Announcement of the Availability of Financial Assistance and Request for Applications to Support Demonstration Projects under the Abandoned Infants Assistance Program

Federal RegisterMay 22, 1997

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. CB-97-05]

Announcement of the Availability of Financial Assistance and

Request for Applications to Support Demonstration Projects under the

Abandoned Infants Assistance Program

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

ACTION: Announcement of the availability of financial assistance and

request for applications to support demonstration projects under the

Abandoned Infants Assistance Act, as amended, Pub. L. 104-235.

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SUMMARY: The Children's Bureau (CB) within the Administration on

Children, Youth and Families, Administration for Children and Families

announces the availability of fiscal year (FY) 1997 funds for competing

new discretionary grants under the Abandoned Infants Assistance (AIA)

Program. Funds from the AIA Program are designed to provide community-

based, comprehensive services to abandoned infants and infants at risk

of abandonment and their families; specifically young children and

families who are affected by substance abuse and the human

immunodeficiency virus (HIV).

This announcement contains forms and instructions for submitting an

application.

CLOSING DATE: The closing date and time for Receipt of applications is

4:30 p.m. (Eastern Time Zone), on July 21, 1997. Applications received

after 4:30 p.m. on that day will be classified as late. Postmarks and

other similar documents DO NOT establish receipt of an application.

Detailed application submission instructions including the addresses

where applications must be received are found in Part III of this

announcement.

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: Abandoned Infants Assistance Program (Specify

Priority Area A, B, or C).

Applications handcarried 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 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 Federal holidays). (Reference the

Abandoned Infants Assistance Program and specify Priority Area A, B, or

C.) 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 applicant 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 applicant.

FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center, Technical

Assistance Team (telephone number 1-800-351-2293) is available to

answer questions regarding application requirements and to refer you to

the appropriate contact person in ACYF for programmatic questions.

INTENT TO APPLY: If you are going to submit an application, send a

postcard or call in the following information: 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 within

two weeks of the receipt of this announcement 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. The information will be used to determine the number of

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

whom the program announcement is sent.

SUPPLEMENTARY INFORMATION: This program announcement consists of five

parts. Part I provides information on the Children's Bureau. Part II

describes the review process, additional requirements for the grant

applications, and the programmatic priorities for which applications

are being requested. Part III provides information on the application

requirements. Part IV describes the evaluation criteria. Part V

provides the instructions for the development and submission of

applications.

The forms to be used for submitting an application follow Part V.

Please copy as single-sided forms and use in submitting an application

under this announcement. No additional application materials are

available or 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: Review Process and Priority Areas

A. Eligible Applicants

B. Review Process and Funding Decisions

C. Evaluation Process

D. Structure of Priority Area Descriptions

E. Available Funds

F. Grantee Share of Project Costs

G. Priority Areas and Descriptions

H. Priority Descriptions

Part III: Application Requirements

A. Objectives and Needs for Assistance

B. Results and Benefits

C. Approach

For Priority Area A

For Priority Area B

For Priority Area C

D. Staff Background and Organizational Experience

E. Budget Appropriateness

Part IV. Evaluation Criteria

Part V. Instructions for the Development and Submission of

Applications for FY 1997

A. Availability of Forms

B. Paperwork Reduction Act of 1995

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. SF 424 Page 1, Application Cover Sheet

2. SF 424A-Budget Information-Non-Construction Programs

3. Project Summary Description

4. Program Narrative Statement

5. Organizational Capability Statement

6. Assurances/Certifications

7. Statutory Assurances

F. Checklist for a Complete Application

G. The Application Package

Part I. General Information

A. Background

The Administration on Children, Youth and Families administers

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national programs for children and youth, works with States and local

communities to develop services which support and strengthen family

life, seeks joint ventures with the private sector to enhance the lives

of children and their families, and provides information and other

assistance to parents.

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 American Indian and migrant families.

Within ACYF, the Children's Bureau plans, manages, coordinates and

supports child welfare services programs. It administers the Foster

Care and Adoption Assistance Program, the Child Welfare Services State

Grants Program, the Child Welfare Services Training Programs, the

Independent Living Initiatives Program, the Adoption Opportunities

Program, the Abandoned Infants Assistance Program, and the Family

Preservation and Family Support program.

The Children's Bureau programs are designed to promote the welfare

of all children, including disabled, homeless, dependent, abused or

neglected children and their families. The programs aid in preventing

and remedying the neglect, abuse and exploitation of children. The

programs also encourage the strengthening of the family unit to help

alleviate the unnecessary separation of children from their families

and reunify families, where possible, when separation has occurred.

B. Statutory Authority Covered Under This Announcement

The Abandoned Infants Assistance Act of 1988 as amended by Pub. L.

104-235, 42 U.S.C. 670. CFDA: 93.551.

Part II. The Review Process and Priority Areas

A. Eligible Applicants

Each priority area description contains information about the types

of agencies and organizations which are eligible to apply under that

priority area. Because eligibility varies depending on statutory

provisions, it is critical that the ``Eligible Applicants'' section of

each priority area be reviewed carefully.

Before review, each application will be screened for applicant

organization eligibility as specified under the selected priority area.

Applications from ineligible organizations will not be considered or

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 or organization, must identify only one lead

organization and official applicant. Participating agencies and

organizations can be included as co-participants, subgrantees or

subcontractors. For-profit organizations are eligible to participate as

subgrantees 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 current valid

IRS tax exemption certification, 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

Timely applications received by the deadline date which are from

eligible applicants will be reviewed and scored competitively. Experts

in the field, generally persons outside the Federal government, will

use the appropriate evaluation criteria listed later in this section to

review and score the applications. The results of this review are a

primary factor in making funding decisions.

The ACYF reserves the option of discussing applications with, or

referring 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.

To the greatest extent possible, efforts will be made to ensure

that funding decisions 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

also may take into account the need to avoid unnecessary duplication of

effort.

C. Evaluation Process

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

the Federal government) will review the applications. To facilitate

this review, applicants should ensure that they address each minimum

requirement in the priority area description under the appropriate

section of the Program Narrative Statement. Applicants are encouraged

to use job titles and not specific names in developing the application

budget. However, the specific salary rates or amounts for staff

positions identified must be included in the application budget.

The reviewers will determine the strengths and weaknesses of each

application using the evaluation criteria listed below, provide

comments and assign numerical scores. The point value following each

criterion heading indicates the maximum numerical weight.

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 also noted, where applicable.

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

of the priority area.

Background Information: This section briefly discusses the

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

current state-of-practice that supports the need for the particular

priority area activity. Relevant information on projects previously

funded by ACYF and/or others, and State models are noted, where

applicable.

Application Requirements: (See Part III.) This section presents the

basic set of issues that must be addressed in the application.

Typically, they relate to project design, evaluation, and community

involvement. This section also asks for specific information on the

proposed project. Inclusion and discussion of these items is important

since they will be used by the reviewers in evaluating the applications

against the evaluation criteria. Project products, continuation of the

project effort after the Federal support ceases, and dissemination/

utilization activities, if appropriate, are also addressed.

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Project Duration: This section specifies the maximum allowable

length of time for the project period and refers to the amount of time

approved for support, including any extensions.

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 through cash or in-kind match, required in

relation to the maximum Federal funds requested for the project.

Grantees must provide a share of the total approved project cost. For

the Abandoned Infants Assistance Program, a grantee must propose at

least a 10 percent match of the total approved project cost. The total

approved project cost is the sum of the Federal and the non-Federal

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

contributions, although applicants are encouraged to meet the match

requirements through cash contributions. Therefore, an AIA project

requesting $450,000 in Federal funds per budget period must include a

match of at least $50,000 (10 percent of the total approved project

cost per budget year).

Anticipated Number of Projects To Be Funded: This section specifies

the number of projects that ACYF anticipates it will fund under the

priority area.

Please note that applications that do not comply with the specific

priority area requirements in the section on ``Eligible Applicants''

will not be reviewed. Applicants also should note that non-

responsiveness to the section ``Minimum Requirements for the Project

Design'' will result in a low evaluation score by the reviewers.

Applicants must clearly identify the specific priority area under which

they wish to have their applications considered, and tailor their

applications accordingly. Previous experience has shown that an

application which is broader and more general in concept than outlined

in the priority area description scores lower than one more clearly

focused on, and directly responsive to, that specific priority area.

E. Available Funds

The ACYF intends to award new grants resulting from this

announcement during the third and fourth quarter of fiscal year 1997,

subject to the availability of funds. The size of the actual awards

will vary.

Each priority area description includes information on the maximum

Federal share of the project costs and the anticipated number of

projects to be funded.

The term ``budget period'' refers to the interval of time (usually

12 months) into which a multi-year period of assistance (project

period) is divided for budgetary and funding purposes. The term

``project period'' refers to the total time a project is approved for

support, including any extensions.

Where appropriate, applicants may propose project periods which are

shorter than the maximums specified in the various priority areas. Non-

Federal share contributions may exceed the minimums specified in the

various priority areas when the applicant is able to do so. However, if

the proposed match exceeds the minimum requirement, the grantee must

meet its proposed level of match support before the end of the project

period. Applicants should propose only that non-Federal share they can

realistically provide since any unmatched Federal funds will be

disallowed by ACF.

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

budget period is dependent 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. Grantee Share of Project Costs

Grantees must provide a share of the total approved cost of the

project. The total approved cost of the project is the sum of the ACF

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. For the

Abandoned Infants Assistance Program, a grantee must propose at least a

10 percent match of the total cost of the project. If approved for

funding, grantee will be held accountable for commitments of non-

Federal resources and failure to provide the required amount will

result in a disallowance of unmatched Federal funds.

G. Priority Areas and Descriptions

A--Previous Service Demonstration Projects

B--New Start Comprehensive Service Demonstration Projects

C--Family Support Services for Grandparents and Other Relatives

Providing Caregiving for Children of Substance Abusing and HIV-Positive

Women

H. Priority Descriptions

Abandoned Infants Assistance Program Service Demonstration Projects

(Priority Areas A, B and C)

Availability and Allocation of Funds: Total combined funding for

Priority Areas A, B and C for FY 1997 competitive grants under section

101 of the Act (42 U.S.C. 670 note), is approximately $4.6 million.

The Administration for Children and Families proposes to award

three to six grants in each of Priority Areas A and B in varying

amounts up to $450,000 per budget year and to award three projects in

Priority Area C in varying amounts up to $100,000. Applications under

this announcement will be considered for:

Previous Service Demonstration Projects--to provide

support for the comprehensive service programs initially funded in FY

1991 and 1993 by requiring documentation of continuing need for the

project; to propose ways of improving service provision to meet the

needs of abandoned infants and young children or those who are at risk

of abandonment and their families; and to propose methods to continue

the program evaluation, including proposed outcome measures, and

summary evaluative data on the current program. Applicants applying

under this priority area should be advised this is a competitive

funding process and that applications approved for funding will be

given a new grant number. Further, existing award activities cannot

overlap with the new grant's project period; and finally, funds from

the currently existing grants cannot be expended for new grant

activities.

New Start Service Demonstration Projects--to establish a

comprehensive services program in jurisdictions not already served by

the Abandoned Infants Assistance Program to meet the needs of abandoned

infants and young children, or those who are at risk of abandonment and

their families; and to conduct a formative evaluation for Years I and

II; and to collect information on client outcomes in Years III and IV.

Also, included in this Priority Area are agencies or organizations that

have previously received funds under the Abandoned Infants Assistance

Program but are not currently receiving AIA funds.

Family Support Services for Grandparents and Other

Relatives Providing Caregiving for Children and Substance Abusing and

HIV-Positive Women--to provide counseling and other support services to

family caregivers for drug-exposed, HIV-

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exposed, HIV positive or HIV/AIDS affected children.

All applicants funded under Priority Areas A, B or C will be

required to provide information for special studies or evaluations

funded by the Administration on Children, Youth and Families.

All applicants funded under this announcement will be required to

have a key person from the project staff and the evaluator attend a

grantees' meeting held annually in Washington, D.C.

All applicants who are funded under this announcement and who are

operating a transitional residence for infants or young children are

required to submit a copy of the license approving the agency to

operate a residence for infants and/or young children. If a copy of the

license is not submitted, the application will not be considered for

review. The applicant must assure that the license is appropriate for

the level of care and the number of infants/young children to be housed

in the residence.

The training and technical assistance services of the National

Abandoned Infants Assistance Resource Center are available to all

applicants funded under this announcement.

All applicants are also required to provide assurances that they

will comply with fiscal and program reporting requirements. These

required assurances are listed later in this program announcement.

The agency receiving the grant must assume fiscal and

administrative responsibilities for the use of grant funds. The role of

cooperating agencies must be explicit and supported by letters of

specified commitment to the project. Prescribed support letters will

not be considered responsive. Also, each application must include as a

specific goal the development of strategies to coordinate and make

optimal use of all relevant private, Federal, State and local resources

to establish and maintain services beyond the life of the grant.

Background Information

Public Law (Pub. L.) 104-235, The Child Abuse Prevention and

Treatment Act Amendments of 1996, amended Pub. L. 100-505, the

Abandoned Infants Act of 1988 and was signed into law October 3, 1996.

The purposes of the Public Law 100-505, as amended, are to establish a

program of demonstration projects to prevent the abandonment in

hospitals of infants and young children, particularly those who have

been perinatally exposed to a dangerous drug and those with the human

immunodeficiency virus (HIV) or who have been perinatally exposed to

the virus; to identify and address the needs of those infants and

children who are, or might be, abandoned; to develop a program of

comprehensive services for these children and members of the biological

family (see Definitions) for any condition that increases the

probability of abandonment of an infant or young child, including, but

not limited to, foster family care services, case management services,

family support services, parenting skills, in-home support services,

respite and crisis intervention services, counseling services and group

residential home services; and to recruit and train health and social

services personnel, foster care families, and residential care

providers to meet the needs of abandoned children and infants and

children who are at risk of abandonment. The legislation also allows

for the provision of technical assistance and training programs to

support the planning, development and operation of the service

demonstration projects. The reauthorized legislation (Section 101 (h)

of Pub. L. 104-235) mandates that the Secretary shall give priority to

applicants located in States that have developed and implemented

procedures for expedited termination of parental rights and placement

for adoption of infants determined to be abandoned under State law.

Definitions: The enabling legislation provides definitions for

three terms, i.e., ``abandoned infants and young children,''

``dangerous drug,'' and ``natural family.'' The term ``abandoned

infants and young children'' means infants and young children who are

medically cleared for discharge from acute-care hospital settings, but

who remain hospitalized because of a lack of appropriate out-of-

hospital placement alternatives. The term ``dangerous drug'' means a

controlled substance as defined in section 102 of the Controlled

Substances Act. Although the term ``natural family'' is used in the

legislation, the Administration on Children, Youth and Families prefers

the term biological family. Therefore, the term biological parents,

family, mother or father will be used for the remainder of the grant

announcement. The term biological family shall be broadly interpreted

to include biological parents, grandparents, family members, guardians,

children residing in the household and individuals residing in the

household on a continuing basis who are in a caregiving situation with

respect to infants and young children covered under this Act. (42

U.S.C. 670 note, title I, section 103.)

Statement of the Problem

Concern continues to grow about the numbers of infants and young

children infected with HIV/AIDS and/or exposed to drugs during prenatal

development. Also, there is concern about an increase in the number of

women who are using illegal drugs during pregnancy with possible

adverse consequences for their children.

In recent years, the link between female intravenous drug users,

the HIV perinatal transmission rate and the subsequent development of

the acquired immune deficiency syndrome (AIDS) in young children has

presented an enormous challenge to pediatric health care workers.

According to the most recent Centers for Disease Control and Prevention

(CDC) data, there are 7,298 AIDS-infected children under 13 years of

age. That is almost 700 more than the previous year and the number has

more than doubled since 1992 and the problem is expected to grow.

In 1996, 712 new cases of pediatric AIDS were reported. While 73%

of AIDS cases among children have been reported from a relatively small

number of States and territories--New York, Florida, New Jersey,

Pennsylvania, Texas, California, Maryland and Puerto Rico--HIV

infection affects children in nearly all parts of the country. Cases of

pediatric AIDS have been reported from 48 States the District of

Columbia, Puerto Rico and the Virgin Islands. (CDC HIV/AIDS

Surveillance Report, June, 1996; AIA Factsheet, January, 1996).

Women are the fastest growing population in the AIDS epidemic. In

1992, AIDS was the fourth leading cause of death for women of child-

bearing age, 25-44 years, up from fifth in 1990 and eighth in 1987.

Major studies of congenital HIV infection indicate that perinatal

transmission rates range between 14 and 40 percent. While new

treatments have improved the likelihood of children being born without

the virus, an unfortunate consequence of this is that more children

born to HIV/AIDS infected women will be orphaned. This potential

increase of orphaned children will have an impact on the child welfare

services system. (AIA Factsheet, 1996).

The problem of AIDS is closely connected with perinatal substance

abuse. Fetal exposure to HIV/AIDS is linked to maternal drug use.

Mothers are most commonly infected with HIV through their own drug use

or sexual relations with an IV drug user. The National Pregnancy and

Health Survey (National Institute on Drug Abuse) reported that

approximately six percent

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of the four million women who gave birth in 1992 used illicit drugs, 19

percent drank alcohol and 20 percent smoked cigarettes during

pregnancy. About one-third of the illicit drug users also smoked and/or

drank alcohol during pregnancy.

The risk factors for women delivering a drug-exposed infant include

poverty, little education, poor nutrition, little or no prenatal care,

a history of sexual and/or physical abuse and being over 25, unmarried,

uninsured, on Medicaid and having other children. Similar

characteristics exist for women at risk of AIDS/HIV. They are

economically and socially disadvantaged; are primarily women of color;

lack access to adequate medical care; use drugs, alcohol and tobacco;

and are at risk for sexually transmitted diseases. Many of these women

are not even aware they are infected with HIV until they give birth and

their babies test positive. (AIA Factsheet, 1996)

The characteristics of women who abandon or who are at risk of

abandoning their children are similar. These women are often struggling

with: Poverty, homelessness, physically, sexually and emotionally

disruptive relationships; HIV infection; mental illness and drug

addiction. Researchers have reported that the average age of these

mothers is 27 years old; the average number of pregnancies is four; 64

percent of the mothers receive no prenatal care; and 27 percent are

incarcerated during their pregnancies. Many mothers have other children

in out-of-home care; have very little, if any, social supports;

delivered their newborns alone; and are homeless. Additionally 45

percent of the mothers have not graduated from high school; 62 percent

receive income assistance; and 80 percent use multiple drugs. (Barth et

al., 1996)

HIV infection is relatively prevalent in the abandoned infants

population. As many as eight percent of infants abandoned in hospitals

are reported to be HIV infected as compared with approximately .04

percent of all infants in the United States who are infected each year.

Due to inconsistent testing and confidentiality laws, this number may

underestimate the magnitude of the problem. (James Bell Associates,

1993)

Maternal substance abuse has also been indicated as a significant

factor in cases of infants abandoned in hospitals. Approximately 80

percent of these babies are prenatally exposed to illicit drugs as

compared with between five and approximately 11 percent of all babies

born in the United States. About one-third of the illicit drug users

smoked tobacco and/or drank alcohol during pregnancy. (James Bell

Associates, 1993)

Children who are HIV positive or have AIDS are frequently ill and

require intensive and specialized care. The delivery of services to

these children is often complicated because the children and their

families live in communities that lack the necessary resources or

because caregivers have difficulty accessing needed services. (Barth et

al., 1996) Further complicating the situation is the fact that all of

these children have mothers who are HIV positive, and most of the

mothers are drug-abusers who themselves need medical, social and other

supportive services. Returning care to the mother may not be an option,

since the mother may be too ill herself to care for the child.

The children living with an HIV/AIDS infected parent in many ways

require as complex a range of services as the infected individual. To

date, little attention has been focused on this issue. According to the

best estimates provided by researchers thus far, the number of such

children at risk of being orphaned by the AIDS/HIV epidemic may reach

anywhere from 80,000-125,000 by the year 2000. (Levine, 1992) It is

vital that communities, in general, and child welfare agencies, in

particular, begin to address the issues of permanency planning for this

vulnerable population. The magnitude of the problem and the need for

appropriate planning and services to address this need have only

recently been understood. Due to the episodic nature of the disease,

parents and primary caregivers will experience a direct impact on the

continuity of care that they must provide for their children. The

children who will be or are orphaned by AIDS/HIV need social services,

psychological and emotional support, medical care and the stability of

a permanent home/caregiver. (Polineni, 1995)

Although many of these services still need to be developed in

communities, some States have taken steps to address permanency for

these children. Several States have enacted Standby Guardianship Laws

to allow parents to provide for the provisional care of their child and

address the needs of both the child and the family. The laws are

designed to be flexible to meet the parents' needs and may be

implemented at any designated time including a period of illness,

hospitalization or death. Ways to provide needed services and to

eliminate the barriers to implementing permanency for this population

need to be continually explored. (Polineni, 1995)

Some children exposed to drugs, and those who acquire AIDS, pose

challenging medical and behavioral problems. Their neurological

deficits and developmental delays can prove very trying for caregivers.

Biological and foster parents, relatives, adoptive parents and other

caretakers often need special training and supportive services to help

them meet the children's needs as well as respite services for

themselves.

Achieving permanency for such children is typically slow and

complex. Some parents may be motivated to keep their child, but not to

change their own behaviors; other parents may be motivated to change

their behaviors, but are incapable of accessing the appropriate

services on their own or of maintaining improved behaviors in their

current environment. The assistance required to address the service

needs of the parent may be fragmented among many different agencies.

Some, such as drug treatment, may not be readily available for pregnant

women. Some services may not be culturally sensitive, and others may

not be entirely appropriate to the client's needs.

If permanency is to be achieved early in the life of the developing

child, intensive efforts must be made with the family to determine its

suitability to care for the child. If that is not possible, steps must

be taken toward constructive long-term solutions to provide permanency

for the child. Toward these ends, systematic action must be taken to

obtain and deliver a comprehensive set of services to the biological

and/or foster or adoptive family and the child.

A number of discretionary programs within ACYF and throughout the

Department of Health and Human Services fund projects which are related

to the issues addressed by this announcement. Prospective applicants

for Priority Areas A and B must, if applicable, work with existing

programs in the community that serve pregnant women or community

programs that serve substance-abusing women and women with HIV/AIDS.

The applicant should include a description of its networking activities

to demonstrate how these programs are involved in service delivery.

Emphasis on Coordination

All New Start Service Demonstration Project applicants should

utilize an existing consortium or develop a consortium or other

coordinating entity for the purpose of carrying out the project funded

under this announcement. The consortium may include public health,

child welfare, substance abuse treatment and other

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relevant human services agencies. To the extent possible, applicants

are encouraged to formalize working relationships with the police and

courts; mental health, developmental disabilities, Head Start, and

special education providers, community-based maternal and child health

programs; and community parent education and parent support programs,

including in-home visiting, respite care and housing assistance in the

community. Plans for coordinating joint medical-social service case

management, outstationing child welfare staff at hospitals where large

numbers of at-risk infants are being delivered, or other methods to be

used to bring about comprehensive service delivery should be described

in the application and supported by documentation.

All currently funded grantees seeking new grant funding should

continue to use their existing consortia. These grantees shall: (1)

Describe ways in which the consortium can be expanded, if possible, or

changed, if necessary; and (2) demonstrate how the consortium has

improved communication and working relationships between and among

community agencies in coordinating services for this target population.

A. Previous Service Demonstration Projects

Eligible Applicants: The eight service demonstration projects

initially funded in FY 1991 under section 101, Pub. L. 100-505 and four

service demonstrations projects initially funded in FY 1993 under Pub.

L. 102-236 are eligible for new grants under this priority area.

Applicants must show progress and accomplishments to date on the

original goals and objectives of their current grant. Inclusion of this

information will be evaluated in the Approach Criterion.

Application Requirements: See Part III.

Project Duration: The length of the renewal project period for the

competing service demonstration grantees may not exceed 48 months.

Federal Share of Project Costs: Grant amounts will vary and range

up to $450,000 for each of four years. The dollar amount requested must

be fully justified and documented. The justification can include

various community-specific factors related to substance abuse and

perinatal exposure to drugs or HIV. For example, the applicant might

include information on the rate of illegal drug use by women of child-

bearing age; the rate of HIV positive women giving birth; the number of

known drug users; the rate or number of infants who have a positive

toxicology screen. The size of a prior grant award is not, in and of

itself, adequate justification to request the same amount under this

announcement.

Applicants under this priority areas must commit no less that 10%

of the total approved project cost for the evaluation component. For

example, a $450,000 grant award with a $50,000 match should commit no

less than $50,000 annually to the evaluation effort or a total of no

less than $200,000 during the entire project period.

Matching Requirement: Grantees must provide at least 10 percent 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 project requesting a total of $1,800,000 in

Federal funds for all four project years (based on an award of $450,000

per budget year), must include a match of at least $200,000 (10 percent

of total approved project costs, i.e., $50,000 per budget period).

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

three to five projects will be funded under this priority area.

Length of Proposal: The length of the proposal is limited to 75

pages, including all preprinted pages, and budget narrative, but

exclusive of appendices.

B. New Start Comprehensive Service Demonstration Projects

Eligible Applicants: Any State, local public or nonprofit agency or

organization including accredited colleges and universities.

Applicants in jurisdictions in which there currently does not exist

a program funded under the Abandoned Infants Assistance Program will be

considered under this priority area. Agencies and organizations that

have previously received funding under the AIA Program but are not

currently grantees may submit a proposal under this Priority Area.

Applicants from localities in which projects are currently

operating (see Appendix C) will not be considered as the purpose of

this priority area is to establish comprehensive service projects in

new localities. Exceptions to this may be considered for large

metropolitan areas, that is, cities with a population over 1,000,000.

Application Requirements: See Part III.

Project Duration: The project period may not exceed 48 months.

Federal Share of Project Costs: The maximum Federal share is

$450,000 per budget year. However, applicants are strongly encouraged

to construct the budget request judiciously. Factors to be considered

include the population of the area to be served; the extent of maternal

substance abuse in the target area; the number of drug-exposed infants;

the number of women with AIDS or women who are HIV positive in the

target area; the number of reports/referrals to social service agencies

of babies born with illegal substances in their system. For example, a

city which currently receives a $450,000 grant per budget year under

this legislation has the following profile: A population of 2-3

million; 20 percent of newborns have been prenatally exposed to drugs;

2,000 reported allegations of child maltreatment involving infants in

substance-abusing families are received annually; approximately 350-375

women with AIDS living in the jurisdiction; an estimated 2,500-3,000

HIV positive women and between 700-800 HIV positive children; and an

annual projected number of 500 children born who are HIV-positive. Each

applicant should compare statistics from its area to the example city

and develop its budget request accordingly. This profile does not

necessarily exclude an application from a jurisdiction of smaller size

receiving the maximum Federal amount. However, an applicant from a

smaller-sized jurisdiction must provide adequate justification that the

community's experience with drug exposed and/or HIV-positive infants is

severe enough to warrant the maximum Federal amount.

Applicants under this priority area must commit no less than five

percent of the total project cost for the evaluation component. For

example, a $450,000 grant award with a $50,000 match should commit no

less than $25,000 annually to the evaluation effort or no less than a

total of $100,000 during the project period. Applicants are encouraged

to increase the financial commitment to evaluation in Year III and IV.

Matching Requirement: Grantees must provide at least 10 percent of

the total approved cost of the project. The total approved cost of the

project is the sum of the ACF 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 project requesting a total of $1,800,000 in

Federal funds for all four project years (based on an award of $450,000

per

[[Page 28202]]

budget year), must include a match of at least $200,000 (10 percent of

total approved project costs, i.e., $50,000 per budget period).

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

three to five projects will be funded.

Length of Proposal: The length of the proposal is limited to 75

pages, including all preprinted pages, and budget narrative, but

exclusive of appendices.

C. Family Support Services for Grandparents and Other Relatives

Providing Caregiving for Children and Substance Abusing and HIV-

Positive Women

Eligible Applicants: Public agencies and private, non-profit

organizations and institutions of higher education are eligible to

apply. Applicants must demonstrate an understanding of family caregiver

support and service needs and be able to demonstrate a history of

involvement with grandparent groups or other family member caregiver

groups which specifically address the needs of drug-exposed and/or HIV-

positive children.

Background: As an increasing number of HIV-positive and/or

substance abusing parents become unable to provide adequate care for

their infants and young children, family members, frequently

grandparents, assume the responsibility as the primary caretaker for

the children. Social service agencies report that an increasing number

of families include a grandparent raising a grandchild, a circumstance

which is due primarily to parental drug addiction.

Many of the children born to drug-abusing, HIV-positive or AIDS

infected women suffer medical or behavioral problems as a result of

their mother's addiction or health status. They may be hyperactive and

have severe or chronic health problems and developmental and

neurological delays. These children may be more difficult to parent in

many ways that family members, particularly grandparents who are

dealing with their own aging or health issues, may not be adequately

prepared to handle.

In addition to parenting issues, families must also deal with

financial support and custody issues. Family members frequently are

outside the public child welfare system and receive little, if any,

financial assistance. If assistance is available, it is generally at a

rate lower than the foster care rates. Many caretakers receive no

financial assistance at all.

The familial caretakers may need education in how to deal with

children who have been exposed pre-natally to a dangerous drug or who

may be HIV-positive or HIV/AIDS affected; assistance in gaining access

to community resources; and for themselves, support services to cope

with the responsibilities of rearing children at an older age. The

caregivers need training in what to expect of these children; how to

nurture and care for them; and how to access other supportive services,

including respite care. Family caregivers may also need some education

to deal with the addictive behaviors of the child's parent(s). In

addition, if the parent is HIV-positive, the caregivers will need

support in dealing with the illness and eventual death of the child's

parent.

The purpose of this priority area is to provide funds to any group

or organization that has experience in providing counseling and other

support services to family caregivers for drug-exposed, HIV-positive or

HIV/AIDS affected children. The funds will be used to establish or

enhance a system of support services that should include, but not be

limited to, social services, counseling, legal and financial services

and assistance with custodial issues.

Application Requirements: See Part III.

Project Duration: The length of the project period for grantees may

not exceed 48 months.

Federal Share of Project Costs: Grant amounts will not exceed

$100,000 for each of four years. The dollar amount requested must be

fully justified and documented. The justification can include various

community-specific factors related to substance abuse and perinatal

exposure to drugs or HIV. For example, the applicant might include

information on the rate of illegal drug use by women of child-bearing

age; the rate of HIV positive women giving birth; the number of known

drug users; the rate or number of infants who have a positive

toxicology screen; the percentage of individuals caring for the

children of substance-abusing or HIV-positive family members.

Applicants must commit no less than 5% of the total approved

project cost for the evaluation component. For example, a $100,000

grant award with a $11,111 match should commit no less than $5,556

annually to the evaluation effort or a total of no less than $22,222

during the entire project period.

Matching Requirement: Grantees must provide at least 10 percent 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 project requesting a total of $400,000 in

Federal funds for all four project years (based on an award of $100,000

per budget year), must include a match of at least $44,444 (10 percent

of total approved project costs, i.e., $11,111 per budget period).

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

three projects will be funded.

Length of Proposal: The length of the proposal is limited to 60

pages, including all preprinted pages, and budget narrative, but

exclusive of appendices.

Part III. Application Requirements

Applicants are required to use the Standard Forms, Certifications,

Disclosures and Assurances provided under Appendix A. Applications

submitted for funding under this announcement are considered New

Applications; and, therefore, applicants should follow instructions for

New Applications.

New applications must respond to the instructions under Program

Narrative, Item A--Project Description--Components, and Item D--Budget

and Budget Justification. In preparing the program narrative statement,

the applicant should provide the information that the panel will use to

evaluate and rank the proposal. The information should be concise and

complete when addressing the activities for which Federal funds are

being requested. Supporting documents should be included in order to

present the information clearly and succinctly. Applicants are

encouraged to provide information on their organizational structure,

staff, related experience and other information considered to be

relevant.

Under Item A--Project Description--component, the applicant must

address the specific information requested under each priority area in

this program announcement. The information addressing the following

sections should either not require a response or should be located

under a different section than prescribed.

Section A.1--Project Summary/Abstract--This should be a one page or

less summary of the project and placed directly after the table of

contents. This page will not count against the page limitation.

Section A.5--Evaluation--Provide a narrative that describes a way

to evaluate (1) the results of the proposed project; and (2) the

process outcomes of the project. State how the evaluation process will

determine the extent to which the program has achieved the stated

objectives and the extent to

[[Page 28203]]

which the accomplishment of the objectives can be attributed to the

program. Discuss the criteria to be used to evaluate the 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. Keep in mind the suggested data collection

instruments mentioned in the priority areas. Define the procedures you

will employ to determine whether the program is being conducted in a

manner consistent with the work plan and discuss the impact of the

program effectiveness.

Section A.6--Geographic Location--should be addressed under the

Objectives and Needs for Assistance

Section A.7--Additional Information--should be addressed under the

Staff Background and Organizational Experience. Letters of support

should be included in the appendices.

Section B.--Non-Competing Continuation applications--Does not apply

to this announcement.

Section C.--Supplemental Requests--Does not apply to this

announcement.

Section D.--Budget and Budget Justification--Provide a 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.

Applicants must address the following requirements in their

application to be considered responsive to the Federal Register

announcement. These requirements have been organized according to the

evaluation criteria presented in Part III.

A. Objectives and Need for Assistance

1. State the objectives for the program and indicate how these

objectives relate to the community issues to be addressed and

demonstrate that there is a need for the program and is based on an

assessment of community needs. Provide letters of support for your

program from community-based agencies.

2. Identify the population to be served by the project and describe

the needs of the target population. Provide an estimated number of

infants and families the project will serve.

3. Identify the geographic location to be served by the project.

Describe the key socioeconomic and demographic characteristics of the

targeted community as it relates to women of child-bearing age and

women and families who are affected by substance-abuse and HIV/AIDS and

their needs. Describe the current availability of needed services that

serve substance-abusing and/or AIDS/HIV-infected women and their

families in the community.

B. Results or Benefits

1. Identify the specific results or benefits that can be expected

for substance-abusing women and/or women with HIV/AIDS and their

families. Identify specific community-wide results, if any.

2. Identify the kinds of qualitative and quantitative data the

program will collect to measure progress towards the stated results or

benefits. In discussing the evaluation, state the methods/procedures

used to determine the extent to which the program has achieved the

stated objectives.

3. Provide assurances that the program will collect data on

individuals and families served; types of services provided; service

utilization information; types and nature of needs identified and met

and any other such information as may be required by ACYF.

4. Describe how the program results will benefit national policy

and practice and ways in which it could lead to additional research in

this field.

C. Approach

For Priority Area A

Applications submitted under this priority area are to include

approaches/strategies to organize, make accessible and implement a

comprehensive range of services for substance-abusing women and women

with HIV/AIDS and their families. The proposed range of services should

include discussions of any enhanced services based on prior years

experience in conducting a service program. They must:

1. Describe how your project will accomplish the following set of

legislative purposes:

To prevent the abandonment of infants and young children,

including the provision of services to members of the biological family

to address any condition that increases the probability of abandonment

of an infant or young child;

To prevent the subsequent abandonment of infants and young

children when they return to their homes;

To assist abandoned infants and young children to reside

with their biological families, relatives or foster and adoptive

families, as appropriate, and to include the provision of respite care

as needed. Short-term, transitional residential care services for small

groups of infants or young children may be provided. For these

services, however, it must be shown that the placements are necessary

because, for example, a sufficient number of families cannot be

recruited and trained to provide foster family care for abandoned

infants and young children in the community or that such placements are

in the best interests of the child. Proposals including residential

care services will be considered only if that component is part of and

integral to a larger system of services directed toward achieving

permanency for the children; and only if the residential services are

designed to be transitional (i.e., three to six months and no longer)

to a permanent placement. The proposal may not include the costs of

construction or other major structural changes for facilities. (Minor

structural changes may be considered and approved by the Project

Officer and Grants Management Office.)

2. Include an outcome analysis of prior evaluation(s).

3. Describe any revision or expansions of project goals and

objectives based on a review of the development and implementation of

the program. The review should include an assessment of the

effectiveness of the approaches and intervention strategies initially

proposed. If revised approaches were used, they should also be assessed

for their effectiveness. This process should also include an assessment

of problems in program implementation and a discussion of the proposed

improved strategies to address those barriers.

4. In developing a broad and comprehensive approach, describe ways

in which the project will provide the wide range of assistance needed

by the target population that could include parenting skills;

supportive, therapeutic services; housing and transportation; health

care and drug and alcohol treatment; as well as, ways of addressing the

specialized health care and therapeutic intervention for infants

exposed to drugs and AIDS/HIV to assist them in their physical and

cognitive development.

5. Describe ways the project will provide a program of service

delivery that provides health, education and social services at a

single site, as required by section 101(a)(8) of Pub. L.

[[Page 28204]]

100-505, as amended. If not, provide an explanation how these services

will be readily accessible to the client families.

6. Describe ways in which following suggested strategies could be

used in the proposed program implementation. These strategies and

approaches are based on several years of experience in implementing

services programs targeted for families at risk of abandonment and can

be considered successful in working with the target population. They

include:

Interagency Collaboration--Services to the target

population need to be comprehensive and seamless and require more

resources than any single agency can provide. Interagency collaboration

coordinates service development and funding between multiple agencies

serving the same population.

Intervention Teams--These teams bring together

professionals from a variety of disciplines in the planning and

delivery of services. An interdisciplinary team provides a variety of

service perspectives and a more holistic assessment of needs and a more

complete treatment plan.

Peer Services--Peer staff have backgrounds and experiences

similar to the clients and serve as a bridge between the client and

professional worlds. Peer staff are more accessible and less

threatening to the clients and can establish more trusting and more

supportive relationships.

Home-Based Services--Educational, supportive and

therapeutic services are provided in the client's home and can improve

client assessment and service provision by giving a fuller

understanding of the client's circumstances. Further, lack of

transportation and child care create serious barriers to agency-based

services.

Culturally Appropriate and Women-focused Services--This

emphasis enables the services to be provided in an environment that

acknowledges, reflects and respects the cultural and ethnic influences

of the client population and recognizes the needs that particularly

affect women.

Coordinated Medical and Social Service Case Management--

These case management services aid in the timely discharge of infants

and reduce medically unnecessary hospital days and expedite hospital

discharges to the most family-like settings.

Legal, Policy and Program Development--These services

provide permanency for HIV-affected children and help keep children

orphaned by AIDS from entering the child welfare system.

7. Describe ways in which these additional suggested strategies/

approaches regarding family mediation and voluntary relinquishment can

be used. These techniques are useful in establishing permanency for

children after it has been decided that targeted infants and children

cannot return home. They are:

Family Mediation--This is a voluntary, non-coercive

negotiation process facilitated by a neutral, third-party. The goal of

mediation is to encourage birth parent(s), extended relatives and

foster/adoptive parents to cooperate in making decisions that reflect

the best interests of the child. Mediation empowers the biological

parent(s) and recognizes the need for a child to maintain family ties.

Relinquishment--This is a voluntary process of

transferring parental rights to an authorized child welfare agency and

is usually a front-end approach that occurs prior to court involvement.

8. Include an assurance of a third party evaluation of the project.

In order to evaluate the competence of the third-party evaluator and to

assure that the evaluation methodology and design are appropriate, the

third party evaluator must write the evaluation section of the

application. This means that the evaluator must be selected as soon as

possible after an applicant has decided to compete for a demonstration

project. In selecting an evaluator, applicants are reminded that it is

a regulatory requirement to encourage maximum free and open

competition, using the applicant's own procurement policies and

procedures. The application must indicate whether the third party

evaluator was competitively selected, or whether the applicant is

proposing a sole source contract for the evaluator. Sole source

procurements must be fully justified in the application. For those

applicants who plan to continue the services of their current third

party evaluator, the applicant must include in the application a sole

source justification for review, by the program office and the Division

of Discretionary Grants, ACF.

9. Describe the methods of collecting descriptive data on the

characteristics of the clients served and the services provided; and

measures of client outcomes. In developing the evaluation component,

applicants are required to collect outcome data on the following:

Substance abuse treatment and recovery;

Target infant/child characteristics, including gestational

age, birth weight, HIV status at birth/15 months, drug screen results;

Target infant/child placement status--at program intake,

12 months after enrollment in the program and at termination;

Client termination--child placement status at 12 months

after leaving the program.

Family stability/permanency--e.g., hospitalized, home with

biological parent, pre-adoptive, adoptive home, home with relatives,

formal kinship foster care, or foster care home at intake, every six

months enrolled, at termination and at six months post-termination.

10. Describe ways to collect data on the additional required

following outcomes using suggested data collection instruments

indicated:

Child development and well-being at program intake and 12

months after enrollment. Data should also be collected on child

injuries, hospitalizations or death following case openings. Suggested

instruments include: Bayley Scale of Infant Development; Brazelton

Neonatal Behavioral Assessment Scale; Denver Developmental Screening

Test; Infant Behavior Questionnaire; and Child Well-Being Scales.

Client satisfaction at three, six, twelve months and

termination. Suggested instruments include: Client Feedback and

Customer Satisfaction Survey.

11. Describe ways to collect the data on the following suggested

but not required elements. Suggested data collection instruments are

also included:

Parenting skills--Suggested instruments: Parental Outcomes

Interview; Knowledge of Child Development Questionnaire;

Parent (caregiver) child interaction--Suggested

instruments: Parental Outcomes Involvement Scale; Parent-Child Early

Relational Assessment; and

Cost Benefit--Discussion of a how the project reduces the

financial burden on community services, e.g., reduction in the number

of days of hospitalization.

12. Provide an assurance that the applicants will submit

descriptive data on the clients served and the services provided

annually to the National Abandoned Infants Assistance Resource Center.

Timeframes for the submission of data on outcome measures will be

negotiated within six months after grant award.

13. Provide an assurance that grantee staff will attend the

required grantees' meeting held annually. At a minimum, a key staff

person from the project and the evaluator will attend the annual 2-3

day grantees' meeting in Washington,

[[Page 28205]]

D.C. The applicant is further required to participate in any evaluation

effort supported by ACYF.

For Priority Area B

Applications submitted under this priority area are to include

approaches/strategies to organize, make accessible and implement a

comprehensive range of services for substance-abusing women and women

with HIV/AIDS and their families. They must: