# Announcement of the Availability of Financial Assistance and Request for Applications to Support Demonstration Projects under the Abandoned Infants Assistance Program > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3A97-13283 ## Record - **Collection:** Federal Register - **Document type:** Notice - **Published:** May 22, 1997 - **Citation:** 62 FR 28196 ## Text 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. ----------------------------------------------------------------------- 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 [[Page 28197]] 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. [[Page 28198]] 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- [[Page 28199]] 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 [[Page 28200]] 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 [[Page 28201]] 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: 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. 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. 3. 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. 100-505, as amended. If not, provide an explanation how these services will be readily accessible to the client families. 4. 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. 5. 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. 6. 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. 7. Describe ways to collect process and outcome measures data for the project. For examples, applicants should consider a tiered evaluation plan (1) To collect formative evaluation data; and (2) to collect data on outcome measures as the information becomes available. The evaluation plan should address both aspects even though process data may be the only reportable data available for Years 1 and II. The evaluation component of the application [[Page 28206]] should include methods of collecting descriptive data on the characteristics of the clients served and the services provided. This evaluation should be designed to collect systematic data to answer questions such as the following: What are the characteristics of families who abandon children? What are the service needs of children, mothers, fathers and families of drug exposed infants? Of HIV positive infants? What are the barriers to comprehensive case management and to the coordination of service delivery? What changes have been most helpful in improving the delivery of services? What changes/ improvements have there been in the child's well-being and the child's development? What changes have there been in the family's stability and ability to function? What are the permanency outcomes for children? 8. 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. 9. 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. 10. 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 how the project reduces the financial burden on community services, e.g., reduction in the number of days of hospitalization. 11. 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. 12. 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, D.C. The applicant is further required to participate in any evaluation effort supported by ACYF. For Priority Area C Applications submitted under this priority area are to include approaches/strategies to organize, make accessible and implement appropriate services for caregivers of substance-abusing women and women with HIV/AIDS and their families. They must: 1. Describe the applicant's understanding of the problems involved in caring for children of substance-abusing and/or HIV-positive parent(s) and an understanding of the special needs of children who may be HIV-positive; 2. Describe the multiple needs of the relative caregivers, particularly the support services needed to address the unique needs of families dealing with intergenerational differences and issues, including caring for siblings; 3. Show the applicant's evidence of a commitment to work with a social service, public health, mental health agency or legal services in providing needed consultation, support services and advice to family caregivers; 4. Describe the applicant's understanding of the program, service and legal issues involved in serving families affected by substance abuse and HIV/AIDS. 5. 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. 6. Provide an assurance that a key staff person from the project and the evaluator will attend an annual 2-3 day grantees' meeting in Washington, D.C. The applicant must agree to participate in any evaluation effort supported by ACYF. D. Staff Background and Experience 1. Describe the applicant's experience in providing comprehensive services to substance-abusing women and women who have HIV/AIDS and their infants and/or young children, as well as the applicant's experience in collaborating with community-based agencies. Describe the applicant's history and relationship with the targeted community. Include a complete discussion of relevant program, administrative and fiscal management experience. 2. If the applicant represents a consortium of partner agencies, explain the relevant background of each partner and the partners' experience in planning and implementing programs to serve children and families impacted by substance-abuse and HIV/AIDS. Each partner must provide a letter of commitment which authorizes the applicant to apply on behalf of the consortium. 3. Identify and provide a brief description of key staff who are proposed to work in the program and indicate their educational training and experience in working with similar programs. Provide resumes. In addition, explain how the ethnic and racial composition and language proficiencies of the proposed staff persons is reflective of the community to be served. [[Page 28207]] 4. Describe the experience and provide resumes of the individuals who will assist the program in conducting the evaluation activities. E. Budget Appropriateness 1. Provide a detailed line-item budget. In the proposed budget, applicants must include sufficient funds so that at least two staff can travel to Washington, D. C. for the annual grantee's conference. (Attendance at this conference is a grant requirement.) Each budget should include the required non-Federal share of the cost of the project. 2. Describe how the budget reflects high quality, ongoing service provided at reasonable costs. Include a discussion on the appropriateness of staff compensation levels and funds sets aside to promote staff training, as needed. Explain the efforts the applicant has made to secure other community case and/or in-kind resources. Part IV. Evaluation Criteria In considering how applicants will carry out the responsibilities addressed under Part III of this announcement, competing applications will be reviewed and evaluated against the following five criteria. The point values following each criterion indicate the numerical weight each criterion will be accorded in the review process. A. Criterion 1. Objectives and Need for Assistance (20 Points) The extent to which the applicant: Identifies the relevant socioeconomic and demographic characteristics of women of child-bearing age who are substance-abusers and/or infected with HIV/AIDS, as well, as the community resources available or the gaps in services which demonstrate a need for the project; Addresses the goals of the legislative mandate to address the needs of infants who have been exposed to a dangerous drug or who have been perinatally exposed to the HIV virus and who may be at risk of abandonment; Identifies goals that address the social service support needs of women impacted by substance-abuse or HIV/AIDS and how those support will enhance family stability and functioning; Proposes objectives and need for assistance that (1) address the community's needs and the needs and concerns of the targeted families; and (2) help ameliorate the issues confronted by women, children and families who are impacted by substance-abuse and HIV/AIDS; and (3) address the permanency placement needs of infants and young children involved in the service demonstration project; Draws on the available services in the community, if available; Describes the population to be served by the project and explains why this population is in most need; and describe the permanency planning needs of the infants and young children and strategies to address those needs that either prevent abandonment or subsequent entries into the child welfare system; Gives a precise location and rationale for the project site/area to be served. B. Criterion 2. Results of Benefits Expected (10 Points) The extent to which the applicant: Identifies the results and benefits to be derived from the project and links these to the stated objective(s); Describes the types of data to be collected and how it will be utilized to measure progress towards the stated results or benefits; and Describes how the lessons learned from the project will benefit policy, practice, theory and/or research in both addressing the social service needs of substance-abusing or HIV/AIDS women and their families or in establishing permanency for the infants and young children in the target population. C. Criterion 3. Approach (40 Points) The extent to which the applicant: Outlines a workable plan of action which relates to the stated objectives and scope of the project and reflects the intent of the legislative mandates and details how the proposed work will be accomplished; Addresses the permanency outcomes for infants and young children, for example, by conducting concurrent planning with the family or by expediting permanency after all appropriate stabilizing efforts with the biological family have been tried; Lists the activities to be conducted in chronological order, showing a reasonable schedule of accomplishments and target dates; If the applicant is proposing to conduct a transitional residence for infants impacted by substance-abuse and/or HIV/AIDS, the extent to which the applicant develops and executes plans for infants not to exceed six months in the residence and plans for permanency for the infants or young children. (Applicants who are proposing transitional residence services and do not respond to this sub- criterion will be considered non-responsive to the Federal Register announcement. Applicants who are proposing transitional residence services and do not include a copy of the appropriate state license will be considered non-responsive to the Federal Register announcement.); Identifies the kinds of data to be collected and maintained and discusses the criteria to be used to evaluate the results and successes of the project; and Describes the evaluation methodology that will be used to determine if the needs identified and discussed are met and if the results and benefits identified are achieved. D. Criterion 4. Staff Background and Organizational Experience (20 Points) The extent to which the applicant: Demonstrates that the proposed project director, key project staff and the evaluator have the ability to effectively and efficiently administer a project of this size, scope and complexity, including their experience and background in working with women who are substance-abusing or have HIV/AIDS and the young children and families impacted by those issues and their experience working with local and state child welfare systems and their familiarity with child welfare issues; Details the organization's experience in addressing the needs of women and families impacted by substance-abuse and/or HIV/ AIDS; and Describes the adequacy of the applicant's management plan to ensure its capacity and efficiency to accomplish the goals of the project. E. Budget Appropriateness (10 Points) The extent to which the applicant justifies the following: Costs are reasonable in view of the activities to be conducted and the expected results and benefits; Salaries and fringe benefits reflect the level of compensation appropriate for the proposed staff responsibilities; and The non-Federal contribution of the total project costs. Part V. Instructions for the Development and Submission of Applications for FY 1997 This part contains information and instructions for submitting applications in response to this announcement. Application forms are provided along with a checklist for assembling an application package. Please copy and use these forms in submitting an application. Potential applicants should read this section carefully in conjunction with the information contained within the specific priority area under which the application is to be submitted. The [[Page 28208]] priority area descriptions are in Part II and the application requirements are in Part III. A. 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 the Office of Management and Budget under Control Number 0348-0043). A copy has been provided. 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 the Office of Management and Budget under Control Number 0348-0040). Applicants must sign and return the Standard Form 424B with their application. Applicants must provide a certification regarding lobbying (approved by the Office of Management and Budget 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 the Office of Management and Budget 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. Applicants will be held accountable for the smoking prohibition included with Pub.L. 103-227, Part C Environmental Tobacco Smoke (also known as the Pro-Children's Act of 1994). A copy of the Federal Register notice which implements the smoking prohibition is included with the forms. By signing and submitting the applications, applicants are providing the certification and need not mail back the certification with the application. B. 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. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB Control Number. This program announcement meets all information collection requirements approved for ACF grant applications under OMB Control Number 0970-0139. C. Required Notification of the State Single Point of Contact The Abandoned Infants Program is covered under Executive Order 12372, Intergovernmental Review of Federal Programs, and 45 CFR part 100, Intergovernmental Review of Department of Health and Human Services Program and Activities. Under the Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. As of January 1997, the following jurisdictions have elected not to participate in the Executive Order process. Applicants from these jurisdictions or for projects administered by Federally-recognized Indian Tribes need take no action in regard to E.O. 12372: Alabama, Alaska, American Samoa, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington. All remaining jurisdictions participate in the Executive Order process and have established State Single Point of Contact (SPOCs). Applicants from participating jurisdictions should contact their SPOCs as soon as possible to alert them of the prospective application and receive 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 review process. The applicant must submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new or competing continuation awards. SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations. Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations which may trigger the ``accommodate'' or ``explain'' rule. When comments are submitted directly to ACF, they should be addressed to: 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. 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 The closing time and date for the receipt of applications is 4:30 p.m. (Eastern Time Zone) on July 21, 1997. Applications must be received by 4:30 p.m. on that day. Applications received after 4:30 p.m. will be classified as late. 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 (Reference Announcement Number and Priority Area A, B, or C). Applicants are responsible for mailing applications well in advance, when using the mail services, to ensure that the applications are received on or before the deadline time and date. 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 before the deadline date, between the hours of 8:00 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). 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 stated above are considered late applications. ACF shall notify each late applicant that [[Page 28209]] 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 mail. 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 The SF 424, 424A, 424B, and certifications have been reprinted for your convenience in preparing the application. See 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--Preprinted 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 (give 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 individual should be accessible at the address given here. Item 6. Employer Identification Number (EIN)--Enter the employer identification number of the applicant organization, as assigned only by the DHHS Central Registry System. EIN prefixes and suffixes assigned by agencies other than DHHS are not valid at DHHS/ACF. Item 7. Type of Applicant--Self-explanatory. Item 8. Type of Application--Preprinted on the form. Item 9. Name of Federal Agency--Preprinted on the form. 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. The CDFA number for the Abandoned Infants Assistance Program is 93.551. Item 11. Descriptive Title of Applicant's Project--Enter the project title and the priority area number in parenthesis after the project title. The title is generally short and is descriptive of the project. 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 subunits. 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. If the proposed project period exceeds 17 months, enter only those dollar amounts needed for the first 12 months of the proposed project. 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. Item 15 b-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. Items 15f. Enter the estimated amount of income, if any, expected to be 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 18 jurisdictions listed above. Enter the date the applicant contacted the SPOC regarding this application. Select the appropriate SPOC from the listing provided in Appendix B. The review of the application is at the discretion of the SPOC. The SPOC will verify the date noted on the application. 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 18 a-c. Typed Name of Authorized Representative, Title, telephone Number--Enter the name, title and telephone number of the authorized representative of the applicant organization. This individual will receive all ACF/ACYF [[Page 28210]] correspondence regarding the application. 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. 2. 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 and non-Federal) 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. The SF 424A. 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 principal 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 an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of (a) the capitalization level established by the organization for the financial statement purposes of (b) $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 subgrantees 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 backup 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, 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 lines 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 [[Page 28211]] 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 defined 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 subgrantee, or a cost-type contractor under the grant or subgrant. 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 12 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. Column (d) would be used in the case of a 48 month project. Column (e) would not apply. 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. 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 Parts II and III. The narrative should provide information concerning how the application meets the evaluation criteria using the following headings: (a) Objectives and Need for Assistance; (b) Results and Benefits Expected; (c) Approach; (d) Staff Background and Organization's Experience; and (e) Budget Appropriateness. 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. Type should be no smaller than 10 point). Applicants should not submit reproductions of larger paper reduced to meet the size requirement. All pages of the narrative (including charts, references/footnotes, tables, maps, exhibits, etc.) must be sequentially numbered, beginning with Objectives 84 and Need for Assistance as page number one. The length of the application, including the application forms and all attachments, should meet criteria set forth in each Priority Area. 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. If the applicant chooses to submit printed materials, the applicant must provide a duplicate or a copy of each printed document with each copy of the application submitted. Each page of the application will be counted to determine the total length. 5. Organizational Capability Statement. The Organizational Capability Statement should consist of a brief (two to three pages) 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 should 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 Workplace Requirements; (2) Debarment and Other Responsibilities; and (3) Pro-Children Act of 1994 (Certification Regarding Environmental Tobacco Smoke). Copies of the assurances/ certifications are reprinted at the end of this announcement (see Appendix A) 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 Workplace Requirements, and Debarment and Other Responsibilities and Environmental Tobacco Smoke 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 and 45 CFR part 92. Applicants requesting financial assistance for a non-construction project must file the standard SF-424B, ``Assurances-Non--Construction Programs.'' Applicants must sign and return the Standard Form 424B with their applications. 7. Statutory Assurances. Applicants seeking funding under the Abandoned Infants Assistance Act, Pub. L. 102-236, are required to meet the following [[Page 28212]] assurances. Any assistance needed to comply with these requirements should be discussed with the local public child welfare agency. Applicants must submit written assurance that they will comply with the Statutory Assurances outlined under sections 101 (b), (c) and (d) of Pub. L. 102-236: (1) That the applicant give priority to abandoned infants and young children (a) who are infected with the human immunodeficiency virus or who have been perinatally exposed to the virus; or (b) who have been perinatally exposed to a dangerous drug. (2) That, if the applicant expends the grant to carry out any program of providing care to infants and young children in foster homes or in other nonmedical residential settings away from their parents, the applicant will ensure that (a) a case plan of the type described in paragraph (1) of section 475 of the Social Security Act is developed for each such infant and young child (to the extent that such infant and young child are not otherwise covered by such a plan); and (b) the program includes a case review system of the type described in paragraph (5) of such section (covering each such infant and young child who is not otherwise subject to such a system). (3) That funds provided under section 101(a) shall be used only as specified in the application approved by the Secretary (section 101(d)(1)(A). (4) That fiscal control and fund accounting procedures will be established as may be necessary to ensure proper disbursement and accounting of Federal funds paid to the applicant under this announcement (section 101(d)(1)(B).) (5) That reports to the Secretary will be made annually on the utilization, cost and outcomes of activities conducted and service furnished under this grant (section 101(d)(1)(C). (6) If during the majority of the 180-day period preceding the data of the enactment of this Act, the applicant has carried out any program with respect to the care of abandoned infants and young children, the applicant must certify that funds provided under the grant will be expended only for the purpose of expanding such service (section 101(d)(1)(D). 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 complete 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 75 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, REV 4-92); --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 C); --Organizational capability statement, including an organization chart; --Any appendices/attachments; --Assurances-Non-Construction Programs (Standard Form 424B, Rev. 4-92); --Certification Regarding Lobbying; and --Certification Regarding Environmental Tobacco Smoke (Pro-Children Act Certification). G. The Application Package Each application package must include an original and two complete copies of the application. Each copy should be secured with a binder clip 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. Applicants are advised that the copies of the applications submitted, not the original, will be reproduced by the Federal government for review. Do not include a self-addressed, stamped acknowledgement card. All applicants will be notified automatically about the receipt of their application. If acknowledgement of receipt of your application is not received within eight weeks after the deadlines date, please notify the ACYF Operations Center by telephone at 1-800-351-2293. Dated: May 13, 1997. James A. Harrell, Acting Commissioner, Administration on Children, Youth and Families. References AIA Factsheet, Number 2, November, 1995. Perinatal Substance Exposure. National Abandoned Infants Assistance Resource Center. University of California at Berkeley. AIA Factsheet, Number 3, January, 1996. Women and Children with HIV/ AIDS. National Abandoned Infants Assistance Resource Center. University of California at Berkeley. Barth, R., Goldberg, S., Pietrzak, J., Price, A., and Parker, T. (1995) Abandoned Infants Assistance Programs: Providing Innovative Responses on Behalf of Infants and Children. National Abandoned Infants Assistance Resource Center, University of California at Berkeley. Department of Health and Human Services (1996). Centers for Disease Control. HIV/AIDS Surveillance Report, Washington, D.C. James Bell Associates (1993). Report to the Congress: National Estimates on the Number of Boarder Babies, the Cost of Their Care, and the Number of Abandoned Infants. Washington, D.C.: U. S. Department of Health and Human Services, Administration for Children and Families, Administration on Children, Youth and Families, Children's Bureau. Levine. C., and Stein, G. ( [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A97-13283. Public record. Not legal advice.