not be considered for funding under this announcement.
IV. Application and Submission Information
1. Address To Request Application Package
Sylvia Johnson, Grants Management Officer, Office of Grants
Management, Administration for Children and Families, 370 L'Enfant
Promenade SW., 4th Floor West, Washington, DC 20447. Phone: 202-401-
5513. E-mail: ACFOGME-Grants@acf.hhs.gov. URL: http://www.acf.hhs.gov/programs/orr
.
2. Content and Form of Application Submission
Applicants that are submitting their application in paper format
should submit an original and two copies of the complete application.
An original and two copies of the complete application are required.
The original and each of the two copies must include all required
forms, certifications, assurances, and appendices, be signed by an
authorized representative, have original signatures, and be submitted
unbound.
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. A table of contents and an executive
summary should be included. The application narrative should be in a
12-pitch font with a 25 page narrative limit (up to an additional 20
pages of attachments are allowable, not including letters of support,
table of contents, executive summary, or standard forms and
certifications). Reviewers may disregard narrative over the page limit.
Each page should be numbered sequentially, including any attachments or
appendices. Please do not staple or in any way bind the application
other than with a rubber band or a clip. Please do not include books or
videotapes as they are not easily reproduced and are, therefore,
inaccessible to reviewers.
You may submit your application to us in either electronic or paper
format. To submit an application electronically, please use the http://www.Grants.gov/Apply
site. If you use Grants.gov, you will be able to
download a copy of the application package, complete it off-line, and
then upload and submit the application via the Grants.gov site. ACF
[[Page 23219]]
will not accept grant applications via e-mail or facsimile
transmission.
Please note the following if you plan to submit your application
electronically via Grants.gov:
Electronic submission is voluntary, but strongly
encouraged.
When you enter the Grants.gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation. We strongly recommend that you
do not wait until the application deadline date to begin the
application process through Grants.gov.
We recommend that you visit Grants.gov at least 30 days
prior to filing your application to fully understand the process and
requirements. We encourage applicants who submit electronically to
submit well before the closing date and time so that if difficulties
are encountered an applicant can still send in a hard copy overnight.
If you encounter difficulties, please contact the Grants.gov Help Desk
at 1-800-518-4276 to report the problem and obtain assistance with the
system.
To use Grants.gov, you, as the applicant, must have a DUNS
Number and register in the Central Contractor Registry (CCR). You
should allow a minimum of five days to complete the CCR registration.
You will not receive additional point value because you
submit a grant application in electronic format, nor will we penalize
you if you submit an application in paper format.
You may submit all documents electronically, including all
information typically included on the SF 424 and all necessary
assurances and certifications.
Your application must comply with any page-limitation
requirements described in this program announcement.
After you electronically submit your application, you will
receive an automatic acknowledgement from Grants.gov that contains a
Grants.gov tracking number. The Administration for Children and
Families will retrieve your application from Grants.gov.
We may request that you provide original signatures on
forms at a later date.
You may access the electronic application for this program
on http://www.Grants.gov
You must search for the downloadable application package
by the CFDA number.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms,'' ``Survey for Private, Non-Profit Grant Applicants,''
titled, ``Survey on Ensuring Equal Opportunity for Applicants,'' at:
http://www.acf.hhs.gov/programs/ofs/forms.htm.
Standard Forms and Certifications: The project description should
include all the information requirements described in the specific
evaluation criteria outlined in the program announcement under Section
V Application Review Information. In addition to the project
description, the applicant needs to complete all the standard forms
required for making applications for awards under this announcement.
Applicants seeking 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. Applicants must sign and
return the standard forms with their application.
Applicants must furnish prior to award an executed copy of the
Standard Form LLL, Certification Regarding Lobbying, 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, if
applicable, with their applications (approved by the Office of
Management and Budget under control number 0348-0046). Applicants must
sign and return the certification with their application.
Applicants must also understand they will be held accountable for
the smoking prohibition included within Pub. L. 103-227, Title XII
Environmental Tobacco Smoke (also known as the PRO-KIDS Act of 1994). A
copy of the Federal Register notice, which implements the smoking
prohibition, is included with forms. By signing and submitting the
application, applicants are providing the certification and need not
mail back the certification with the application.
Applicants must make the appropriate certification of their
compliance with all Federal statutes relating to non-discrimination. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification form. Complete
the standard forms and the associated certifications and assurances
based on the instructions on the forms. The forms and certifications
may be found at: http://www.acf.hhs.gov/programs/ofs/forms.htm.
For those organizations required to provide proof of non-profit
status, please refer to Section III.3.
Please see Section V.1, for instructions on preparing the full
project description.
3. Submission Dates and Times
Due Dates for Applications: July 5, 2005.
Explanation of Due Dates for Applications
The closing date for submission of applications is referenced
above. Mailed applications postmarked after the closing date will be
classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are either received on or before the
deadline date or sent on or before the deadline date and received by
ACF in time for the independent review referenced in Section IV.6.
Applicants are responsible for ensuring applications are mailed or
submitted electronically well in advance of the application due date.
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., eastern time at the
address referenced in Section IV.6., between Monday and Friday
(excluding Federal holidays).
ACF cannot accommodate transmission of applications by fax.
Therefore, applications transmitted to ACF by fax will not be accepted
regardless of date or time of submission and time of receipt.
Receipt acknowledgement for application packages will not be
provided to applicants who submit their package via mail, courier
services, or by hand delivery. However, applicants will receive an
electronic acknowledgement
[[Page 23220]]
for applications that are submitted via http://www.Grants.gov.
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, or in other rare
cases. Determination to extend or waive deadline requirements rests
with the Chief Grants Management Officer.
Checklist
You may use the checklist below as a guide when preparing your
application package.
----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit
----------------------------------------------------------------------------------------------------------------
Project Abstract..................... See Sections IV.2 and V Found in Sections IV.2 By application due
and V. date.
Project Description.................. See Sections IV.2 and V Found in Sections IV.2 By application due
and V. date.
Budget Narrative/Justification....... See Sections IV.2 and V Found in Sections IV.2 By application due
and V. date.
SF 424............................... See Section IV.2....... See http:// By application due
http://www.acf.hhs.gov/ date.
programs/ ofs/
forms.htm.
SF LLL Certification Regarding See Section IV.2....... See http:// By application due
Lobbying. http://www.acf.hhs.gov/ date.
programs/ ofs/
forms.htm.
Certification Regarding Environmental See Section IV.2....... See http:// By application due
Tobacco Smoke. http://www.acf.hhs.gov/ date.
programs/ ofs/
forms.htm.
Assurances........................... See Section IV.2....... ....................... By date of award.
----------------------------------------------------------------------------------------------------------------
Additional Forms: Private, non-profit organizations are encouraged
to submit with their applications the survey located under ``Grant
Related Documents and Forms,'' ``Survey for Private, Non-Profit Grant
Applicants,'' titled, ``Survey on Ensuring Equal Opportunity for
Applicants,'' at: http://www.acf.hhs.gov/programs/ofs/forms.htm.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Location When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit See form.............. Found in http:// By application due
Grant Applicants. http://www.acf.hhs.gov/programs/ date.
ofs/forms.htm.
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4. Intergovernmental Review
State Single Point of Contact (SPOC)
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
As of October 1, 2004, the following jurisdictions have elected to
participate in the Executive Order process: Arkansas, California,
Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa,
Kentucky, Maine, Maryland, Michigan, Mississippi, Missouri, Nevada, New
Hampshire, New Mexico, New York, North Dakota, Rhode Island, South
Carolina, Texas, Utah, West Virginia, Wisconsin, American Samoa, Guam,
North Mariana Islands, Puerto Rico, and Virgin Islands. As these
jurisdictions have elected to participate in the Executive Order
process, they have established SPOCs. Applicants from participating
jurisdictions should contact their SPOC, as soon as possible, to alert
them of prospective applications and receive instructions. Applicants
must submit all required materials, if any, to the SPOC and indicate
the date of this submittal (or the date of contact if no submittal is
required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2).
A SPOC has 60 days from the application deadline to comment on
proposed new or competing continuation awards. SPOCs are encouraged to
eliminate the submission of routine endorsements as official
recommendations. Additionally, SPOCs are requested to clearly
differentiate between mere advisory comments and those official State
process recommendations which may trigger the ``accommodate or
explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Grants Management,
Division of Discretionary Grants, 370 L'Enfant Promenade SW., 4th
floor, Washington, DC 20447.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Washington, DC 20447.
Although the remaining jurisdictions have chosen not to participate
in the process, entities that meet the eligibility requirements of the
program are still eligible to apply for a grant even if a State,
Territory, Commonwealth, etc. does not have a SPOC. Therefore,
applicants from these jurisdictions, or for projects administered by
federally-recognized Indian Tribes, need take no action in regard to
E.O. 12372.
The official list, including addresses, of the jurisdictions that
have elected to participate in E.O. 12372 can be found on the following
URL: http://www.whitehouse.gov/omb/grants/spoc.html.
A list of Single Points of Contact for each State and Territory is
included with the application materials for this announcement.
5. Funding Restrictions
Grant awards will not allow reimbursement of pre-award costs.
6. Other Submission Requirements
Submission by Mail: An applicant must provide an original
application with all attachments, signed by an authorized
representative and two copies. Please see Section IV.3 for an
explanation of due dates. Applications should be mailed to: Sylvia
Johnson, Grants Management Officer, Office of
[[Page 23221]]
Grants Management, Administration for Children and Families, 370
L'Enfant Promenade SW., 4th Floor West, Washington, DC 20447.
Hand Delivery: An applicant must provide an original application
with all attachments signed by an authorized representative and two
copies. The application must be received at the address below by 4:30
p.m. eastern time on or before the closing date. Applications that are
hand delivered will be accepted between the hours of 8 a.m. to 4:30
p.m. eastern time, Monday through Friday. Applications should be
delivered to: Sylvia Johnson, Administration for Children and Families,
Office of Grants Management, ACF Mailroom, Second Floor (near loading
dock), Aerospace Center, 901 D Street, SW., Washington, DC 20024.
Electronic Submission: http://www.Grants.gov. Please see Section
IV.2 for guidelines and requirements when submitting applications
electronically.
V. Application Review Information
The Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average 25 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed and
reviewing the collection information.
The project description is approved under OMB control number 0970-
0139 which expires 4/30/2007.
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.
1. Criteria
The following are instructions and guidelines on how to prepare the
``project summary/abstract'' and ``full project description'' sections
of the application. Under the evaluation criteria section, note that
each criterion is preceded by the generic evaluation requirement under
the ACF Uniform Project Description (UPD).
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, information responsive to each of the requested evaluation
criteria must 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 in a
manner that is clear and complete.
General Instructions
ACF is particularly interested in specific project descriptions
that focus on outcomes and convey strategies for achieving intended
performance. Project descriptions are evaluated on the basis of
substance and measurable outcomes, 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.
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions while being aware of the specified evaluation
criteria. The text options give a broad overview of what your project
description should include while the evaluation criteria identifies the
measures that will be used to evaluate applications.
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. ORR is
particularly interested in the number and type of businesses
established, expanded, or stabilized; the employment generated by the
businesses; the number and size of loans provided to refugees; the
amount of additional funds leveraged by the ORR funds for
microenterprise loans, and the impact of the businesses assisted on the
refugees' movement toward self-sufficiency.
Approach
Outline a plan of action that describes the scope and detail of how
the proposed work will be accomplished. Account for all functions or
activities identified in the application. Cite factors that 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.
Evaluation
Provide a narrative addressing how the conduct of the project and
the results of the project will be evaluated. In addressing the
evaluation of results, state how you will determine the extent to which
the project has achieved its stated objectives and the extent to which
the accomplishment of objectives can be attributed to the project.
Discuss the criteria to be used to evaluate results, and explain the
methodology that will be used to determine if the needs identified and
discussed are being met and if the project results and benefits are
being achieved. With respect to the conduct of the project, define the
procedures to be employed to determine whether the project is being
conducted in a manner consistent with the work plan presented and
discuss the impact of the project's various activities on the project's
effectiveness.
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Geographic Location
Describe the precise location of the project and boundaries of the
area to be served by the proposed project. Maps or other graphic aids
may be attached.
Additional Information
Following are requests for additional information that need to be
included in the application:
Staff and Position Data
Provide a biographical sketch and job description for each key
person appointed. Job descriptions for each vacant key position should
be included as well. As new key staff is appointed, biographical
sketches will also be required.
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. If the
applicant is a non-profit organization, submit proof of non-profit
status in its application.
The non-profit agency can accomplish this by providing: (a) A
reference to the applicant organization's listing in the Internal
Revenue Service's (IRS) most recent list of tax-exempt organizations
described in the IRS Code; (b) a copy of a currently valid IRS tax
exemption certificate, (c) a statement from a State taxing body, State
attorney general, or other appropriate State official certifying that
the applicant organization has a non-profit status and that none of the
net earnings accrue to any private shareholders or individuals; (d) a
certified copy of the organization's certificate of incorporation or
similar document that clearly establishes non-profit status, (e) any of
the items immediately above for a State or national parent organization
and a statement signed by the parent organization that the applicant
organization is a local non-profit affiliate.
Third-Party Agreements
Provide written and signed 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 a budget with 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. 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
Use the following guidelines for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative 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.
[[Page 23223]]
Contractual
Description: Costs of all contracts for services and goods except
for those that belong under other categories such as equipment,
supplies, construction, etc. Include 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.
Justification: Demonstrate that all procurement transactions will
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, upon notification that an award will be made, it
should immediately develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year, in accordance with
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. 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.
Evaluation Criteria
The following evaluation criteria appear in weighted descending
order. The corresponding score values indicate the relative importance
that ACF places on each evaluation criterion; however, applicants need
not develop their applications precisely according to the order
presented. Application components may be organized such that a reviewer
will be able to follow a seamless and logical flow of information
(i.e., from a broad overview of the project to more detailed
information about how it will be conducted).
In considering how applicants will carry out the responsibilities
addressed under this announcement, competing applications for financial
assistance will be reviewed and evaluated against the following
criteria:
Approach (25 Points)
Adequacy and appropriateness of the program approach or design,
including project goals and structure (policies, procedures,
activities); training and technical assistance; loan funds, lending
criteria, and fees, if included in the design; whether the business
targets are start-ups, expansions, strengthenings, or all of the above,
and how the applicant will aid each type of client; partner agencies;
and credit provision.
Results or Benefits Expected (20 Points)
Extent to which the expected outcomes and unit costs of the project
are appropriate, consistent with reported nationwide performance in
microenterprise projects, and reasonable in relation to the proposed
activities. Results may include the impact of business income and
business assets on clients' welfare status, if applicable, and on
economic self-sufficiency as well as projected outcomes for business
income, employment, and survivability.
Organizational Profiles (20 Points)
Demonstrated organizational and management capacity including
bilingual/bicultural competent services and experience serving refugees
and other economically disadvantaged populations; description of
experience in organizational management, including previous experience
in managing grants of similar size; description of experience in
providing microenterprise development services and in the management of
loan funds, including a projected monthly cash flow chart for the loan
fund for the four-year period beginning September 30, 2005; description
of results achieved under any previous grant awarded by ORR for
microenterprise; and experience in collaboration with the specific
refugee community(ies) and coalition building among refugee and non-
refugee service providers.
Objectives and Need for Assistance (20 Points)
Quality of the description of the prospective refugee communities'
profile with respect to welfare utilization, English language
proficiency, length of time in the U.S., interest in microbusiness, and
the description of local capital needs and capital market gaps for
refugee microentrepreneurs, including their ability to access
mainstream financial services. This should include data regarding
refugee hardships, the climate for business startups in relation to the
overall cost of living, and a market analysis of the general business
community.
Budget and Budget Justification (15 Points)
Appropriateness and reasonableness of the proposed budget,
including the relative distribution of funds for administrative costs,
training, technical assistance, and loan capital. The application
should include project timelines and a narrative justification
supporting each budget line item.
2. Review and Selection Process
No grant award will be made under this announcement on the basis of
an incomplete application.
[[Page 23224]]
The ORR Director and program staff use review panel scores when
considering competing applications. Review panel scores will weigh
heavily in funding decisions, but will not be the only factors
considered. Applications generally will be considered in order of the
average scores assigned by the review panel. Because other important
factors are taken into consideration, highly ranked applications are
not guaranteed funding. These other considerations include the timely
and proper completion by the applicant of projects funded with ORR
funds granted in the last five (5) years; comments of reviewers and
government officials; ORR staff evaluation and input; amount and
duration of the grant requested and the proposed project's consistency
and harmony with ORR goals and policy; administrative costs associated
with any sub-grantees; geographic distribution of applications;
previous program performance of applicants; compliance with grant terms
under previous HHS grants; audit reports; investigative reports; and
applicant's progress in resolving any final audit disallowance or
program review finding on previous ORR or other Federal agency grants.
Approved But Unfunded Applications
Applications that are approved but unfunded may be held over for
funding in the next funding cycle, pending the availability of funds,
for a period not to exceed one year.
VI. Award Administration Information
1. Award Notices
Successful applicants will be notified through the issuance of a
Financial Assistance Award document, which sets forth the amount of
funds granted, the terms and conditions of the grant, the effective
date of the grant, the budget period for which initial support will be
given, the non-Federal share to be provided (if applicable), and the
total project period for which support is contemplated. The Financial
Assistance Award will be signed by the Grants Officer and transmitted
via postal mail.
Organizations whose applications will not be funded will be
notified in writing.
2. Administrative and National Policy Requirements
Grantees are subject to the requirements in 45 CFR Part 74 (non-
governmental) or 45 CFR Part 92 (governmental).
Direct Federal grants, subaward funds, or contracts under this ACF
program shall not be used to support inherently religious activities
such as religious instruction, worship, or proselytization. Therefore,
organizations must take steps to separate, in time or location, their
inherently religious activities from the services funded under this
Program. Regulations pertaining to the prohibition of Federal funds for
inherently religious activities can be found on the HHS Web site at
http://www.os.dhhs.gov/fbci/waisgate21.pdf.
3. Reporting Requirements
Program Progress Reports: Semi-annually.
Financial Reports: Semi-annually.
Grantees will be required to submit program progress and financial
reports (SF 269) throughout the project period. Program progress and
financial reports are due 30 days after the reporting period. In
addition, final programmatic and financial reports are due 90 days
after the close of the project period.
VII. Agency Contacts
Program Office Contact
Lisa Campbell, Project Officer, Office of Refugee Resettlement,
Administration for Children and Families, 370 L'Enfant Promenade SW.,
8th Floor West, Washington, DC 20447. Phone: 202-205-4597. E-mail:
lcampbell@acf.hhs.gov.
Grants Management Office Contact
Sylvia Johnson, Grants Management Officer, Office of Grants
Management, Administration for Children and Families, 370 L'Enfant
Promenade SW., 4th Floor West, Washington, DC 20447. Phone: 202-401-
5513. E-mail: ACFOGME-Grants@acf.hhs.gov.
VIII. Other Information
Notice: Beginning with FY 2006, the Administration for Children and
Families (ACF) will no longer publish grant announcements in the
Federal Register. Beginning October 1, 2005 applicants will be able to
find a synopsis of all ACF grant opportunities and apply electronically
for opportunities via: http://www.Grants.gov. Applicants will also be
able to find the complete text of all ACF grant announcements on the
ACF Web site located at: http://www.acf.hhs.gov/grants/index.html.
ORR typically sponsors two training workshops per year, which
grantees are required to attend; therefore applicants should budget
accordingly.
Please reference Section IV.3 for details about acknowledgement of
received applications.
Dated: April 27, 2005.
Nguyen Van Hanh,
Director, Office of Refugee Resettlement.
[FR Doc. 05-8898 Filed 5-3-05; 8:45 am]
BILLING CODE 4184-01-P