Announcement of the Availability of Financial Assistance and Request for Applications to Support Child Abuse and Neglect Demonstration Projects

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. NCCAN/CB 97-04]

Announcement of the Availability of Financial Assistance and

Request for Applications to Support Child Abuse and Neglect

Demonstration Projects

AGENCY: Administration on Children, Youth and Families ACF, DHHS.

ACTION: Announcement of the availability of financial assistance and

request for applications to support child abuse and neglect

demonstration projects as authorized by the Child Abuse Prevention and

Treatment Act, as amended by Pub. L. 104-235 (1996).

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SUMMARY: The National Center on Child Abuse and Neglect/Children's

Bureau announces the availability of Fiscal Year 1997 funding for

demonstration projects designed to prevent, assess, identify, and treat

child abuse and neglect.

Note: The National Center on Child Abuse and Neglect (NCCAN) was

established in 1974 to carry out the functions of the Child Abuse

Prevention and Treatment Act (CAPTA). Pursuant to Pub. L. 104-235,

the Child Abuse Prevention and Treatment Act Amendments of 1996, the

Office on Child Abuse and Neglect (OCAN) will, in the near future,

be established by the Secretary for the purpose of coordinating the

functions and activities of CAPTA, replacing NCCAN.

This announcement contains forms and instructions for submitting an

application.

DATES: The closing time and date for the receipt of applications under

this announcement is 4:30 p.m. (Eastern Time) [July 14, 1997.]

Applications received after 4:30 p.m. will be classified as late.

FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical

Assistance Team at 1-800-351-2293 is available to answer questions

regarding application requirements and to refer you to the appropriate

contact person in NCCAN for programmatic questions.

INTENT TO APPLY: If you are going to submit an application, call in the

following information within two weeks of the receipt of this

announcement: The name, address, and telephone number of the contact

person; the name of the organization; and the priority area(s) in which

you may submit an application or send a postcard with the information

to: Administration on Children, Youth and Families, Operations Center,

3030 Clarendon Boulevard, Suite 240, Arlington, VA 22201. The telephone

number is 1-800-351-2293. This information will be used to determine

the number of expert reviewers needed and to update the mailing list of

persons to whom future program announcements will be sent.

SUPPLEMENTARY INFORMATION: This program announcement consists of three

parts. Part I provides information on the National Center on Child

Abuse and Neglect and general information on the application

procedures. Part II describes the review process, additional

requirements for the grant applications, the criteria for the review

and evaluation of applications, and the programmatic priorities for

which applications are being solicited. Part III provides information

and instructions for the development and submission of applications.

The forms to be used for submitting an application are included in

Appendix A. Please copy as single-sided forms and use in submitting an

application under this announcement. No additional application forms

are needed to submit an application.

Applicants should note that grants to be awarded under this program

announcement are subject to the availability of funds.

Outline of Announcement

Part I: General Information

A. Background

B. Statutory Authority Covered Under This Announcement

Part II: The Review Process and Priority Areas

A. Eligible Applicants

B. Review Process and Funding Decisions

C. Evaluation Criteria

D. Structure of Priority Area Descriptions

E. Available Funds

F. Priority Area Descriptions and Requirements

Part III: Information and Instructions for the Development and

Submission of Applications

A. Paperwork Reduction Act of 1995

B. Availability of Forms

C. Required Notification of the State Single Point of Contact

D. Deadline for Submission of Applications

E. Instructions for Preparing the Application and Completing

Application Forms

1. SF424, page 1, Application Cover Sheet

2. SF424A, Budget Information-Non-Construction Programs

3. Project Summary Description

4. Program Narrative Statement

5. Organizational Capability Statement

6. Assurances/Certifications

F. Checklist for a Complete Application

G. The Application Package

Part I. General Information

A. Background

The Administration on Children, Youth and Families (ACYF)

administers national programs for children and youth, works with States

and local communities to develop services which support and strengthen

family life, seeks out joint ventures with the private sector to

enhance the lives of children and their families, and provides

information and other assistance to parents, public and private

agencies, States and local communities, and other entities.

The concerns of ACYF extend to all children from birth through

adolescence. Many of the programs administered by the agency focus on

children from low-income families; children and youth in need of foster

care, adoption, or other child welfare services; preschool children;

children with disabilities; abused and neglected children; runaway and

homeless youth; and children from Native American and migrant families.

The National Center on Child Abuse and Neglect (NCCAN) located

organizationally within ACYF was established in 1974 to carry out the

functions of the Child Abuse Prevention and Treatment Act (CAPTA).

NCCAN provides Federal leadership and conducts activities designed

to assist and enhance national, State and community efforts to prevent,

assess, investigate and treat child abuse and neglect. These activities

include: Supporting knowledge-building research projects and service

improvement demonstration programs; awarding grants to eligible States

for developing child protection systems that are comprehensive, child-

centered, family-focused, and community-based; promoting coordinated

planning among all levels of government; developing national policies

that prevent child abuse and neglect, protect children, and preserve

families; providing training and technical resources necessary to

develop and implement a successful and comprehensive child and family

protection strategy through a National Resource Center on Child

Maltreatment; supporting mutual support/and parent self-help programs;

gathering, processing and housing high quality data sets through a

National Data Archive on Child Abuse and Neglect; and gathering,

storing and disseminating child maltreatment information through a

National Clearinghouse on Child Abuse and Neglect Information.

B. Statutory Authority Covered Under This Announcement

NCCAN solicits applications under the authority of the Child Abuse

Prevention and Treatment Act (CAPTA), as amended in 1996 (42 U.S.C.

5101 et

[[Page 26857]]

seq.). Through the amendments of 1996, CAPTA is now reauthorized

through September 30, 2001 (Pub. L. 104-235). Funds were appropriated

under the 1997 Appropriations Act (Pub. L. 104-208) through September

1997 (CFDA: 93.670).

Part II. The Review Process and Priority Areas

A. Eligible Applicants

Each priority area description contains information about the types

of agencies and organizations eligible to apply. Because eligibility

varies depending on statutory provisions, it is critical that the

``Eligible Applicants'' section of each priority area be read

carefully.

Before review, each application will be screened for eligibility.

Applications from ineligible organizations will not be reviewed in the

competition, and the applicants will be so informed.

Only agencies and organizations, not individuals, are eligible to

apply under this Announcement. All applications developed jointly by

more than one agency organization must identify a single lead

organization as official applicant. Participating agencies and

organizations can be included as co-participants, sub-grantees, or

subcontractors. For-profit organizations are eligible to participate as

sub-grantees or subcontractors with eligible non-profit organizations

under all priority areas.

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.

B. Review Process and Funding Decisions

Before applications are reviewed, each application is screened to

determine whether the applicant organization is eligible. Applications

from ineligible organizations will not be reviewed in the competition,

and the applicants will be so informed. Applicants that omit essential

components of the application or fail to comply with the format

specifications described in Part III will have their applications

withdrawn from further consideration.

Timely applications from eligible applicants will be reviewed and

scored competitively. Experts in the field, generally persons outside

the Federal government, will use the evaluation criteria listed later

in this section to review and score the applications. The result of

this review is a primary factor in funding decisions.

NCCAN and ACYF reserve the option to discuss applications with, or

refer them to other Federal or non-Federal funding sources when this is

in the best interest of the Federal government or the applicants. ACYF

may also solicit comments from ACF Regional Office staff, other Federal

agencies, interested foundations, national organizations, specialists,

experts, States and the general public. These comments, along with

those of the expert reviewers, will be considered by ACYF in making

funding decisions.

In making award decisions, ACYF may give preference to applications

that focus on: Substantially innovative strategies with the potential

to improve theory or practice in child welfare and child protective

services; a model practice or set of procedures that holds the

potential for replication by organizations that administer or deliver

child welfare and/or child protective services; substantial involvement

of volunteers, where appropriate; substantial involvement (either

financial or programmatic) of the private sector; a favorable balance

between Federal and non-Federal funds available for the proposed

project; the potential for high benefit from low Federal investment;

and/or substantial involvement by national or community foundations.

To the greatest extent possible, funding decisions will reflect an

equitable distribution of assistance among the States and geographical

regions of the country, rural and urban areas, and ethnic populations.

In making these decisions, ACYF may also take into account the need to

avoid unnecessary duplication of effort.

C. Evaluation Criteria

A panel of at least three reviewers (primarily experts from outside

the Federal government) will review the applications. To facilitate

this review, applicants should address each requirement in the priority

area under the appropriate section of the Program Narrative Statement.

The reviewers will determine the strengths and weaknesses of each

application using the evaluation criteria listed below and provide

verbal and written comments and assign numerical scores to each

application. The point value following each criterion heading is the

maximum score for that criterion.

All demonstration project applications will be evaluated against

the following criteria:

(a). Objectives and Need for Assistance (20 points). The

application states the objectives of the project; pinpoints the problem

or issue requiring a solution and demonstrates the need for assistance;

provides supporting documentation or other testimonies from concerned

interests other than the applicant; identifies other successful

research or demonstration projects that may have implications for the

proposed demonstration (which may include a review of the relevant

literature); identifies the conceptual or theoretical framework for

this model; and describes whether the proposed project replicates or

modifies previously evaluated model(s) addressing the identified

problem or issue. The application must identify the location of the

project and area and population to be served.

(b). Approach (35 points). The application outlines a sound and

workable plan of action and time-line; details how the proposed work

will be accomplished; describes the approach in detail; points out its

unique features; cites factors that might accelerate or delay this

approach, giving acceptable reasons for taking this approach as opposed

to others; describes and supports any unusual features of the project,

such as extraordinary social and community involvement; includes an

adequate staffing plan that lists key and support staff, consultants,

any agency, organization, other key group, and/or advisory panels

involved or proposed; and, describes the responsibilities, activities,

and/or training plans for each (if applicable).

(The application proposes reasonable project costs and allocates

sufficient funds appropriately across activities to accomplish the

objectives. The application describes the fiscal control and accounting

procedures that will be used to ensure prudent use and accurate

accounting of funds received under this program announcement.

The application, when appropriate, identifies the kinds of data to

be collected and maintained for evaluation purposes and discusses the

criteria to be used to evaluate the results of the project. The

application describes the evaluation methodology that will be used to

determine if the needs identified were addressed, if the approach

proposed was followed and if the benefits expected were achieved.

(c). Results or Benefits Expected (20 points). The application

identifies the

[[Page 26858]]

results and benefits to be derived, the extent to which they are

consistent with the objectives, their contributions to policy and

practice, and the extent to which the proposed project costs are

reasonable in view of the expected results.

(d). Staff Background and Organization Experience (25 points). The

application identifies the educational and professional background of

the project director and key project staff and the experience of the

organization to demonstrate the applicant's ability to administer and

implement the project effectively and efficiently. The role of the

author(s) of this proposal in relation to the work plan and

administrative structure should be explicitly identified. The

application describes the project and other Federally assisted work

planned, anticipated or underway by the applicant. If the project

proposed is a collaboration, the application must describe the nature

and extent of the collaboration including the responsibilities of the

respective agencies in carrying out the activities identified in the

work-plan.

D. Structure of Priority Area Descriptions

Each priority area description is composed of the following

sections:

Eligible Applicants: This section specifies the type of

organization eligible to apply under the particular priority area.

Specific restrictions are noted where applicable.

Purpose: This section presents focus and/or broad goal(s) of the

priority area.

Background Information This section briefly discusses the

legislative background and the current state-of-the-art and/or current

state-of-practice supporting the need for the particular priority area

activity. Relevant information of projects previously funded by ACYF

and/or others and State models are noted.

Minimum Requirements for Project Design: This section presents the

minimum requirements which must be addressed in response to the

evaluation criteria. For demonstration projects, these requirements

relate to objectives and need for assistance, approach, results or

benefits expected, staff background and organizational experience.

Reviewers will expect the details under these headings to correspond to

the evaluation criteria.

Project Duration: This section specifies the maximum allowable

project period; it refers to the amount of time for which Federal

funding is available.

Federal Share of Project Cost: This section specifies the maximum

amount of Federal support for the project for the first budget year.

Matching Requirement: This section specifies the minimum non-

Federal contribution, either cash or in-kind match, required in

relation to the maximum Federal funds requested for the project.

Anticipated Number of Projects To Be Funded: This section specifies

the number of projects ACYF anticipates funding under the priority

area.

Non-responsiveness to the section ``Minimum Requirements for the

Project Design'' is likely to result in a low evaluation score by the

reviewers. Experience has shown that an application which is broader

and more general in concept than the priority area description

invariably scores lower than one more clearly focused on, and directly

responsive to, the specific priority area.

E. Available Funds

The ACYF intends to award new grants resulting from this

announcement during the fourth quarter of Fiscal Year 1997, subject to

the availability of funds. The size of the actual awards will vary from

priority area to priority area.

Each priority area description specifies that maximum Federal share

of the project costs and the anticipated number of projects to be

funded.

``Budget period'' is the interval of time (usually 12 months) into

which a multi-year period of assistance (project period) is divided for

budgetary and funding purposes. ``Project period'' is the total time a

project is approved for support, including any extensions.

Where appropriate, applicants may propose project periods which are

shorter than the specified maximums. Non-Federal share contributions

may exceed the minimums specified when the applicant is able to do so.

However, applicants should only propose a non-Federal share they can

realistically provide because ACF will disallow any unmatched Federal

funds.

For multi-year projects, continued Federal funding beyond the first

budget period depends upon satisfactory performance by the grantee,

availability of funds from future appropriations, and a determination

that continued funding is in the best interest of the Government.

F. Priority Area Descriptions and Requirements

This announcement deals with only demonstration projects. A

separate announcement will be forthcoming on research priorities.

The Child Abuse Prevention and Treatment Neglect Act Amendments of

1996 gives the Secretary the discretion to award grants for several new

and innovative demonstration projects. The priority areas included in

this announcement are selected from a range of projects which were

suggested in the legislation.

1.01. National Network of Mutual Support/Self-Help Programs in

Partnership with Communities

1.02. Innovation in Responding to Reports of Child Abuse and Neglect

1.03. Innovation Approaches to Kinship (Relative) Care of Children in

the Child Welfare System

1.04. School-Based Child Maltreatment Prevention, Identification and

Treatment Services

Applicants are strongly encouraged to build new projects on the

results and findings of previously funded NCCAN grants. Information on

prior research and demonstration projects supported by NCCAN and other

references made in this announcement are available from the

Clearinghouse on Child Abuse and Neglect Information, PO Box 1182,

Washington, DC 20013, (1-800-FYI-3366). The Clearinghouse can provide

information on the other Federal Clearinghouse and Resource Centers

having special information and resources.

1.01. National Network of Mutual Support/Self-Help Programs in

Partnership With Communities

Eligible Applicants: Private non-profit organizations with the

capacity to establish and/or maintain a national network of Mutual

Support and Self-Help Programs as a means of strengthening families are

eligible to apply under this priority area.

Purpose: The primary purpose of this priority area is to build a

national network of mutual support and self-help programs for families

that work in close cooperation with State and community-based child

abuse prevention and treatment programs. The network will function on

two levels. The first level should focus on growth and capacity-

building for mutual support and self-help programs for families that

are or will become part of a national network, i.e., the network should

promote the establishment of new mutual support and self-help programs

in communities where they do not now exist, increase the capacity and

scope of existing programs, provide training for program leaders, and

engage in public awareness activities. The second level encompasses the

network's relationship to the community-at-large, i.e., the

[[Page 26859]]

network should assure that its programs coordinate closely with

activities under the new Community-Based Family Resource and Support

Grants authorized in Title II of the Child Abuse Prevention and

Treatment Act, as amended by Pub. L. 104-235. Title II grants will

support State efforts to develop, operate, expand and enhance a network

of community-based, prevention-focused, family resource and support

programs that coordinate resources among all the agencies that

currently deal with children and families, e.g., education, vocational

rehabilitation, disability, respite care, health, mental health, job

readiness, self-sufficiency, child and family development, community

action, Head Start, child care, child abuse and neglect prevention,

juvenile justice, domestic violence prevention and intervention,

housing, and other human service organizations within the State. Title

II grants are also to be used to enhance an understanding of diverse

populations in order to be effective in preventing and treating child

abuse and neglect.

Parent self-help groups, with their emphasis on and expertise in

shared leadership between parents and professionals, are natural

partners with State and community-based programs such as those

authorized under Title II. The national network established under this

priority area should demonstrate the feasibility of developing close

linkages with these programs, at the same time it goes about its work

of strengthening the self-help movement in the prevention and treatment

of child abuse and neglect.

The following are examples of various components of the potential

demonstration activities under this priority area:

Strengthening the relationships between family self-help

programs and public and private agencies that serve maltreated children

under Title II. This would entail increasing the participation of

families involved in self-help programs in the Community-Based Family

Resource and Support Program established under Title II of Pub. L. 104-

235 in order to encourage consistent use of parent-self-help as part of

a coordinated prevention and/or intervention strategy.

Increasing the participation of fathers and other

relatives in self-help groups by promoting and providing access to

improved recruitment and training techniques;

Promoting increased sensitivity in parent self-help groups

to issues of cultural diversity as they affect child-rearing practices

and questions of abuse and neglect;

Increasing the participation of members of racial and

ethnic minorities in parent self-help groups;

Enhancing public awareness and outreach programs to at-

risk families to encourage self-referral;

Enhancing the capacity for local chapters and State

organizations to communicate with each other and participate in

national leadership development and agenda-setting;

Supporting the preparation and dissemination of written

materials for chapter leadership and development.

Background Information: Section 105 (a)(2) of the Child Abuse

Prevention and Treatment Act, as amended by Pub. L. 104-235 (1996),

authorizes the Secretary to award grants to establish or maintain a

national network of mutual support and self-help programs as a means of

strengthening families in partnership with their communities.

The NCCAN has long been committed to supporting the efforts of

parent-led groups that use self-help techniques to treat parents who

abuse and neglect their children. These groups also serve as a

prevention program for troubled parents who believe that without this

assistance they might potentially harm their children. Since 1975,

NCCAN has expended some 2.4 million dollars to support parent self-help

groups.

There is some evidence that self-help groups foster community

ownership, self-reliance and relief from isolation for parents under

stress, as well as cost-savings. In a 1988 review of the literature

published in Contemporary Family Therapy: An International Journal

(Volume 10, Number 4, Winter, 1988, pages 145-167), Gary Cameron notes

that, given the social isolation of many child welfare clients,

informal peer support networks created specifically for these groups

may prove to be more accessible than those available within the

community-at-large. He further states that self-help groups usually

provide their members with a range of benefits often not available in a

traditional professional-client setting, and these benefits can be seen

as complementary to those provided by the mainstream service delivery

system. These groups incorporate the ``helper-as-helped'' model, i.e.,

those who give the help are also helped. Providing help increases the

helper's self-esteem, communication skills, and sense of connectedness

to others, all of which can mitigate child maltreatment.

Given this, CAPTA suggests that the next step is to encourage the

development of a national network of mutual support/self-help programs,

and further, for this network to reach out actively to the Community-

Based Family Resource and Support Programs around the nation, so that

the informal helping methods or self-help programs and the formal

interventions of the institutionalized social service delivery system

can support and enhance each other for the benefit of children and

their families.

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

Objectives and Need for Assistance

State the objectives of the project in specific,

measurable terms.

Pinpoint the problem or issue that needs to be addressed

and establish the need for assistance; provide supporting documentation

or other testimonies from concerned interests other than the applicant.

Specifically provide evidence of the ability to establish a national

network linked with Community-Based Family Resource and Support

Program, using documentation such as statements that local chapters and

other private, non-profit agencies and organizations will participate

in the proposed demonstration activities.

Demonstrate an awareness of current initiatives in the

field and how the approach being proposed would build on this work.

Identify the conceptual or theoretical framework used as

the basis for the proposed model; provide a review of relevant

literature and include information about similar successful

demonstration projects that may have implications for the proposed

demonstration project.

Describe whether the proposed project replicates or

modifies a previously evaluated model.

Identify the precise location of the projects,

communities, and populations to be served by the proposed project.

Approach

Describe the approach in detail and point out its unique

features including sensitivity to cultural, sociological,

psychological, and ethnic dynamics which have affected the choice of

approach.

Describe a sound and workable plan of action and time-line

which match the scope of the project and explain how the proposed work

will be accomplished.

Cite factors which might accelerate or delay this

approach, giving acceptable reasons for taking this approach as opposed

to others.

[[Page 26860]]

Include an adequate staffing plan, listing key and support

staff, consultants, any agency, organization, other key group, and/or

advisory panels involved or proposed; describe the responsibilities,

activities, and/or training plans for each (if applicable). If the

proposed project is a collaboration, the application must describe the

nature and extent of the collaboration and the responsibilities of the

respective agencies in carrying out the activities identified in the

work-plan.

Propose an evaluation plan. Discuss the methods and

criteria to be used to evaluate the results and benefits of the project

in terms of the stated objectives of the project. Identify the kinds of

data to be collected and maintained for this purpose. An external

evaluator may be hired or an internal evaluation may be designed. It is

recommended that not less than 15% of the proposed budget be set aside

for evaluation efforts.

Results or Benefits Expected

Identify the results and benefits to be derived by

clients, communities, and agencies as a result of the implementation

and evaluation of this project. Discuss how project findings are likely

to improve practice and inform policy.

Justify proposed project costs in view of the expected

results and benefits.

Describe strategies for disseminating findings to other

practitioners in the field.

Staff Background and Organizational Experience

Identify the educational and professional background of

the project director and key project staff.

Describe the organization's ability to administer and

implement the project effectively and efficiently.

Identify precisely the role of the author(s) of this

proposal in relation to the work-plan and administrative structure.

Describe the relationships between the proposed project

and other Federally assisted work planned, anticipated, or underway by

the applicant.

Provide assurance that at least one key staff person will

attend an annual three-day meeting in Washington, D.C.

Provide assurance that all reports will be prepared in an

NCCAN-suggested format and copies of final reports and other products

shall be provided to the Clearinghouse.

Project Duration: The length of the project must not exceed a

three-year period.

Federal Share of Project Cost: The maximum Federal share of this

project is not to exceed $300,00 for the first 12-month budget period

and $200,000 each for the second and third budget periods or a maximum

of $700,000 for a period of three years.

Matching Requirement: Grantees must provide a non-Federal share or

match of at least 25% of the total approved cost of the project. The

total approved cost of the project is the sum of the Federal share and

the non-Federal share. The non-Federal share may be met by cash or in-

kind contributions, although applicants are encouraged to meet their

match requirements through cash contributions. Therefore, a three year

project requesting $700,000 in Federal funds (based on an award of

$300,000 for the first year and $200,000 each for the second and third

years) must include a match of at least $233,333 over three years or

$100,000 for year one and $66,667 for each of the remaining two years.

Applicants are expected to bring in additional resources into the

project during the second and third years in partnership with community

based organizations.

Anticipated Number of Projects to be Funded: It is anticipated that

one project will be funded.

CFDA Number: 93.670.

1.02 Innovation in Responding to Reports of Child Abuse and Neglect

Eligible Applicants: Public and private nonprofit agencies or a

combination of such agencies, with only one being the primary

applicant. The State and County Child Protective Service agencies are

encouraged to apply under this priority area in collaborative

partnerships with community social service agencies and family support

programs, schools, churches and synagogues, and other community

agencies. Private nonprofit agencies applying as primary applicants

must include letters of commitment from State or County child

protective services agencies willing to serve as demonstration sites.

Purpose: The intent of this priority area is the development and

demonstration of innovative systems of differential response to reports

of child abuse and neglect. Section 105(3)(A) of CAPTA, as amended by

Pub. L. 104-235, authorizes the Secretary to award grants which

``demonstrate innovation in responding to reports of child abuse and

neglect including programs of collaborative partnerships between the

State child protective services agency, community social service

agencies and family support programs, schools, churches and synagogues,

and other community agencies to allow for the establishment of a triage

system.'' Triage in this context means a differential, multi-tiered

approach to handling referrals of child abuse and neglect, based on the

assessed degree of severity of the referral, the assessed needs of the

family and the assessed risk of future harm. ``The triage system

should: (i) Accept, screen, and assess reports to determine which

reports require intensive intervention and which require voluntary

referral to another agency, program, or project; (ii) provide, directly

or through referral, a variety of community-linked services to assist

families in preventing child abuse and neglect; and (iii) provide

further investigation and intensive intervention where the child's

safety is in jeopardy.''

Applicants may either propose new approaches or replicate

previously evaluated and promising models. Applicants are strongly

encouraged to address in their proposal multiple problem areas

affecting children and families, which require creative,

interdisciplinary responses. All responses should build on the

strengths of families and provide community-based solutions to

protecting children through partnerships with community-based agencies.

This priority area embraces change in the way traditional systems of

child protection operate, and proposals should reflect how the

innovative system will ensure the safety of children and not let them

``fall through the cracks.'' The models should explain how legislative

or policy-based issues have an impact on intake and assessment (e.g.,

the central registry and expungement) and how they will be addressed. A

strong evaluation component is required. Data on the costs and

potential cost-benefits of providing the proposed model should be

collected for evaluation purposes.

Background Information

According to the most recent statistical information available from

NCANDS (National Child Abuse and Neglect Data System), almost 3 million

children were reported to State child protective services agencies and

more than one million children were determined to have been victims of

child abuse and neglect in 48 states (Child Maltreatment 1995: Reports

from the States to the National Center on Child Abuse and Neglect).

Despite an increase in victims of almost 27 percent since 1990, more

than half of all investigations resulted in a finding of ``not

substantiated.'' Child protective services agencies have,

understandably, become overwhelmed with the increased volume of reports

and more

[[Page 26861]]

stressed by static staffing patterns. It has become increasingly

difficult to provide timely and thorough assessments and intervention,

but more importantly, the NCANDS data noted above raise questions

regarding screening and the extent of agency involvement in the lives

of reported families. Given the numbers of unsubstantiated cases at one

end of the continuum, and the rise in serious injuries and fatalities

at the other, the dilemma centers on some families receiving

unwarranted public agency involvement and other families not receiving

enough agency attention to assure the safety of the children.

In light of this dilemma, various organizations and governmental

agencies have begun exploring differential response systems. For

example, in 1993, the Department of Navy Family Advocacy Program (FAP)

began the development of a Navy-specific Risk Assessment Model. This

``life of the case'' model was piloted in 1995, and it introduced a

triage system whereby reports are screened upon receipt, cases not

meeting the two eligibility criteria for Family Advocacy services are

referred directly to the appropriate resource, cases assessed as lower

level in severity and risk of harm are classified as ``Families in Need

of Services'' (FINS) and diverted to the needed prevention or

intervention service. Under this system, the FINS cases are not

officially ``opened'' and, therefore, not included in the program's

Central Registry.

Another example of an organization's effort to respond to this

dilemma is the Edna McConnell Clark Foundation ``Community

Partnerships'' initiative. Designed to ``enhance the ability of local

communities to keep children safe,'' the initiative has three key

components: diversion, community-CPS partnerships, and CPS agency

reform (The Edna McConnell Clark Foundation Program for Children

Strategy Statement, March 1996). In 1995, the Foundation awarded grants

to four sites to advance the efforts already underway to make

fundamental changes in their handling of child abuse and neglect cases.

In Jacksonville, Florida, CPS workers are out-stationed in full-service

schools, and families deemed inappropriate for CPS response are

referred out to a 24-hour resource and referral hotline. Through the

use of Community Support Agreements, community volunteers contract to

assist families reported to CPS. The Cedar Rapids, Iowa, Partnership

project is piloting a new assessment approach, changing the way it

responds to families reported to CPS, developing neighborhood based

supports for families and placing CPS staff at family resource centers

where they team with other local resources. The Neighborhood Places

project in Louisville, Kentucky, through a collaboration of 20 public

and private agencies, has developed community-based centers where staff

for income support, child protection, health, employment, and other

services are collected. At Neighborhood Place Ujima, safety strategies

specifically developed for children under age five will be used in

investigating and serving families whose cases involve serious injuries

or neglect. The St. Louis, Missouri, Community Partnership supports

State legislation which pilots a dual track system, limiting

investigations to cases requiring police involvement and utilizing the

family assessment method in responding to all other cases. It also

joins the State's Division of Family Services with communities to

develop local responses to families' needs. The partnership will hire

Neighborhood Resource Specialists for outreach activities, as well as

encourage neighborhood associations and other groups to become more

involved in child safety by establishing a Community Innovation Fund.

Several States have responded legislatively to the call for reform

efforts in the delivery of child protective services and much of the

legislation contains language describing aspects of differential

response systems. For example, the State of Florida was the first to

pass legislation to create a dual track system for assessment of lower-

risk cases. All reports are assessed (i.e., family functioning,

circumstances and need for support are examined) rather than

investigated (i.e., verifying whether or not an incident occurred), and

Florida no longer maintains a central registry. Like Florida, Iowa is

now using an assessment approach and limits the cases which go to the

central registry to those involving greater risk or significant injury.

Missouri also passed CPS reform legislation which limits investigations

to cases requiring police involvement. Family assessments are conducted

for all other situations. North Dakota only places reports on the

central child abuse information index when services are required. The

State of Virginia is planning to pilot a system whereby less serious

reports are assessed and offered services through the local department

or county without being entered into the central registry. Finally,

Oregon has selectively adapted a family unity model first developed and

implemented in New Zealand in 1989. There is no need to validate that a

child has been abused or neglected under the family unity model.

Instead, family members brainstorm options for the care and protection

of the child.

Under this priority area, NCCAN is interested in proposals which

are responsive to the CAPTA legislation and continue to promote CPS

reform efforts. Proposals should establish a triage system to help

determine which reports require intensive intervention in order to

ensure the safety of the child and which warrant voluntary referral to

another community resource. The system should also include a variety of

community-linked services to assist families in preventing child abuse

and neglect as well as provide for further investigation and intensive

intervention when the safety of the child is jeopardized. Applicants

should address procedures for accepting, screening and assessing

allegations of abuse and neglect, describe measures taken to ensure

child safety in the decision-making process, describe a range of

responses that can be applied differentially, and demonstrate how

community agencies will be involved in the response system.

Note: The examples of programs cited in this section are

intended to stimulate thinking about new and innovative approaches.

Interested applicants are encouraged to use this information as a

resource in the preparation of their proposals. Citing of these

programs is not to be considered as an endorsement of the programs

by NCCAN. Each application will be considered on its own merit to

the extent that it meets the expectations of this announcement.

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

Objectives and Need for Assistance

State the objectives of the project in specific,

measurable terms.

Pinpoint the problem or issue that needs to be addressed

and establish the need for assistance; provide supporting documentation

or other testimonies from concerned interests other than the applicant.

Specifically, provide evidence of the ability to establish a

collaborative partnership with community-based agencies and

organizations who would be partners in the response system proposed

under this project, using documentation such as statements that such

entities will participate in the proposed demonstration activities.

Demonstrate an awareness of current initiatives in the

field and how

[[Page 26862]]

the approach being proposed would build on or improve this work.

Identify the conceptual or theoretical framework used as

the basis for the proposed model and provide a review of the relevant

literature; include information about similar successful demonstration

projects that may have implications for the proposed demonstration.

Describe whether the proposed project replicates or

modifies a previously evaluated model which addresses the identified

need.

Identify the precise location of the project, community,

and population to be served by the proposed project.

Approach

Describe the approach in detail and point out its unique

features including sensitivity to cultural, sociological,

psychological, and ethnic dynamics which have affected the choice of

approach.

Describe a sound and workable plan of action and time-line

which match the scope of the project and explain how the proposed work

will be accomplished.

Cite factors which might accelerate or delay this

approach, giving acceptable reasons for taking this approach as opposed

to others.

Include an adequate staffing plan, listing key and support

staff, consultants, any agency, organization, other key group, and/or

advisory panels involved or proposed; describe the responsibilities,

activities, and/or training plans for each (if applicable). If the

proposed project is a collaboration, the application must describe the

nature and extent of the collaboration and the responsibilities of the

respective agencies in carrying out the activities identified in the

work-plan.

Propose an evaluation plan. Discuss the methods and

criteria to be used to evaluate the results and benefits of the project

in terms of the stated objectives of the project. Identify the kinds of

data to be collected and maintained for this purpose. An external

evaluator may be hired or an internal evaluation may be designed. It is

recommended that not less than 15% of the proposed budget be set aside

for evaluation efforts.

Results or Benefits Expected

Identify the results and benefits to be derived by

clients, community, agency, and NCCAN as a result of the implementation

and evaluation of this project. Discuss how project findings are likely

to improve practice and inform policy.

Justify proposed project costs in view of the expected

results and benefits.

Describe strategies for disseminating findings to other

practitioners in the field.

Staff Background and Organization Experience

Identify the educational and professional background of

the project director and key project staff.

Describe the organization's ability to administer and

implement the project effectively and efficiently.

Identify precisely the role of the author(s) of this

proposal in relation to the work plan and administrative structure.

Describe the relationship between the proposed project and

other Federally assisted work planned, anticipated, or underway by the

applicant.

Provide assurance that at least one key staff person will

attend an annual three-day meeting in Washington, D.C.

Provide assurance that all reports will be prepared in an

NCCAN-suggested format and copies of final reports and other products

shall be provided to the Clearinghouse.

Project Duration: The length of the project must not exceed a

three-year period.

Federal Share of Project Cost: The maximum Federal share of this

project is not to exceed $200,000 for the first 12-month budget period,

or a maximum of $600,000 for a period of three years.

Matching Requirement: Grantees must provide a non-Federal share or

match of at least 25% of the total approved cost of the project. The

total approved cost of the project is the sum of the Federal share and

the non-Federal share. The non-Federal share may be met by cash or in-

kind contributions, although applicants are encouraged to meet their

match requirements through cash contributions. Therefore, a three year

project requesting $600,000 in Federal funds (based on an award of

$200,000 per 12-month budget period) must include a match of at least

$200,000 over three years or $66,667 per year.

Anticipated Number of Projects To Be Funded: It is anticipated that

up to five projects will be funded.

CFDA Number: 93.670.

1.03 Innovative Approaches to Kinship (Relative) Care of Children in

the Child Welfare System

Eligible Applicants: Public (State, Tribal or local) or private

nonprofit agencies, organizations, and institutions of higher learning

are eligible. Collaborative applications are encouraged. However, a

primary applicant must be identified. If the primary applicant is a

private nonprofit agency, organization or institution of higher

learning, a clear statement of commitment and agreements with the

State, Tribal or local child protection or child welfare entities must

be provided which assures access to appropriate data sources and

individuals.

Purpose: The purpose of this priority area is to develop innovative

approaches for the use of kinship (relative) care for children in the

child welfare system at the State, Tribal and local levels, to

demonstrate the processes by which these approaches are implemented,

and to assess the degree of success these approaches have in achieving

desired goals. (Note: in this announcement, the terms ``kinship care''

and ``relative care'' are used interchangeably). These approaches are

to focus on the following areas: (1) Policies and procedures for

decision-making about the appropriateness of placement in kinship

settings; (2) the licensing and certification requirements that

facilitate the willingness and capability of relatives to care for

children, and that support the safety and well-being of children; and

(3) the service needs, including needs for economic support, of kinship

care families and children, and the strategies for training,

supervision, and service provision to meet the identified needs of such

families and children. These approaches must be designed to meet the

broad goals of demonstrated positive outcomes in the safety, permanency

and well-being of the children involved. The knowledge gained from the

demonstration, through a systematic evaluation, is to be shared with

interested child protection and child welfare agencies nationwide and

to be carefully analyzed for its implication for policy and practice.

If proven successful, the models would then be suitable for replication

elsewhere.

Background Information: Hornby, Zeller & Karraker, (Child Welfare,

September-October, 1996) in their analysis of the use of relatives for

the care of children, categorize the agency goals related to the use of

relatives in five different ways: (1) Relative care can be a diversion

from the foster care and child welfare system; (2) relative care can

provide short-term support within the system while an agency pursues

the goal of returning children to their birth-parent home; (3) relative

care can provide short-term support within the system with a goal of

long-term discharge to relatives; (4) relative care can provide long-

term support outside the child welfare system; and (5) relative care

can provide long-term support within the child welfare system.

Evaluations about the nature of kinship

[[Page 26863]]

care as a service must begin, they suggest, with a consideration of

which of these uses are being served.

The current state of knowledge about relative care is limited

primarily to a recognition of the variety of purposes, definitions,

payment structures, licensing, monitoring, and guardianship policies

employed by States, Tribes and local child protective services

agencies. The lack of knowledge about service usage, design, intent,

and outcomes has unknown consequences for the increasing proportion of

children that are living in relative care (A Report from the Multistate

Foster Care Data Archive: Foster Care Dynamics 1983-1992. Chapin Hall,

University of Chicago, 1994). Of added importance, the 1996 Amendments

to the Adoption Assistance and Child Welfare Act require States to

``consider giving preference to an adult relative over a non-related

caregiver when determining placement for a child, provided that the

relative caregiver meets all relevant State child protection

standards.''

Because so little systematic information is available about the

elements of relative care which include but are not limited to usage,

design, policy context, and effects on children--NCCAN/CB is interested

in a set of demonstrations, with evaluations, of specified models of

service design and delivery that have the potential for replication.

Demonstrations are expected to employ an evaluation paradigm which

will determine how and if the proposed policies, procedures, or

practices, if fully implemented, could translate into the desired

outcomes. The applicant must provide a detailed description of the

demonstration model used, and delineate the explicit or implicit theory

of how and why the proposed policy, procedure, or practice should be

expected to work. In delineating the project model (often referred to

as a ``logic model''), the applicant must specify particular policy,

procedure, or intervention; interim steps and accomplishments which are

expected to occur in the implementation process; specific intended

outcomes (e.g., safety, permanency and well-being) and outcome

indicators; and describe the logical relationships among the various

project components, i.e., the processes through which the program

activities are expected to translate into outcomes for participants.

The applicant should specify the planning assumptions (i.e., factors

which can impact on the project, but over which the applicant may have

no control) for the successful implementation of the model. Each

component of the model should be specified in verifiable and measurable

terms, and measurement strategies and sources of the data should be

specified. This evaluation paradigm is meant to demonstrate whether or

not a program has met the goals that it has set for itself (i.e., the

project purpose), and to explicitly connect program components to the

degree of success in achieving those goals, rather than to compare

populations in one treatment against those in another.

All projects should have the goals of protecting and promoting the

safety, permanency, and well-being of children. Applicants should

consider the following.

Safety: How does the relative care program protect the

safety of a child in a relative care placement? What are the safety

related policies, procedures, and activities? Are the activities that

are conducted different from those for children in other placements,

and if so, why? Does the implementation of safety-promoting policies or

procedures for children in relative care vary in relation to the

particular policy context or usage of relative care as described above

by Hornby, et al.? What is the evidence that the policies, procedures,

and practices for safety achievement have the desired benefits on

safety as an outcome? Likely elements in safety promotion include, but

are not limited to, licensing, certification, monitoring policies,

access to the child(ren) by maltreating birth-parents or others,

standards for removal, and assessment of relative willingness and

capacity to parent and support the child(ren).

Permanency: How is the use of kinship care expected to

affect the permanency of placement, including returning home, adoption

or guardianship? How might the effects on permanency be related to the

policy context and use of kinship care as described above by Hornby, et

al.? How are decisions about length of stay determined? What services

are offered to promote permanency? Likely factors affecting permanency

include, but are not limited to, agency preference for relative

placements, adoption, or guardianship, operational definitions of

relatives, decision-making regarding recruitment and selection of

relative and non-relative placements, projected length of placement,

placement history, siblings, service and economic support systems for

relative caregivers, and, if applicable, special planning or support

activities for hard-to-place, special needs child(ren) or children with

disabilities.

Well-being: Well-being of the child(ren) must be a key

concern in each relative placement situation, as it should for non-

relative placements. How do agencies and how will this project define

and assess child well-being? Are activities for promoting child well-

being altered or adjusted for children placed with relatives? How do

the intra- and inter-familial tensions between the birth-parents and

the relative caregiver affect the child's and family's well-being? What

steps do agencies take to mitigate the potential negative impact of

these tensions on the child's and family's well-being? Do removal

standards for relative placements have a relationship to child well-

being and are there reasons to expect that these standards should be

different for relative placements versus non-relative placements?

Likely factors related to child well-being include, but are not limited

to psycho-social, medical, educational, and dental assessment,

available therapeutic and support services, and placement monitoring

and review.

In summary, NCCAN/CB expects that the types of policies,

procedures, and practices surrounding kinship care will have

consequences for the achievement of the desired outcomes. NCCAN/CB is

interested in developing and describing viable models of the use of

kinship care for children. These models of innovative kinship care use

should include but are not limited to (1) policies and procedures for

decision-making about who will go into kinship care and for how long;

(2) requirements for licensing or certification specific to kinship

homes; and (3) patterns of training and/or supervision, patterns of

support services, systems of economic support (including the impact of

the Temporary Aid to Needy Families [TANF]) for kinship care, and other

aspects of services and supports as well as the economic costs

associated with kinship care to the agency, as these affect the safety,

permanency and well-being of the children.

It is the intent of NCCAN/CB to select replicable models which,

based on the evaluations, are indicative of having the potential of

producing desirable outcomes in terms of child safety, permanency, and

well-being. Information about these models will be made available to

the field and additional demonstration funds may be made available

through a later competition for replications and a cross-site national

evaluation.

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant for a demonstration project must address the following items

in the program narrative section of the proposal.

[[Page 26864]]

Objectives

State the goals and objectives of the project in specific,

measurable terms. At a minimum, goals must address safety, permanence,

and well-being.

Pinpoint the problem or issue that needs to be addressed

and establish the need for assistance; provide supporting documentation

or other data from concerned interests other than the applicant, as

appropriate.

Identify the conceptual or theoretical framework used as

the basis for the proposed approach and provide a review of the

relevant literature and current initiatives related to kinship

placement that supports the model selected.

Provide an overview of existing kinship care policies,

procedures and practices in the State, Tribe or community in which the

proposed demonstration will operate, including how they relate to the

use of kinship care for the safety, permanency and well-being of the

children. Describe the regulatory, policy, administrative and

procedural changes/innovations, if any, which are to be introduced as

part of this demonstration.

Define each component of the proposed project, describe

how it relates to the other components, and articulate the theoretical

basis or the assumptions that lead to the expectation that the proposed

project components will result in the expected project outcomes for

children and families.

Identify the location(s), community and the specific

population to be included in the proposed project. Provide assurance

that the number of clients served in the demonstration project will be

adequate for testing of the theoretical assumptions of the project and

conducting the evaluation.

Indicate the relationship of this proposed demonstration

to any Title IV-E Waiver for Assisted Guardianship or other waivers in

your State.

Approach

Describe the approach in detail and point out its unique

features including sensitivity to cultural dynamics, child and family

outcomes, and the community setting.

Describe the criteria and procedures to be developed and

implemented to assure the safety, permanency and well-being of the

children in kinship care placement in the project and detail specific

plans for revision of State or Tribal standards, regulations,

procedures, and existing materials as necessary.

Make provision for clearly demonstrating the degree of

implementation and for describing the outcomes of various policies and

procedures for kinship care, including but not limited to requirements

for decision-making about placement and length of stay, licensing or

certification of kinship homes, patterns of training and/or

supervision, patterns of support services, and/or systems of economic

support. It should also make provision to assess the degree of success

for kinship care arrangement in meeting goals related to the safety,

permanency and well-being of the children as well as the economic costs

associated with it to the agency.

Make sure that the proposed approach is theoretically and

conceptually sound, reflecting the current state of knowledge in this

field, with sufficient detail on various project components

(activities, milestones etc.), and related indicators and measures to

allow accurate determination of its feasibility and evaluability.

Propose an evaluation plan using the evaluation paradigm

described in the background information section and discuss the

criteria to be used to evaluate the success of achieving programmatic

goals in terms of the stated objectives and approach of the project.

Identify the kinds of data to be collected and maintained and the

proposed methods for analysis, both for documenting the types of

procedures and services to be implemented as well as for documenting

the outcomes of such procedures and services. Include description of

any planned use of data available through your State's automated child

welfare information system.

Outline the services, policies, or procedures which singly

or in combination are expected to lead to positive child safety,

permanency and well-being outcomes; and propose methods for measuring

each component of the model.

Provide assurance that at least 25% of the proposed

demonstration grant budget be set aside for evaluation efforts. This

evaluation may be conducted internally, or externally, by an

independent evaluation unit within an agency, a university, or an

independent evaluation contractor.

Provide assurance that, in addition to the project-

specific evaluation, project and evaluation staff will cooperate in any

cross-project data collection or other collaborative efforts for

establishing common measures or data collection tools which allows for

aggregation of results across projects. Technical assistance for common

data collection and evaluations will be made available.

Describe a plan of action and time-line for the project.

Cite factors which might create barriers to the

implementation of the project and plans for overcoming those barriers.

Include a staffing plan, listing key and support staff,

consultants, any agency, organization, other key group, and/or advisory

panels or steering committee involved or proposed; describe the

responsibilities, activities, and/or training plans for each (if

applicable).

Describe the nature and extent of the collaboration and

the responsibilities of the respective agencies in carrying out the

activities identified in the work-plan if the proposed project is a

collaborative effort.

Results or Benefits Expected

Identify the results and benefits to be derived by

clients, community, agency, and NCCAN/CB as a result of the

implementation and evaluation of this project. Discuss how project

findings are likely to improve practice and inform policy.

Describe strategies for disseminating findings and

products to other practitioners in the field.

Justify proposed project costs in view of the expected

results and benefits.

Provide assurance that all reports will be prepared in an

NCCAN-suggested format and copies of final reports and other products

shall be provided to the Clearinghouse on Child Abuse and Neglect

Information. Also, provide assurance that grantees will make all

necessary materials and documentation available if the model is

selected for replication upon completion of the project.

Staff Background and Organization Experience

Identify the educational and professional background of

the project director and key project staff, including the individual(s)

responsible for the evaluation (a curriculum veta for each key staff

must be included with the application and letters of commitment as

applicable).

Describe the organization's ability to administer and

implement the project effectively and efficiently. Provide letters of

commitment from proposed collaborating organizations.

Identify the author(s) of this proposal and the role(s) of

the author(s) on the proposed project.

Describe the relationships between the proposed project

and other Federally assisted work planned,

[[Page 26865]]

anticipated, or underway by the applicant.

Provide assurance that (1) at least one key staff person

will attend an annual three-day grantee meeting in Washington, DC and

(2) at least one key staff person and the evaluator will attend a two-

day annual technical assistance meeting in Washington D.C. on data

collection and evaluation procedures.

Project Duration: The length of the project for the demonstration

projects must not exceed a three-year period.

Federal Share of Project Cost: The maximum Federal share of the

project is not to exceed $200,000 for the first 12-month budget period

or a maximum of $600,000 for a period of three years.

Matching Requirement: The project must provide a non-Federal share

or match of at least 25% of the total approved cost of the project. The

total approved cost of the project is the sum of the Federal share and

the non-Federal share. The non-Federal share may be met by cash or in-

kind contributions, although applicants are encouraged to meet their

match requirements through cash contributions. Therefore, a three year

project requesting $600,000 in Federal funds (based on an award of

$200,000 per 12-month budget period) must include a match of at least

$200,000 over three years ($67,667 per 12-month budget period).

Anticipated Number of Projects to be Funded: It is anticipated that

up to nine demonstration projects will be funded.

1.04 School-Based Child Maltreatment Prevention, Identification and

Treatment Services

Eligible Applicants: Public or private nonproject agencies or

organizations are eligible to apply under this priority area in

collaboration with preschool programs, particularly Head Start and

publicly supported early childhood development centers, elementary

school systems and secondary school systems that mutually benefit from

the cooperative development and delivery of services proposed under

this project.

Purpose: The intent of this priority area is the development and

demonstration of service models that address the prevention,

identification and treatment of child abuse and neglect by communities

in cooperation with preschool, elementary and secondary school systems,

in response to CAPTA, as amended by Pub. L. 104-235 (1996). Applicants

may target preschool during the first year of this project and

elementary and secondary schools during the second and third years

respectively or all three school systems throughout the project period.

Through the prevention aspects of this priority area, NCCAN seeks

to promote the safety and minimize the risk of harm to preschool,

elementary school, and secondary school children. One approach to

focusing on preschool children is funding community partnerships and

innovative training of staff in Head Start and other preschool programs

in the areas of positive discipline, recognizing signs of child abuse

and neglect, alternatives to physical punishment, and behavior

management practices, in support of Head Start performance standards,

as applicable. Another approach could involve use of the professional

expertise of school social workers in the service delivery proposed.

Expected outcomes of this project across all three target school

systems should include effective use of protective strategies by staff

in their interactions with students and in their training roles with

parents, better identification and referral of child abuse and neglect

cases, and higher sensitivity among staff to issues of cultural

diversity as they affect child behavior management practices and

questions of abuse and neglect.

Addressing the intervention aspects of the legislation,

demonstration activities under this project should include innovative

child abuse and neglect intervention services in the form of individual

or group counseling, therapeutic intervention groups for children who

witness violence and/or who are victims of abuse and neglect.

Background Information: Section 105(b)(1) of CAPTA, as amended by

Pub. L. 104-235, authorizes the Secretary to award grants for projects

which provide ``educational identification, prevention and treatment

services in cooperation with preschool, elementary and secondary

schools.'' In addition, Title II of CAPTA supports State efforts to

develop, operate, expand and enhance a network of community-based,

prevention-focused, family resources and support programs that

coordinate resources among all the agencies that currently deal with

children and families, including educational institutions.

According to the findings of the Third National Incidence Study of

Child Abuse and Neglect, (NIS-3), published in September 1996, schools

are a frequent source of child abuse and neglect recognition: Thirty-

four percent of the children included in the study under the ``Harm

Standard'' receiving a CPS investigation and 69 percent of those not

investigated but meeting the ``Harm Standard'' were identified by

schools. Educators account for over 15 percent of all referrals to

Child Protective Service agencies in the latest National Child Abuse

and Neglect Date System (NCANDS) data report (Child Maltreatment 1995:

Reports from the States to the National Center on Child Abuse and

Neglect).

As noted in the August 1995 Harvard Family Research Project working

paper, Challenges in Evaluating School-Linked Services: Toward a More

Comprehensive Evaluation Framework.

School linked services have emerged as one type of program model

intended to give children greater access to needed social services

and community supports * * * Yet the concept of linking schools with

social services and community resources is not new. As Tyack (1992)

points out, schools have always been ``attractive targets for

reformers seeking to improve the health and welfare of children * *

* [They provide] sustained contact with children and a captive

audience * * * '' (p. 7).

Although this paper raises issues of resistance to schools as

social service entities, such as distrust by a disenfranchised

population of schools and reluctance of organizations to rework lines

of authority to achieve collaboration, on a more basic level,

``proponents of school-linked services maintain that delivering social

services to children via schools makes sense because, of all public

institutions, schools provide the most sustained and non-stigmatizing

contact with children, and therefore the most access to them'' (Koppich

and Kirst, 1993; Tyack, 1992).

The Parent Partner Program, in Elmira, NY, designed to prevent

child abuse and neglect by strengthening the connection among families,

neighborhoods and schools, was part of the NCCAN-sponsored Community

Lifelines project of Cornell University and the Elmira City School

District. Its final year of Federal funding was 1994; an evaluation

that year was generally positive (Program Manual, p. 24).

In their 1994 article on ``The Mediating Effect of Good School

Performance on the Maltreatment-Delinquency Relationship'' (Journal of

Research in Crime and Delinquency 31(1):62-91, February, 1994), based

on research funded by NCCAN, authors Zingraff, Lieter, Johnson, and

Meyers state that ``maltreated children are at a significantly higher

risk of delinquent involvement than the general school population'';

however, ``with the introduction of school outcome variables,

physically abused children are no longer at a statistically elevated

risk of delinquency.'' Their data suggest that positive school

experiences can mitigate the effects of physical abuse and, to a lesser

extent, neglect. ``The potential of schools as intervention sites

[[Page 26866]]

derives from the concentration of children in them, which allows scarce

resources to be stretched further * * *.''

The U.S. Department of Education Office of Elementary and Secondary

Education has recently completed a five year project, funding 18 early

child education/violence counseling training programs directed by

universities across the country. Thirteen of the 18 projects'

recruitment efforts focused on current employees of Head Start, Early

Start, and other early childhood education programs.

The Edna McConnell Clarke Foundation is sponsoring a ``Community

Partnerships'' CPS reform initiative in sites within 4 States, designed

``to enhance the ability of individual communities to keep children

safe from harm and neglect.'' The role of the school as a community

resource is especially key to the Jefferson County, Kentucky, site.

Under the Kentucky Education Reform Act, ``over 300 school-based Family

Resource and Youth Service Centers have been developed which serve as

mechanisms to identify and refer at risk families to Neighborhood Place

centers.'' (The Edna McConnell Clark Foundation Program for Children

Strategy Statement, March 1996). Health, mental health, child

protective, employment and other such community services are all

provided by the staff of the Neighborhood Place.

``The Rainbow House Handbook to a Violence Free Future: Choosing

Non-Violence for Young Children'' (A. Parry, M. Walker, C. Heim,

Rainbow House/Arco Iris, Chicago, 1991) is one example of an

educational curriculum on abuse prevention which was developed by The

Rainbow House Training Institute for Choosing Non-Violence in Chicago,

Illinois. The training institute, considered to be one of the first

programs in the United States to address violence prevention with young

children, provides training for Head Start staff, child care providers

and parents. Initially supported by Administration on Children, Youth

and Family funds, the program has subsequently received positive

evaluation and attention as an effective approach.

Projects proposed under this priority area may either present

innovative approaches or be replications of previously evaluated and

promising models. In either case, proposed activities should build on

previous research and evaluation findings. An evaluation component is

required for each proposal submitted under this priority area.

Applicants are referred to the National Clearinghouse on Child Abuse

and Neglect Information for access to the literature cited herein, as

well as access to additional background and information on school

involvement in child maltreatment prevention and intervention

activities.

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

Objectives and Need for Assistance

State the objectives of the project in specific,

measurable terms.

Pinpoint the problem or issue that needs to be addressed

and establish the need for assistance; provide supporting documentation

or other testimonies from concerned interests other than the applicant.

Specifically, provide evidence of the ability to establish

collaborative partnerships with related organizations and agencies,

especially with the school systems, child care providers as well as the

new Community-Based Family Resource and Support Grants authorized in

Title II of Pub. L. 104-235, the Child Abuse Prevention and Treatment

Act of 1996 (CAPTA), by attaching letters of commitment to the effect

that such entities will participate in the proposed demonstration

activities.

Demonstrate an awareness of current initiatives in the

field and how the approach being proposed would build on this work.

Identify the theoretical framework of prevention or

treatment used as the basis for the proposed model and provide a review

of the relevant literature, demonstrating an awareness of the current

status of child abuse and neglect prevention, identification and

treatment efforts, at the State, local and community-based levels,

particularly those which involve school-based programs and child care

providers; include information about successful demonstration projects

that may have implications for the proposed demonstration.

Describe whether the proposed project replicates or

modifies a previously evaluated model which addresses the identified

need.

Identify the precise location of the project, community,

and population to be served by the proposed project.

Approach

Describe the approach in detail and point out its unique

features including collaboration with child care providers and other

partners, sensitivity to cultural, sociological, psychological, and

ethnic dynamics which have affected the choice of approach.

Describe a sound and workable plan of action and time-line

which match the scope of the project and explain how the proposed work

will be accomplished.

Cite factors which might accelerate or delay this

approach, giving acceptable reasons for taking this approach as opposed

to others.

Include an adequate staffing plan, listing Program

Director duties and qualifications as well as other key and support

staff, consultants, any agency, organization, other key group, and/or

advisory panels involved or proposed; describe the responsibilities,

activities, and/or training plans for each (if applicable). If the

proposed project is a collaboration, the application must describe the

nature and extent of the collaboration and the responsibilities of the

respective agencies in carrying out the activities identified in the

work-plan.

Propose an evaluation plan. Discuss the methods and

criteria to be used to evaluate the results and benefits of the project

in terms of the stated objectives of the project. Identify the kinds of

data to be collected and maintained for this purpose. An external

evaluator is required to carry out the evaluation. It is recommended

that not less than 15 percent of the proposed budget be set aside for

evaluation efforts.

Results or Benefits Expected

Identify the results and benefits to be derived by

clients, community, agency, and NCCAN as a result of the implementation

and evaluation of this project. Discuss how project findings are likely

to improve practice and inform policy.

Justify proposed project costs in view of the expected

results and benefits.

Describe strategies for disseminating findings to other

practitioners in the field.

Staff Background and Organization Experience

Identify the educational and professional background of

the project director and key project staff.

Describe the organization's ability to administer and

implement the project effectively and efficiently.

Describe the organization's experiences in establishing

linkages and collaborating with partners at the community level.

Identify precisely the rule of the author(s) of this

proposal in relation to the work plan and administrative structure.

[[Page 26867]]

Describe the relationships between the proposed project

and other Federally assisted work planned, anticipated, or underway by

the applicant.

Provide assurance that at least one key staff person will

attend an annual three-day meeting in Washington, DC.

Provide assurance that all reports will be prepared in an

NCCAN-suggested format and copies of final reports and other products

shall be provided to the Clearinghouse.

Project Duration: The length of the project must not exceed a

three-year period.

Federal Share of Project Cost: The maximum Federal share of this

project is not to exceed $100,000 for the first 12-month budget period,

or a maximum of $300,000 for a period of three years.

Matching Requirement: Grantees must provide a non-Federal share or

match of at least 25 percent of the total approved cost. The non-

Federal share may be met by cash or in-kind contributions, although

applicants are encouraged to meet their match requirements through cash

contributions. Therefore, a three-year project requesting $300,000 in

Federal funds (based on an award of $100,000 per 12-month budget

period) must include a match of at least $100,000 ($33,333 per 12-month

budget period).

Anticipated Number of Projects to be Funded: It is anticipated that

up to 7 projects will be funded.

CFDA Number: 93.670.

Part III. Information and Instructions for the Development and

Submission of Applications

This part contains information and instructions for submitting

applications in response to this announcement. Application forms are

provided in Appendix A-ACF Uniform Discretionary Grant Application Form

(ACF/UDGAF) and a checklist for assembling an application package is

included in Section F. Please copy and use these forms in submitting an

application.

Potential applicants should read this section carefully in

conjunction with the information in the specific priority area under

which the application is to be submitted. The priority area description

are in Part II.

A. Paperwork Reduction Act of 1995

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

Department is required to submit to the Office of Management and Budget

(OMB) for review and approval any reporting and record-keeping

requirements or program announcements. This program announcement meets

all information collection requirements approved for ACF grant

applications under OMB Control Number 0970-0139.

B. Availability of Forms

Eligible applicants interested in applying for funds must submit a

complete application including the required forms at the end of this

program announcement in Appendix A. In order to be considered for a

grant under this announcement, an application must be submitted on the

Standard Form 424 (approved by OMB under Control Number 0348-0043).

Each application must be signed by an individual authorized to act for

the applicant and to assume responsibility for the obligations imposed

by the terms and conditions of the grant award. Applicants requesting

financial assistance for non-construction projects must file the

Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved

by OMB under control number 0348-0040). Applicants must sign and return

the Standard Form 424B (approved by OMB Control Number 0348-0340) with

their application. Applicants must provide a certification regarding

lobbying (approved by OMB under Control Number 0348-0046). Prior to

receiving an award in excess of $100,000, applicants shall furnish an

executed copy of the lobbying certification (approved by OMB under

control number 0348-0046). Applicants must sign and return the

certification with their application.

Applicants must make the appropriate certification of their

compliance with the Drug-free Workplace Act of 1988. By signing and

submitting the application, applicants are providing the certification

and need not mail back the certification with the application.

Application must make the appropriate certification that they are

not presently debarred, suspended or otherwise ineligible for an award.

By signing and submitting the application, applicants are providing the

certification and need not mail back the certification with the

application.

Applicants will be held accountable for the smoking prohibition in

Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the

Pro-Children's Act of 1994). By signing and submitting the application,

applicants are providing the certification and need not mail back the

certification with the application.

C. Required Notification of the State Single Point of Contact

This program is covered under Executive Order 12372,

``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,

``Intergovernmental Review of Department of Health and Human Services

Program and Activities.'' Under the Order, States may design and own

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alabama, Alaska, Colorado,

Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,

American Samoa and Palau have elected to participate in the Executive

Order process and have established Single Points of Contact (SPOCs).

Applicants from these twenty one jurisdictions need take no action

regarding E.O. 12372. Applicants for projects to be administered by

Federally-recognized Indian Tribes are also exempt from the

requirements of E.O. 12372. Otherwise, applicants should contact their

SPOCs as soon as possible to alert them of the prospective applications

and receive any necessary instructions. Applicants must submit any

required material to the SPOCs as soon as possible so that the program

office can obtain and review SPOC comments as part of the award

process. It is imperative that the applicant submit all required

materials, if any, to the SPOC and indicate the date of this material

(or the date of contact if no submittal is required) on the Standard

Form 424, item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application

deadline to comment on proposed new or competing continuation awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations.

Additionally, SPOCs are requested to clearly differentiate between

mere advisory comments and those official State process recommendations

which may trigger the ``accommodate or explain'' rule.

When comments are submitted directly to ACF, they should be

addressed to: Department of Health and Human Services, Administration

for Children and Families, Division of Discretionary Grants, 370

L'Enfant Promenade, SW., Washington, DC 20447.

[[Page 26868]]

A list of the Single Points of Contact for each State and Territory

is included as Appendix B of this announcement.

D. Deadline for Submission of Applications

Deadline: Mailed applications shall be considered as meeting an

announced deadline if they are received on or before the deadline time

and date at the U.S. Department of Health and Human Services,

Administration for Children and Families, Division of Discretionary

Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462, Washington, DC

20447, Attention: Application for [insert Program Name]. Applicants are

responsible for mailing applications well in advance, when using all

mail services, to ensure that the applications are received on or

before the deadline time and date.

Applications hand carried by applicants, applicant couriers, or by

overnight/express mail couriers shall be considered as meeting an

announced deadline if they are received on or before the deadline date,

between the hours of 8 a.m. and 4:30 p.m., at the U.S. Department of

Health and Human Services, Administration for Children and Families,

Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock,

Aerospace Center, 901 D Street, SW., Washington, DC 20024, between

Monday and Friday (excluding weekends and Federal holidays). Any

application received after 4:30 p.m. on the deadline date will not be

considered for competition. Applicants using express/overnight services

should allow for two working days prior to the deadline date for

receipt of applications. (Applicants are cautioned that express/

overnight mail services do not always deliver as agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

ACF electronically will not be accepted regardless of Date or time of

submission and time of receipt.

Late applications: Applications which do not meet the criteria

above are considered late applications. ACF shall notify each late

applicant that its application will not be considered in the current

competition.

Extension of deadlines: ACF may extend the deadline for all

applicants because of acts of God such as floods, hurricanes, etc., or

when there is a widespread disruption of the mails. However, if ACF

does not extend the deadline for all applicants, it may not waive or

extend the deadline for any applicants.

E. Instructions for Preparing the Application and Completing

Application Forms

Applications submitted for funds under this announcement are

considered NEW APPLICATIONS, therefore, follow instructions in Appendix

A for NEW APPLICATIONS.

The SF 424, 424A (approved by OMB under Control Number 0348-0044),

424B, and certifications are included in Appendix A. You should

reproduce single-sided copies of these forms from the reprinted forms

in the announcement, typing your information onto the copies. Please do

not use forms directly from the Federal Register announcement, as they

are printed on both sides of the page.

Please prepare your application in accordance with the following

instructions:

1. SF 424 Page 1, Application Cover Sheet. Please read the

following instructions before completing the application cover sheet.

An explanation of each item is included. Complete only the items

specified.

Top of Page. Enter the single priority area number under which the

application is being submitted under only one priority area.

Item 1. Type of submission--Pre-printed on the form.

Item 2. Date Submitted and Applicant Identifier--Date application

is submitted to ACYF and applicant's own internal control number, if

applicable.

Item 3. Date Received by State--State use only (if applicable).

Item 4. Date Received by Federal Agency--Leave blank.

Item 5. Applicant Information Legal Name--Enter the legal name of

the applicant organization. For applications developed jointly, enter

the name of the lead organization only. There must be a single

applicant for each application.

Organizational Unit--Enter the name of the primary unit within the

applicant organization which will actually carry out the project

activity. Do not use the name of an individual as the applicant. If

this is the same as the applicant organization, leave the

organizational unit blank.

Address--Enter the complete address that the organization actually

uses to receive mail, since this is the address to which all

correspondence will be sent. Do not include both street address and

P.O. box number unless both must be used in mailing.

Name and telephone number of the person to be contacted on matters

involving this application (include area code)--Enter the full name

(including academic degree, if applicable) and telephone number of a

person who can respond to questions about the application. This person

should be accessible at the address given here and will receive all

correspondence regarding the application.

Item 6. Employer Identification Number (EIN)--Enter the employer

identification number of the applicant organization, as assigned by the

Internal Revenue Service, including, if known, the Central Registry

System suffix.

Item 7. Type of Applicant--Self-explanatory.

Item 8. Type of Application--Check new application.

Item 9. Name of Federal Agency--ACYF/NCCAN/CB.

Item 10. Catalog of Federal Domestic Assistance Number and Title--

Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned

to the program under which assistance is requested and its title, as

indicated in the relevant priority area description.

Item 11. Descriptive Title of Applicant's Project--Enter the

project title. The title is generally short and is descriptive of the

project, not the priority area title.

Item 12. Areas Affected by Project--Enter the governmental unit

where significant and meaningful impact could be observed. List only

the largest unit or units affected, such as State, county, or city. If

an entire unit is affected, list it rather than sub-units.

Item 13. Proposed Project--Enter the desired start date for the

project and projected completion date.

Item 14. Congressional District of Applicant/Project--Enter the

number of the Congressional District where the applicant's principal

office is located and the number of the Congressional district(s) where

the project will be located. If statewide, a multi-State effort, or

nationwide, enter 00.

Items 15. Estimated Funding Levels. In completing 15a through 15f,

the dollar amounts entered should reflect, for a 12-month budget

period, the total amount requested.

Item 15a. Enter the amount of Federal funds requested in accordance

with the preceding paragraph. This amount should be no greater than the

maximum amount specified in the priority area description.

Items 15b-e. Enter the amount(s) of funds from non-Federal sources

that will be contributed to the proposed project. Items b-e are

considered cost-sharing or matching funds. The value of third party in-

kind contributions should be included on appropriate lines as

applicable.

Item 15f. Enter the estimated amount of income, if any, expected to

be

[[Page 26869]]

generated from the proposed project. Do not add or subtract this amount

from the total project amount entered under item 15g. Describe the

nature, source and anticipated use of this income in the Project

Narrative Statement.

Item 15g. Enter the sum of items 15a-15e.

Item 16a. Is Application Subject to Review By State Executive Order

12372 Process? Yes, except for the 23 jurisdictions listed above. Enter

the date the applicant contacted the SPOC regarding this application.

Select the appropriate SPOC from the listing provided at the end of

Part III. The review of the application is at the discretion of the

SPOC. The SPOC will verify the date noted on the application. If there

is a discrepancy in dates, the SPOC may request that the Federal agency

delay any proposed funding until September 1997.

Item 16b. Is Application Subject to Review By State Executive Order

12372 process? No.--Check the appropriate box if the application is not

covered by E.O. 12372 or if the program has not been selected by the

State for review.

Item 17. Is the Applicant Delinquent on any Federal Debt?--Check

the appropriate box. This question applies to the applicant

organization, not the person who signs as the authorized

representative. Categories of debt include audit disallowances, loans

and taxes.

Item 18. To the best of my knowledge and belief, all data in this

application/preapplication are true and correct. The document has been

duly authorized by the governing body of the applicant and the

applicant will comply with the attached assurances if the assistance is

awarded.--To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for signature

of this application by this individual as the official representative

must be on file in the applicant's office, and may be requested from

the applicant.

Item 18a-c. Typed Name of Authorized Representative, Title,

Telephone Number--Enter the name, title and telephone number of the

authorized representative of the applicant organization.

Item 18d. Signature of Authorized Representative--Signature of the

authorized representative named in Item 18a. At least one copy of the

application must have an original signature. Use colored ink (not

black) so that the original signature is easily identified.

Item 18e. Date Signed--Enter the date the application was signed by

the authorized representative.

1. SF 424A, Budget Information--Non-Construction Programs. This is

a form used by many Federal agencies. For this application, Sections A,

B, C, E and F are to be completed. Section D does not need to be

completed.

Sections A and B should include the Federal as well as the non-

Federal funding for the proposed project covering the first year budget

period.

Section A--Budget Summary. This section includes a summary of the

budget. On line 5, enter total Federal costs in column (e) and total

non-Federal costs, including third party in-kind contributions, but not

program income, in column (f). Enter the total of (e) and (f) in column

(g).

Section B--Budget Categories. This budget, which includes the

Federal as well as non-Federal funding for the proposed project, covers

the first year budget period if the proposed project period exceeds 12

months. It should relate to item 15g, total funding, on the SF 424.

Under column (5), enter the total requirements for funds (Federal

dollars in one column and non-Federal in the other) by object class

category.

A separate, itemized, budget justification for each line item is

required. The types of information to be included in the justification

are indicated under each category. For multiple-year projects, it is

desirable to provide this information for each year of the project.

Applicants should refer to the Budget and Budget Justification

information in the Program Narrative section of the ACF/UDGAF on page

27 (Item D) in Appendix A.

Personnel--Line 6a. Enter the total costs of salaries and wages of

applicant/grantee staff. Do not include the costs of consultants, which

should be included on line 6h, Other.

Justification: Identify the principle investigator or project

director, if known. Specify by title or name the percentage of time

allocated to the project, the individual annual salaries, and the cost

to the project (both Federal and non-Federal) of the organization's

staff who will be working on the project.

Fringe Benefits--Line 6b. Enter the total cost of fringe benefits,

unless treated as part of an approved indirect cost rate.

Justification: Provide a break-down of amounts and percentages that

comprise fringe benefit costs, such as health insurance, FICA,

retirement insurance, etc.

Travel--6c. Enter total costs of out-of-town travel (travel

requiring per diem) for staff of the project. Do not enter costs for

consultant's travel or local transportation, which should be included

on Line 6h, Other.

Justification: Include the name(s) of traveler(s), total number of

trips, destinations, length of stay, transportation costs and

subsistence allowances.

Equipment--Line 6d. Enter the total costs of all equipment to be

acquired by the project. Equipment is defined as non-expendable

tangible personal property having a useful life of more than one year

and a acquisition cost of $5,000 or more per unit.

Justification: Equipment to be purchased with Federal funds must be

justified. The equipment must be required to conduct the project, and

the applicant organization or its sub-grantees must not have the

equipment or a reasonable facsimile available to the project. The

justification also must contain plans for future use or disposal of the

equipment after the project ends.

Supplies--Line 6e. Enter the total costs of all tangible expendable

personal property (supplies) other than those included on Line 6d.

Justification: Specify general categories of supplies and their

costs.

Contractual--Line 6f. Enter the total costs of all contracts,

including (1) procurement contracts (except those which belong on other

lines such as equipment, supplies, etc.) and (2) contracts with

secondary recipient organizations, including delegate agencies. Also

include any contracts with organizations for the provision of technical

assistance. Do not include payments to individuals on this line. If the

name of the contractor, scope of work, and estimated total costs are

not available or have not been negotiated, include on Line 6h, other.

Justification: Attach a list of contractors, indicating the names

of the organizations, the purposes of the contracts, and the estimated

dollar amounts of the awards as part of the budget justification.

Whenever the applicant/grantee intends to delegate part or all of the

program to another agency, the applicant/grantee must complete this

section (Section B, Budget Categories) for each delegate agency by

agency title, along with the supporting information. The total cost of

all such agencies will be part of the amount shown on Line 6f. Provide

back-up documentation identifying the name of contractor, purpose of

contract, and major cost elements. Applicants who anticipate

procurement that will exceed $5,000 (non-governmental entities) or

$25,000 (governmental entities) and are requesting an award without

competition should include a sole-source justification in the proposal

which at a minimum should include the basis for contractor's selection,

[[Page 26870]]

justification for lack of competition when competitive bids or offers

are not obtained and basis for award cost or price. (Note: Previous or

past experience with a contractor is not sufficient justification for

sole source.)

Construction--Line 6g. Not applicable. New construction is not

allowable.

Other--Line 6h. Enter the total of all other costs. Where

applicable, such costs may include, but are not limited to: insurance,

medical and dental costs, noncontractual fees and travel paid directly

to individual consultants, local transportation (all travel which does

not require per diem is considered local travel), space and equipment

rentals, printing and publication, computer use, training costs,

including tuition and stipends, training service costs, including wage

payments to individuals and supportive service payments, and staff

development costs. Note that costs identified as miscellaneous and

honoraria are not allowable.

Justification: Specify the costs included.

Total Direct Charge--Line 6i. Enter the total of Lines 6a through

6h.

Indirect Charges--6j. Enter the total amount of indirect charges

(costs). If no indirect costs are requested, enter none. Generally,

this line should be used when the applicant has a current indirect cost

rate agreement approved by the Department of Health and Human Services

or another Federal agency.

Local and State governments should enter the amount of indirect

costs determined in accordance with DHHS requirements. When an indirect

cost rate is requested, these costs are included in the indirect cost

pool and should not be charged again as direct costs to the grant.

Justification: Enclose a copy of the indirect cost rate agreement.

Total--Line 6k. Enter the total amounts of line 6i and 6j.

Program Income--Line 7. Enter the estimated amount, if any,

expected to be generated from this project. Do not add or subtract this

amount from the total project amount.

Justification: Describe the nature, source, and anticipated use of

program income in the Program Narrative Statement.

Section C--Non-Federal Resources. This section summarizes the

amounts of non-Federal resources that will be applied to the grant.

Enter this information on line 12 entitled Totals. In-kind

contributions are defied in 45 CFR 74.51 and 45 CFR 92.3, as property

or services which benefit a grant-supported project or program and

which are contributed by non-Federal third parties without charge to

the grantee, the sub-grantee, or a cost-type contractor under the grant

or sub-grant.

Justification: Describe third party in-kind contributions, if

included.

Section D--Forecasted Cash Needs, Not applicable.

Section E--Budget Estimate of Federal Funds Needed For Balance of

the Project. This section should only be completed if the total project

period exceeds 15 months.

Totals--Line 20. For projects that will have more than one budget

period, enter the estimated required Federal funds for the second

budget period (months 13 through 24) under column (b) First. If a third

budget period will be necessary, enter the Federal funds needed for

months 25 through 36 under (c) Second. Columns (d) and (e) would be

used in the case of a 60 month project.

Section F--Other Budget Information.

Direct Charges--Line 21, Not applicable.

Indirect Charges--Line 22, Enter the type of indirect rate

(provisional, predetermined, final or fixed) that will be in effect

during the funding period, the estimated amount of the base to which

the rate is applied, and the total indirect expense.

Remarks--Line 23. If the total project period exceeds 12 months,

you must enter your proposed non-Federal share of the project budget

for each of the remaining years of the project.

3. Project Summary Description. Clearly mark this separate page

with the applicant name as shown in item 5 of the SF 424, the priority

area number as shown at the top of the SF 424, and the title of the

project as shown in item 11 of the SF 424. The summary description

should not exceed 300 words. These 300 words become part of the

computer database on each project.

Care should be taken to produce a summary description which

accurately and concisely reflects the application. It should describe

the objectives of the project, the approaches to be used and the

outcomes expected. The description should also include a list of major

products that will result from the proposed project, such as software

packages, materials, management procedures, data collection

instruments, training packages, or videos. (Please note that

audiovisuals should be closed captioned.) The project summary

description, together with the information on the SF 424, will

constitute the project abstract. It is the major source of information

about the proposed project and is usually the first part of the

application that the reviewers read in evaluating the application.

At the bottom of the page, following the summary description, type

up to 10 key words which best describe the proposed project, the

service(s) involved and the target population(s) to be covered. These

key words will be used for computerized information retrieval for

specific types of funded projects. Applicants should refer to the

instructions in Appendix A under the Program Narrative section (Item

A.1) regarding the project summary.

4. Program Narrative Statement. The Program Narrative Statement is

a very important part of an application. It should be clear, concise,

and address the specific requirements mentioned under the priority area

description in Part II.

The narrative should provide information concerning how the

application meets the evaluation criteria using the following headings

for demonstration applications:

(a) Objective and Need for Assistance

(b) Approach

(c) Results or Benefits Expected

(d) Staff Background and Organization Experience

The narrative should be typed double-spaced on a single-side of an

8\1/2\'' x 11'' plain white paper, with 1'' margins on all sides,

using standard type sizes or fonts (e.g., Times Roman 12 or Courier

10). Applicants should not submit reproductions of larger size paper

reduced to meet the size requirement. Applicants are requested not to

send pamphlets, brochures, or other printed material along with their

application as they pose copying difficulties. All pages of the

narrative (including charts, references/footnotes, tables, maps,

exhibits, etc.) must be sequentially numbered, beginning with

``Objectives'' or ``Objectives and Need for Assistance'' as page number

one.

The length of the application, including the application forms and

all attachments, should not exceed 60 pages. Anything over the limit

will not be reproduced and distributed to reviewers. A page is a single

side of an 8\1/2\'' x 11'' sheet of paper. Applicants are requested

not to send pamphlets, brochures or other printed material along with

their application as these pose xeroxing difficulties. These materials,

if submitted, will not be included in the review process if they exceed

the page limit criteria. Each page of the application will be counted

to determine the total length.

Applicants should respond to the Program Narrative instructions in

Appendix A--Components section (Item A) as described below.

A.2. Objectives and Need for Assistnace--This information is

[[Page 26871]]

addressed under the Objectives and Need for Assistance section (Part

II.C.) of this announcement.

A.3. Results and Benefits Expected--This information is addressed

in the Results and Benefits section (Part II.C.) of this announcement.

A.4. Approach--This information is addressed in the Approach

section (Part II.C.) of this announcement.

A.5. Evaluation--This information is addressed in the Approach

section (Part II.C.) of this announcement.

A.6. Geographic Location--This information is addressed in the

Objectives and Need for Assistance section (Part II.C.) of this

announcement.

A.7. Additional Information--This information is addressed in the

Staff Background and Organization Experience section (Part II.C.) of

this announcement.

Note: Item B. Noncompeting Continuation Applications and Item C.

Supplemental Requests do not apply to this announcement.

5. Organizational Capability Statement. The Organizational

Capability Statement should consist of a brief (two pages is suggested)

background description of how the applicant organization (or the unit

within the organization that will have responsibility for the project)

is organized, the types and quantity of services it provides, and/or

the research and management capabilities it possesses. This description

should cover capabilities not included in the Program Narrative

Statement. It may include descriptions of any current or previous

relevant experience, or describe the competence of the project team and

its demonstrated ability to produce a final product that is readily

comprehensible and usable. An organization chart showing the

relationship of the project to the current organization must be

included.

6. Assurances/Certifications. Applicants are required to file an SF

424B, Assurances--Non-Construction Programs and the Certification

Regarding Lobbying. Both must be signed and returned with the

application. In addition, applicants must certify their compliance

with: (1) Drug-free Work-place Requirements; and (2) Debarment and

Other Responsibilities. Copies of the assurances/certifications are

reprinted at the end of this announcement and should be reproduced, as

necessary. A duly authorized representative of the applicant

organization must certify that the applicant is in compliance with

these assurances/certifications. A signature on the SF 424 indicates

compliance with the Drug-free Work-place Requirements, and Debarment

and Other Responsibilities certifications.

A signature on the application constitutes an assurance that the

applicant will comply with the pertinent Departmental regulations

contained in 45 CFR part 74.

F. Checklist for a Complete Application

The checklist below is for your use to ensure that your application

package has been properly prepared.

--One original, signed and dated application, plus two copies.

Applications for different priority areas are packaged separately;

--Application is from an organization which is eligible under the

eligibility requirements defined in the priority area description

(screening requirement);

--Application length does not exceed 60 pages, unless otherwise

specified in the priority area description. A complete application

consists of the following items in this order:

--Application for Federal Assistance (SF 424, REV 4-92);

--A completed SPOC certification with the date of SPOC contact entered

in line 16, page 1 of the SF 424;

--Budget Information-Non-Construction Programs (SF 424A);

--Budget justification for Section B-Budget Categories;

--Table of Contents;

--Letter from the Internal Revenue Service to prove non-profit status,

if necessary;

--Copy of the applicant's approved indirect cost rate agreement, if

appropriate;

--Project summary description and listing of key words;

--Program Narrative Statement (See Part III, Section D);

--Organizational capability statement, including an organization chart;

--Any appendices/attachments;

--Assurances-Non-Construction Programs (Standard Form 424B);

--Certification Regarding Lobbying.

G. The Application Package

Each application package must include an original and two copies of

the complete application. Each copy should be stapled securely (front

and back if necessary) in the upper left-hand corner. All pages of the

narrative (including charts, tables, maps, exhibits, etc.) must be

sequentially numbered, beginning with page one. In order to facilitate

handling, please do not use covers, binders or tabs. Do not include

extraneous materials as attachments, such as agency promotion

brochures, slides, tapes, film clips, minutes of meetings, survey

instruments or articles of incorporation.

Do not include a self-addressed, stamped acknowledgment card. All

applicants will be notified automatically about the receipt of their

application. If acknowledgment of receipt of your application is not

received within two weeks after the deadline date, please notify the

ACYF Operations Center by telephone at 1-800-351-2293.

Dated: May 8, 1997.

Olivia A. Golden,

Principal Deputy Assistant Secretary for Children and Families.

BILLING CODE 4184-01-M

[[Page 26872]]

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BILLING CODE 4184-01-C

[[Page 26873]]

Instructions for the SF 424

Public reporting burden for this collection of information is

estimated to average 45 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget. Paperwork Reduction Project (0348-0042),

Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF

MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE

SPONSORING AGENCY.

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This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State, if

applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing

award, enter present Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of primary organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities.)

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

17. This question applies to the applicant organization, not the

person who signs as the authorized representative. Categories of

debt include delinquent audit allowances, loans and taxes.

18. To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for you to

sign this application as official representative must be on file in

the applicant's office. (Certain Federal agencies may require that

this authorization be submitted as part of the application.)

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[[Page 26874]]

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[[Page 26875]]

[GRAPHIC] [TIFF OMITTED] TN15MY97.002

BILLING CODE 4184-01-C

[[Page 26876]]

Instructions for the SF 424A

Public reporting burden for this collection of information is

estimated to average 180 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF

MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE

SPONSORING AGENCY.

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General Instructions

This from is designed so that application can be made for funds

form one or more grant programs. In preparing the budget, adhere to

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

shown by function or activity. For other programs, grantor agencies

may require a breakdown by function or activity. Sections A, B, C,

and D should include budget estimates for the whole project except

when applying for assistance which requires Federal authorization in

annual or other funding period increments. In the latter case,

Sections A, B, C, and D should provide the budget for the first

budget period (usually a year) and Section E should present the need

for Federal assistance in the subsequent budget periods. All

applications should contain a breakdown by the object class

categories shown in Lines a-k of Section B.

Section A. Budget Summary Lines 1-4, Column (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter on Line 1 under Column (a)

the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget

amounts by multiple function of activities, enter the name of each

activity or function on each line in Column (a), and enter the

catalog number in Column (b). For applications pertaining to

multiple programs where none of the programs require a breakdown by

function or activity, enter the catalog program title on each line

in Column (a) and the respective catalog number of each line in

Column (b).

For applications pertaining to multiple programs where one or

more programs require a breakdown by function or activity, prepare a

separate sheet for each program requiring the breakdown. Additional

sheets should be used when one form does not provide adequate space

for all breakdown of data required. However, when more than one

sheet is used, the first page should provide the summary totals by

programs.

Lines 1-4, Columns (c) through (g)

For new applications, leave Columns (c) and (d) blank. For each

line entry in Columns (a) and (b), enter in Columns (e), (f), and

(g) the appropriate amounts of funds needed to support the project

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

before the end of each funding period as required by the grantor

agency. Enter in Columns (c) and (d) the estimated amounts of funds

which will remain unobligated at the end of the grant funding period

only if the Federal grantor agency instructions provide for this.

Otherwise, leave these columns blank. Enter in Columns (e) and (f)

the amounts of funds needed for the upcoming period. The amount(s)

in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not

use Columns (c) and (d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and enter in Column (f) the

amount of the increase or decrease of non-Federal funds. In Column

(g) enter the new total budgeted amount (Federal and non-Federal)

which includes the total previous authorized budgeted amounts plus

or minus, as appropriate, the amounts shown in Columns (e) and (f).

The amount(s) in Column (g) should not equal the sum of amounts in

Columns (e) and (f).

Line 5--Show the total for all columns used.

Section B. Budget Categories

In the column headings (1) through (4), enter the titles of the

same programs, functions, and activities shown on Lines 1-4, Column

(a), Section A. When additional sheets are prepared for Section A,

provide similar column headings on each sheet. For each program,

function or activity, fill in the total requirements for funds (both

Federal and non-Federal) by object class categories.

Lines 6a-i--Show the totals of Lines 6a to 6h in each column.

Line 6j--Show the amount of direct cost.

Line 6k--Enter the total of amounts of Lines 6i and 6j. For all

applications for new grants and continuation grants the total amount

in column (5), Line 6k, should be the same as the total amount shown

in Section A, Column (g), Line 5. For supplemental grants and

changes to grants, the total amount of the increase or decrease as

shown in Columns (1)-(4), Line 6k, should the same as the sum of the

amounts in Section A, Columns (e) and (f) on Line 5.

Line 7--Enter the estimated amount of income, if any, expected

to be generated from this project. Do not add or subtract this

amount from the total project amount. Show under the program

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8-11--Enter amounts of non-Federal resources that will be

used on the grant. If in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)--Enter the program titles identical to Column (a),

Section A. A breakdown by function or activity is not necessary.

Column (b)--Enter the contribution to be made by the applicant.

Column (c)--Enter the amount of State's cash and in-kind

contribution if the applicant is not a State or State agency.

Applicants which are a State or State agency should leave this

column blank.

Column (d)--Enter the amount of cash and in-kind contributions

to be made from all other sources.

Column (e)--Enter totals in Columns (b), (c), and (d).

Line 12--Enter the total for each of Columns (b)-(e). The amount

in Column (e) should be equal to the amount on Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13--Enter the amount of cash needed by quarter from the

grantor agency during the first year.

Line 14--Enter the amount of cash from all other sources needed

by quarter during the first year.

Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of

the Project

Lines 16-19--Enter in Column (a) the same grant program titles

shown in Column (a), Section A. A breakdown by function or activity

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

which will be needed to complete the program or project over the

succeeding funding periods (usually in years). This section need not

be completed for revisions (amendments, changes, or supplements) to

funds for the current year of existing grants.

If more than four lines are needed to list the program titles,

submit additional schedules as necessary.

Line 20--Enter the total for each of the Columns (b)-(e). When

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21--Use this space to explain amounts for individual direct

object-class cost categories that may appear to be out of the

ordinary or to explain the details as required by the Federal

grantor agency.

Line 22--Enter the type of indirect rate (provisional,

predetermined, final or fixed) that will be in effect during the

funding period, the estimated amount of the base to which the rate

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

Assurances--Non-Construction Programs

Public reporting burden for this collection of information is

estimated to average 15

[[Page 26877]]

minutes per response, including time for reviewing instructions,

searching existing data sources, gathering and maintaining the data

needed, and completing and reviewing the collection of information.

Send comments regarding the burden estimate or any other aspect of

this collection of information, including suggestions for reducing

this burden, to the Office of Management and Budget, Paperwork

Reduction Project (0348-0043), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF

MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE

SPONSORING AGENCY.

-----------------------------------------------------------------------

Note: Certain of these assurances may not be applicable to your

project or program. If you have questions, please contact the

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duly authorized representative of the applicant I certify

that the applicant:

1. Has the legal authority to apply for Federal assistance and

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share of project costs) to

ensure proper planning, management and completion of the project

described in this application.

2. Will give the awarding agency, the Comptroller General of the

United States, and if appropriate, the State, through any authorized

representative, access to and the right to examine all records,

books, papers, or documents related to the award; and will establish

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

4. Will initiate and complete the work within the applicable

time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental; Personnel Act of 1970

(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for

merit systems for programs funded under one to the nineteen statutes

or regulations specified in Appendix A of OPM's Standards for a

Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) Title

VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

Secs. 1681-1683, and 1685-1686), which prohibits discrimination on

the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,

as amended (29 U.S.C. Sec. 794), which prohibits discrimination on

the basis of handicaps; (d) the Age Discrimination Act of 1975, as

amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination

on the basis of age; (e) the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to nondiscrimination on the

basis of drug abuse; (f) the Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

(P.L. 91-616), as amended, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism; (g)Secs. 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),

as amended, relating to confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil Rights Act of 1968 (42

U.S.C. Sec. 3601 et seq.), as amended, relating to non-

discrimination in the sale, rental or financing of housing; (i) any

other nondiscrimination provisions in the specific statute(s) under

which application for Federal assistance is being made; and (j) the

requirements of any other nondiscrimination statue(s) which may

apply to the application.

7. Will comply, or has already complied, with the requirements

of Titles II and III of the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (P.L. 91-646) which

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch

Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the

political activities of employees whose principal employment

activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-

Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40

U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding

labor standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase

requirements of Section 102(a) of the Flood Disaster Protection Act

of 1973 (P.L. 93-234) which requires recipients in a special flood

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive order

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with the approved State

management program developed under the Coastal Zone Management Act

of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal

actions to State (Clear Air) Implementation Plans under Section

176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.

Secs. 7401 et seq.); (g) protection of underground sources of

drinking water under the Safe Drinking Water Act of 1974, as

amended, (P.L. 93-523); and (h) protection of endangered species

under the Endangered Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16

U.S.C. Secs. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic

Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of

human subjects involved in research development, and related

activities supported by this award of assistance.

15. Will comply with the laboratory Animal Welfare Act of 1966

(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the

care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead

based paint in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984 or

OMB Circular No. A-133, Audits of Institutions of Higher Learning

and other Non-profit Institutions.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

----------------------------------------------------------------------

Signature of Authorized Certifying Official

----------------------------------------------------------------------

Title

----------------------------------------------------------------------

Applicant Organization

----------------------------------------------------------------------

Date Submitted

Program Narrative

This program narrative section was designed for use by many and

varied programs. Consequently, it is not possible to provide specific

guidance for developing a program narrative statement that would be

appropriate in all cases. Applicants must refer the relevant program

announcement for information on specific program requirements and any

additional guidelines for preparing the program narrative statement.

The following are general guidelines for preparing a program narrative

statement.

The program narrative provides a major means by which the

application is evaluated and ranked to compete with other applications

for available

[[Page 26878]]

assistance. It should be concise and complete and should address the

activity for which Federal funds are requested. Supporting documents

should be included where they can present information clearly and

succinctly. Applicants are encouraged to provide information on their

organizational structure, staff, related experience, and other

information considered to be relevant. Awarding offices use this and

other information to determine whether the applicant has the capability

and resources necessary to carry out the proposed project. It is

important, therefore, that this information be included in the

application. However, in the narrative the applicant must distinguish

between resources directly related to the proposed project from those

which will not be used in support of the specific project for which

funds are requested.

Cross-referencing should be used rather than repetition. ACF is

particularly interested in specific factual information and statements

of measurable goals in quantitative terms. Narratives are evaluated on

the basis of substance, not length. Extensive exhibits are not

required. (Supporting information concerning activities which will not

be directly funded by the grant or information which does not directly

pertain to an integral part of the grant funded activity should be

placed in an appendix.) Pages should be numbered for easy reference.

Prepare the program narrative statement in accordance with the

following instructions:

Applicants submitting new applications or competing

continuation applications should respond to Items A and D.

Applicants submitting noncompeting continuation

applications should respond to Item B.

Applicants requesting supplemental assistance should

respond to Item C.

A. Project Description--Components

1. Project Summary/Abstract

A summary of the project description (usually a page or less) with

reference to the funding request should be placed directly behind the

table of contents or SF-424.

2. Objectives and Need for Assistance

Applicants must clearly identify the physical, economic, social,

financial, institutional, 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

referenced in the endnotes/footnotes. Incorporate demographic data and

participant/beneficiary information, as needed. In developing the

narrative, the applicant may volunteer or be requested to provide

information on the total range of projects currently conducted and

supported (or to be initiated), some of which may be outside the scope

of the program announcement.

3. Results or Benefits Expected

Identify results and benefits to be derived. For example, when

applying for a grant to establish a neighborhood child care center,

describe who will occupy the facility, who will use the facility, how

the facility will be used, and how the facility will benefit the

community which it will serve.

4. Approach

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

how the proposed work will be accomplished. Account for all functions

or activities identified in the application. Cite factors which might

accelerate or decelerate the work and state your reason for taking this

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 microloans

made. When accomplishments cannot be quantified by activity or

function, list them in chronological order to show the schedule of

accomplishments and their target dates.

Identify the kinds of data to be collected, maintained, and/or

disseminated. (Note that clearance from the U.S. Office of Management

and Budget might be needed prior to an information collection.) List

organizations, cooperating entities, consultants, or other key

individuals who will work or the project along with a short description

of the nature of their effort or contribution.

5. Evaluation

Provide a narrative addressing how you will evaluate (1) the

results of your project and (2) the conduct of your program. In

addressing the evaluation of results, state how you will determine the

extent to which the program has achieved its stated objectives and the

extent to which the accomplishment of objectives can be attributed to

the program. Discuss the criteria to be used to evaluate results;

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 your

program, define the procedures you will employ to determine whether the

program is being conducted in a manner consistent with the work plan

you presented and discuss the impact of the program's various

activities upon the program's effectiveness.

6. Geographic Location

Give 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.

7. Additional Information (Include if Applicable)

Additional information may be provided in the body of the program

narrative or in the appendix. Refer to the program announcement and

``General Information and Instructions'' for guidance on placement of

application materials.

Staff and Position Data--Provide a biographical sketch for key

personnel appointed and a job description for each vacant key position.

Some programs require both for all positions. Refer to the program

announcement for guidance on presenting this information. Generally, a

biographical sketch is require for original staff and new members as

appointed.

Plan for Project Continuance Beyond Grant Support--A plan for

securing resources and continuing project activities after Federal

assistance has ceased.

Business Plan--When federal grant funds will be used to make an

equity investment, provide a business plan. Refer to the program

announcement for guidance on presenting this information.

Organization Profiles--Information on applicant organizations and

their cooperating partners such as organization charts, financial

statements, audit reports or statements from CPA/Licensed Public

Accountant, 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

[[Page 26879]]

of experience in program area, and other pertinent information. Any

non-profit organization submitting an application must submit proof of

its non-profit status in its application at the time of submission. The

non-profit agency can accomplish this by providing a copy of the

applicant's listing in the Internal Revenue Service's (IRS) most recent

list of tax-exempt organizations described in Section 501(c)(3) of the

IRS code or by providing a copy of the currently valid IRS tax

exemption certificate, or by providing a copy of the articles of

incorporation bearing the seal of the State in which the corporation or

association is domiciled.

Dissemination Plan--A plan for distributing reports and other

project outputs to colleagues and the public. Applicants must provide a

description of the kind, volume and timing of distribution.

Third-Party Agreements--Written agreements between grantees and

subgrantees or subcontractors or other cooperating entities. These

agreements may detail scope of work, work schedules, remuneration, and

other terms and conditions that structure or define the relationship.

Waiver Request--A statement of program requirements for which

waivers will be needed to permit the proposed project to be conducted.

Letters of Support--Statements from community, public and

commercial leaders which support the project proposed for funding.

B. Noncompeting Continuation Applications

A program narrative usually will not be required for noncompeting

continuation applications for nonconstruction programs. Noncompeting

continuation applications shall be abbreviated unless the ACF Program

Office administering this program has issued a notice to the grantee

that a full application will be required.

An abbreviated application consists of:

1. The Standard Form 424 series (SF 424, SF 424A, SF-424B).

2. The estimated or actual unobligated balance remaining from the

previous budget period should be identified on an accurate SF-269 as

well as in Section A, Columns (c) and (d) of the SF-424A.

3. The grant budget, broken down into the object class categories

on the 424A, and if category ``other'' is used, the specific items

supported must be identified.

4. Required certifications.

A full application consists of all elements required for an

abbreviated application plus:

1. Program narrative information explaining significant changes to

the original program narrative statement, a description of

accomplishments from the prior budget period, a projection of

accomplishments throughout the entire remaining project period, and any

other supplemental information that ACF informs the grantee is

necessary.

2. A full budget proposal for the budget period under consideration

with a full cost analysis of all budget categories.

3. A corrective action plan, if requested by ACF, to address

organizational performance weaknesses.

C. Supplemental Requests

For supplemental assistance requests, explain the reason for the

request and justify the need for additional funding. Provide a budget

and budget justification only for those items for which additional

funds are requested. (See Item D for guidelines on preparing a budget

and budget justification.)

D. 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 which describes how the

categorical costs are derived. Discuss the necessity, reasonableness,

and allocability of the proposed costs.

The following guidelines are for preparing the budget and budget

justification. Both federal and non-federal resources should be

detailed and justified in the budget and narrative justification. For

purposes of preparing the program narrative, ``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 for the budget, applicants use a column format: Column

1, object class categories; Column 2, federal budget amounts; Column 3,

non-federal budget amounts, and Column 4, total amounts. The budget

justification should be a narrative.

Personnel. Cost of employee salaries and wages.

Justification: Identify the project director or principal

investigator, if known. For each staff person, show name/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 costs of consultants or personnel costs

of delegate agencies or of specific project(s) or businesses to be

financed by the applicant.

Fringe Benefits. Costs of employee fringe benefits unless treated

as part of an approved indirect cost rate.

Justification: Provide a breakdown of amounts and percentages that

comprise fringe benefit costs, such as health insurance, FICA,

retirement insurance, taxes, etc.

Travel. Costs of project related travel by employees of the

applicant organization (does not include cost of consultant travel).

Justificaiton: 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 as specified in this program announcement should be

detailed in the budget.

Equipment. Costs of all non-expendable, tangible personal property

to be acquired by the project where each article has a useful life of

more than one year and an acquisition cost which equals the lesser of

(a) the capitalization level established by the applicant organization

for financial statement purposes, or (b) $5000.

Justification: For each type of equipment requested, provide a

description of the equipment, cost per unit, number of units, total

cost, and a plan for use on the project, as well as use or disposal of

the equipment after the project ends.

Supplies. Costs of all tangible personal property (supplies) other

than that included under the Equipment category.

Justification: Specify general categories of supplies and their

costs. Show computations and provide other information which supports

the amount requested.

Contractual. 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.

[[Page 26880]]

Justification: All procurement transactions shall be conducted in a

manner to provide, to the maximum extent practical, open and free

competition. If procurement competitions were held or if a sole source

procurement is being proposed, attach a list of proposed contractors,

indicating the names of the organizations, the purposes of the

contracts, the estimated dollar amounts, and the award selection

process. Also provide back-up documentation where necessary to support

selection process.

Note: Whenever the applicant/grantee intends to delegate part of

the program to another agency, the applicant/grantee must provide a

detailed budget and budget narrative for each delegate agency by

agency title, along with the required supporting information

referenced in these instructions.

Applicants must identify and justify any anticipated procurement

that is expected to exceed the simplified purchase threshold (currently

set at $100,000) and to be awarded without competition. Recipients are

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. under the conditions identified at 45

CFR Part 74.44(e).

Construction. Costs of construction by applicant or contractor.

Justification: Provide detailed budget and narrative in accordance

with instructions for other object class categories. Identify which

construction activity/costs will be contractual and which will be

assumed by the applicant.

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), fees and

travel paid directly to individual consultants, space and equipment

rentals, printing and publication, computer use, training costs,

including tuition and stipends, training service costs including wage

payments to individuals and supportive service payments, and staff

development costs.

Indirect Charges. 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 or another

cognizant Federal agency.

Justification: With the exception of most local government

agencies, an applicant which will charge indirect costs to the grant

must enclose a copy of the current rate agreement if the agreement was

negotiated with a cognizant Federal agency other than the Department of

Health and Human Services (DHHS). If the rate agreement was negotiated

with the Department of Health and Human Services, the applicant should

state this in the budget justification. 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 pertinent DHHS Guide for Establishing Indirect Cost Rates,

and submit it to the appropriate DHHS Regional Office. 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 be

also charged as direct costs to the grant. Also, if the applicant is

requesting a rate which is less than what is allowed under this program

announcement, the authorized representative of your organization needs

to submit a signed acknowledgement that the applicant is accepting a

lower rate than allowed.

Program Income. The estimated amount of income, if any, expected to

be generated from this project. Separately show expected program income

generated from program support and income generated from other

mobilized funds. Do not add or subtract this amount from the budget

total. Show the nature and source of income in the program narrative

statement.

Justification: Describe the nature, source and anticipated use of

program income in the budget or reference pages in the program

narrative statement which contain this information.

Non-Federal Resources. Amounts of non-Federal resources that will

be used to support the project as identified in Block 15 of the SF-424.

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.

Total Direct Charges, Total Indirect Charges, Total Project Costs.

(self explanatory)

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective primary

participant is providing the certification set out below.

2. The inability of a person to provide the certification required

below will not necessarily result in denial of participation in this

covered transaction. The prospective participant shall submit an

explanation of why it cannot provide the certification set out below.

The certification or explanation will be considered in connection with

the department or agency's determination whether to enter into this

transaction. However, failure of the prospective primary participant to

furnish a certification or an explanation shall disqualify such person

from participation in this transaction.

3. The certification in this clause is a material representation of

fact upon which reliance was placed when the department or agency

determined to enter into this transaction. If it is later determined

that the prospective primary participant knowingly rendered an

erroneous certification, in addition to other remedies available to the

Federal Government, the department or agency may terminate this

transaction for cause or default.

4. The prospective primary participant shall provide immediate

written notice to the department or agency to which this proposal is

submitted if at any time the prospective primary participant learns

that its certification was erroneous when submitted or has become

erroneous by reason by changed circumstances.

5. The terms covered transaction, debarred, suspended, ineligible,

lower tier covered transaction, participant, person, primary covered

transaction, principal, proposal, and voluntarily excluded, as used in

this clause, have the meanings set out in the Definitions and Coverage

sections of the rules implementing Executive Order 12549. You may

contact the department or agency to which this proposal is being

submitted for assistance in obtaining a copy of those regulations.

6. The prospective primary participant agrees by submitting this

proposal that, should the proposed covered transaction be entered into,

it shall not knowingly enter into any lower tier covered transaction

with a person who is proposed for debarment under 48 CFR part 9,

subpart 9.4, debarred, suspended, declared ineligible, or voluntarily

excluded from participation in this covered transaction, unless

authorized by the department or agency entering into this transaction.

7. The prospective primary participant further agrees by submitting

this proposal that it will include the clause titled ``Certification

Regarding Debarment, Suspension, Ineligibility

[[Page 26881]]

and Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by

the department or agency entering into this covered transaction,

without modification, in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part 9,

subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded

from the covered transaction, unless it knows that the certification is

erroneous. A participant may decide the method and frequency by which

it determines the eligibility of its principals. Each participant may,

but is not required to, check the List of Parties Excluded from Federal

Procurement and Nonprocurement Programs.

9. Nothing contained in the foregoing shall be construed to require

establishment of a system of records in order to render in good faith

the certification required by this clause. The knowledge and

information of a participant is not required to exceed that which is

normally possessed by a prudent person in the ordinary course of

business dealings.

10. Except for transactions authorized under paragraph 6 of these

instructions, if a participant in a covered transaction knowingly

enters into a lower tier covered transaction with a person who is

proposed to debarment under 48 CFR part 9, subpart 9.4, suspended,

debarred, ineligible, or voluntarily excluded from participation in

this transaction, in addition to other remedies available to the

Federal Government, the department or agency may terminate this

transaction for cause of d

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