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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration For Children and Families

[Program Announcement No. NCCAN/CB 97-10]

Announcement of the Availability of Financial Assistance and

Request for Applications to Support Child Abuse and Neglect Research

Projects

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

ACTION: Announcement of the availability of financial assistance and

request for applications to support child abuse and neglect research

projects as authorized by the Child Abuse Prevention and Treatment Act,

as amended by P.L. 104-235 (1996).

-----------------------------------------------------------------------

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

Bureau announces the availability of Fiscal Year 1997 funding for

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

child abuse and neglect.

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

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

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

Child Abuse Prevention and Treatment Act Amendments of 1996, the

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

be established by the Secretary for the purpose of coordinating the

functions and activities of CAPTA, replacing NCCAN.

This announcement contains forms and instructions for submitting an

application.

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

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

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

FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical

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

regarding application requirements and to refer you to the appropriate

contact person in NCCAN for programmatic questions.

INTENT TO APPLY: If you are going to submit an application, call 1-800-

351-

[[Page 35182]]

2293 within two weeks of the receipt of this announcement and give 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. If you prefer, you may send a

postcard with the information to: attention--Nainan Thomas, National

Center on Child Abuse and Neglect, Administration on Children, Youth

and Families, P.O. Box 1182, Washington, D.C. 20013. This information

will be used to determine the number of expert reviewers needed and to

update the mailing list for future program announcements.

SUPPLEMENTARY INFORMATION: This program announcement consists of three

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

Child Abuse and Neglect. Part II describes the review process and

priority areas. Part III provides information and instructions for the

development and submission of applications.

Application forms are included in Appendix A--ACF Uniform

Discretionary Grant Application Form (ACF/UDGAF). Please copy as

single-sided forms and use in submitting an application under this

announcement. No additional application forms are needed.

Grants to be awarded under this program announcement are subject to

the availability of funds.

Outline of Announcement

Part I: General Information

A. Background

B. Statutory Authority Covered Under This Announcement

Part II: The Review Process and Priority Areas

A. Eligible Applicants

B. Review Process and Funding Decisions

C. Evaluation Criteria

D. Structure of Priority Area Descriptions

E. Available Funds

F. Summary of Public Comments

G. Priority Area Descriptions and Requirements

Part III: Instructions for the Development and Submission of

Applications

A. Paperwork Reduction Act of 1995

B. Availability of Forms

C. Required Notification of the State Single Point of Contact

D. Deadline for Submission of Applications

E. Instructions for Preparing the Application Under Appendix A--

ACF Uniform Discretionary Grant Application Form (ACF/UDGAF).

1. SF424, page 1, Application Cover Sheet

2. SF424A, Budget Information-Non-Construction Programs

3. Project Summary Description

4. Program Narrative Statement

5. Organizational Capability Statement

6. Assurances/Certifications

F. Checklist for a Complete Application

G. The Application Package

Part I. General Information:

A. Background

The Administration on Children, Youth and Families (ACYF)

administers national programs for children and youth, works with States

and local communities to develop services which support and strengthen

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

enhance the lives of children and their families, and provides

information and other assistance to parents, public and private

agencies, States and local communities, and other entities.

The concerns of ACYF extend to all children from birth through

adolescence. Many programs administered by the agency focus on children

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

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

with disabilities; abused and neglected children; runaway and homeless

youth; and children from Native American and migrant families.

The National Center on Child Abuse and Neglect (NCCAN) in ACYF was

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

Prevention and Treatment Act (CAPTA).

NCCAN provides Federal leadership and conducts activities designed

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

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

include: supporting knowledge-building research projects and service

improvement demonstration programs; awarding grants to eligible States

for developing child protection systems that are comprehensive, child-

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

planning among all levels of government; developing national policies

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

families; providing training and technical resources necessary to

develop and implement a successful, comprehensive child and family

protection strategy through a National Resource Center on Child

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

gathering, processing and housing high quality data sets through a

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

storing and disseminating child maltreatment information through a

National Clearinghouse on Child Abuse and Neglect Information.

B. Statutory Authority Covered Under This Announcement

NCCAN solicits applications under the authority of the Child Abuse

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

5101 et seq.). Through the amendments of 1996, CAPTA is now

reauthorized through September 30, 2001 (P.L. 104-235).

Funds were appropriated under the 1997 Appropriations Act (P. L.

104-208) through September 1997 (CFDA: 93.670).

Part II. The Review Process and Priority Areas

A. Eligible Applicants

Each priority area description contains information about applicant

eligibility. Because eligibility varies depending on statutory

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

each priority area be read carefully.

Before review, each application will be screened for eligibility.

Applications from ineligible organizations will not be reviewed in the

competition, and the applicants will be so informed.

Only agencies and organizations, not individuals, are eligible to

apply under this Announcement. All applications developed jointly by

more than one agency or organization must identify a single lead

organization as the official applicant. Participating agencies and

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

subcontractors. For-profit organizations are eligible to participate as

sub-grantees or subcontractors with eligible non-profit organizations

under all priority areas.

Any non-profit organization submitting an application must submit

proof of its non-profit status in its application at the time of

submission. Acceptable proof consists of either: 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 a copy of the currently valid IRS tax exemption

certificate, or a copy of the articles of incorporation bearing the

seal of the State in which the corporation or association is domiciled.

B. Review Process and Funding Decisions

Before review, each application is screened to determine whether

the applicant organization is eligible. Applications from ineligible

organizations will not be reviewed in the competition, and the

applicants will be so informed. Applicants omitting essential

components of the application

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or failing to comply with the format specifications described in Part

III will have their applications withdrawn from further consideration.

Timely and complete applications from eligible applicants will be

reviewed and scored competitively. Experts in the field (generally

persons outside the Federal government) will use the evaluation

criteria listed later in this section to review and score the

applications. The result of this review is a primary factor in funding

decisions.

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

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

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

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

Federal agencies, interested foundations, national organizations,

specialists, experts, States and the general public. These comments,

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

making funding decisions.

In making award decisions, ACYF may give preference to applications

that focus on: substantially innovative research strategies with the

potential to improve theory or practice in child welfare and child

protective services; implications for model practice or set of

procedures that holds the potential for use by organizations that

administer or deliver child welfare and/or child protective services;

substantial involvement of volunteers, where appropriate; substantial

involvement (either financial or programmatic) of the private sector;

the potential for high benefit from low Federal investment; and/or

substantial involvement by national or community foundations.

To the greatest extent possible, funding decisions will reflect an

equitable distribution of assistance among the States and geographical

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

In deciding, ACYF may also take into account the need to avoid

unnecessary duplication of effort.

C. Evaluation Criteria

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

the Federal government) will review each application. To facilitate

this review, applicants should address every requirement in the

appropriate section of the Program Narrative Statement.

The reviewers will determine the strengths and weaknesses of each

application using the evaluation criteria listed below, provide verbal

and written comments, and assign numerical scores to each application.

The point value following each criterion heading is the maximum score

for that criterion.

All research project applications will be evaluated against the

following criteria:

(a) Objectives (5 points)

The application pinpoints the research problem addressed; concisely

states the specific objectives of the study; and states the question(s)

to be answered or hypothesis(es) to be tested.

(b) Background and Significance (19 points)

The application references theory or craft knowledge supporting the

study, provides a thoughtful discussion about the current state of

knowledge related to the research problem addressed by presenting a

review of the relevant literature, including any pilot tests, in order

to establish the need for the study as a replication to validate

existing knowledge or a new study to fill a knowledge gap. Applicants

also must indicate how the proposed study findings are expected to

significantly inform policy, improve practice, and/or advance the

science of child abuse and neglect research. Bibliographic references

for all citations should be included.

(c) Methodology (51 points)

The application precisely defines the terms and variables used in

the study; identifies data sources, data collection processes and

instruments, including the instruments' reliability and validity with

the population proposed; and describes the data analysis plan. If the

study proposes secondary analysis of existing data, the application

describes access to the chosen data set, familiarity with the original

study design, measures, reports, data file structures, variables,

codes, and the strengths and limitations of the data.

The application describes the characteristics of the target

population and the rationale, strengths, and potential limitations for

interpretations of findings due to the gender and ethnic composition of

the proposed study sample; depicts recruitment and retention

procedures; provides realistic estimates of attrition, and discusses

appropriate procedures for handling attrition or interpreting the

findings of the study in light of attrition. (This requirement is not

applicable to priority area 2.04.)

The proposed methodology protects human subjects; reflects

sensitivity to ethical issues that may arise; provides for reporting

suspected abuse and/or neglect in accordance with applicable laws and

regulations; and describes procedures for soliciting approval from an

institutional review board (IRB), if applicable, and protecting the

integrity and confidentiality of data.

The applicant(s) commits to using data processing and documentation

practices in accordance with the needs of the National Data Archive on

Child Abuse and Neglect and to providing study data to the Archive

within two years of the termination of Federal funding for the project,

as applicable. A manual describing such practices, The Preparation of

Data Sets for Analysis and Dissemination: Technical Standards for

Machine-Readable Data, can be obtained free of cost from the National

Data Archive on Child Abuse and Neglect located at Cornell University,

Family Life Development Center, G20 MVR Hall, Ithaca, New York 14853-

4401, 607-255-7794. Applicants must confirm that the final report will

be prepared in the suggested format to ensure its readiness for

dissemination by NCCAN and ACYF, if desired. (This requirement is not

applicable to priority area 2.04).

The application provides a workable plan of action; details a

reasonable time-line and target dates; includes an adequate staffing

plan, listing key and support staff, consultants, agency, organization,

other key group, and/or advisory panels involved or proposed; and, if

applicable, describes the responsibilities, activities, and/or training

plans for each. The application explicitly identifies the role of its

author(s) in relation to the work plan and administrative structure.

The application proposes reasonable and appropriate project costs

and allocates sufficient funds across component areas. This information

also must be included in the budget narrative.

(d) Staff Background and Organizational Experience (25 points)

The application describes the qualifications of the key staff and

consultants alluded to in the methods section (a curriculum vitae for

each key staff person must be included with the application); the

geographic accessibility of the personnel proposed; and access to

special personnel resources to be tapped, if required.

The application describes the adequacy of the available facilities

and organizational experience to perform the pertinent tasks of the

proposed project effectively and efficiently. Organizational capability

statements included with applications should be no longer than two

pages. If collaboration is proposed, its nature and extent must

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be described in detail and supported by letters of commitment.

The application describes the relationship between this project and

any other Federally financed work planned, anticipated, or underway by

the applicant.

D. Structure of Priority Area Descriptions

Each priority area description is composed of the following

sections:

Eligible Applicants: This section specifies the type of

organizations eligible to apply under the particular priority area,

noting specific restrictions where applicable.

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

priority area.

Background Information: This section briefly discusses the

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

state-of-practice supporting the need for the priority area activity.

Relevant information on projects previously funded by ACYF and/or

others are noted.

Minimum Requirements for Project Design: This section presents the

minimum requirements which must be addressed in response to the

evaluation criteria. These requirements relate to the objectives,

background and significance, methodology, staff background and

organizational experience. Reviewers will expect the details under

these headings to correspond to the evaluation criteria.

Project Duration: This section specifies the maximum allowable

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

funding is available.

Federal Share of Project Cost: This section specifies the maximum

amount of Federal support for the first budget year.

Matching Requirement: This section specifies the minimum non-

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

project. There is no matching requirement for research projects.

Anticipated Number of Projects To Be Funded: This section specifies

the number of projects ACYF anticipates funding under the priority

area.

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

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

reviewers. Experience has shown that an application which is broader

and more general in concept than the priority area description

invariably scores lower than a more clearly focused and directly

responsive application.

E. Available Funds

The ACYF intends to award new grants resulting from this

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

the availability of funds. Approximately two million dollars

($2,000,000) are expected to be available for this program

announcement. The size of the awards will vary from priority area to

priority area.

Each priority area description specifies the maximum Federal share

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

funded.

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

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

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

project is approved for support, including any extensions. Where

appropriate, applicants may propose project periods shorter than the

specified maximums.

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

budget period depends upon satisfactory performance, availability of

funds from future appropriations, and a determination that continued

funding is in the best interest of the Government.

F. Summary of Public Comments

On February 12, 1997, the National Center on Child Abuse and

Neglect (NCCAN) published its proposed research priority areas for

1997-2001 in the Federal Register (Volume 62, Number 29, pages 6546-

6549.) The notice requested comments from the public on the research

priority areas by no later than April 14, 1997.

NCCAN received 99 written responses from a variety of sources,

including the following: The American Bar Association (ABA) Center on

Child and the Law; State and county departments of social welfare and

human services; city and county health departments; child protective

service agencies; a newsletter for abuse survivors and their

supporters; family violence projects; State protection and advocacy

systems; community agencies for children and families; national, State

and local associations and non-profit organizations; universities;

hospitals; health care corporations; children's medical centers; mental

health services agencies; agencies serving children with disabilities;

and national resource centers.

The largest number of written responses (30) came from university

representatives. The next largest number of responses (16) were from

hospitals, health care corporations, children's medical centers and

non-profit organizations. Counties, States, individuals and for-profit

organizations accounted for the remainder (53) of comments.

Legislative Topics

Eight letters commented on the proposed research topic of mandated

reporting. Some commenters suggested that research on the nature of

adequate training for mandated reporters would be helpful, while one

respondent noted that the need is not for training. Others suggested a

study of the impact of mandated reporting on domestic violence or on

provider behavior, while another wondered whether the elimination of

mandatory reporting might increase the involvement of the criminal

justice system in child protection.

Seven comments on research on unsubstantiated, unfounded and false

reports reflected disagreement as to whether this area should be

studied. Some cautioned that emphasis should be placed on the rights of

the child rather than the alleged perpetrator. Questions were raised as

to whether this is really a research priority or a matter of child

welfare practice. Commenters feared that studies focused on false

reports might send the wrong message to State governments and the

research community implying that the key issue in child welfare is to

``reduce waste'' rather than protect children.

Four comments supported research on child abuse and neglect

reporting in the context of family court proceedings. Commenters noted

the need for research in effective coordination of child protection and

family court staff who frequently work with the same families,

especially on termination of parental rights cases. Another suggested

that a research evaluation be done on the results of family court

initiatives and the effects of court improvement projects on children's

outcomes.

Seven comments pertained to research on child abuse and neglect

involving substitute care. Most comments support research in this area.

One State agency urged research into the matching of potential foster

parents with special needs children and whether the training they are

given is adequate. Another comment spoke to the need to examine the

quality of investigations of allegations of abuse in substitute care,

positing that sometimes the data on these cases are inadequate or

skewed.

Four comments addressed research into systems and sequelae

questions with substantiated case samples. One writer stated that

research in this area would provide a more rational and

[[Page 35185]]

empirical foundation for shaping strategies and responses to child

abuse and neglect. Another noted that longitudinal, epidemiological

studies are relevant to these questions. Finally, it was noted that

such research should occur in the context of the entire range of case

flow and decision-making.

Other Topics

Twelve comments addressed the priority area regarding child safety

and child fatality. In general, commenters favored research in this

area. Possible emphases for the research include 1) home visitation

services and other early intervention programs; 2) assessment measures

for child safety and Sudden Infant Death Syndrome; 3) standards for

evaluating deaths due to neglect for child fatality review teams; 4)

identifying cases at high risk for fatality; 5) follow up to fatality

reviews; 6) the over-representation of minorities in known child abuse

and neglect fatalities; 7) integrating multiple data bases; and 8) the

effects of severe and fatal child abuse on siblings and other family

members.

Eight people commented on the co-occurrence of multiple family

problems (substance abuse, domestic violence, criminal behavior) with

child maltreatment in families. Commenters generally favored this

priority. Several noted the clear links among domestic violence,

substance abuse and child abuse, and called for research into

developing a valid risk assessment instrument and best practices for

treatment and services. A social work professor noted the paucity of

research on co-occurrence, and the need for research that includes

studies of families in the earliest stages of violent behavior in order

to discern the potential for other types of violence. He also expressed

interest in NCCAN funding research differentiating spouse abusing-only

from child abusing-only families and taking urban and rural differences

into account.

Three communications suggested ``definitions'' as a research topic.

All supported this subject, and one commenter specified the need for

multi-site studies.

Ten comments unanimously favored university-based doctoral or

medical student and faculty research fellowships in child abuse and

neglect. Only three commented on the desirability of either specified

model: one preferred the student-only model; one preferred the faculty

and student(s) group model; and the third commenter felt that either

model would advance the field.

Four commenters addressed research on outcomes. Comments were

generally favorable. Two organizations thought research should be

conducted on the relationship between services by professionally

trained social workers and outcomes for children and families. The

remaining commenters asked for some expanded focus to the section,

noting that it would be helpful to learn what services a community

implements to achieve a particular outcome, and whether the result is

intended or unplanned, but nonetheless beneficial.

Eight comments focused on over-represented and special populations.

Three respondents expressed support for research on racial and ethnic

groups and children with disabilities. Research ideas included: (1)

Evaluating the importance of matching clients and service providers on

the basis of demographic characteristics; (2) investigating treatment

components that might be used to address cultural differences; and (3)

determining the true distribution of child maltreatment among different

social classes. Five respondents commented specifically on immigrant

children and their families. Two questioned the emphasis, while three

others applauded it.

Six commenters addressed secondary analysis of Federally-funded

data sets. All supported this area of research. They expressed the

following concerns and ideas: (1) The suggested range of minimum

funding vary among the respondents from $5,000 in direct costs to

$20,000; (2) a limit needs to be set on how old the data sets can be,

and (3) results from secondary analysis may be a way for NCCAN to

prioritize among the broad range of research topics.

There was much interest in triage as indicated by the eight

comments received. Several commenters noted the need to examine broad

issues encompassed by the triage concept, including privatization,

managed care, kinship responses, cultural responsiveness and welfare

reform. Others cited the need for improved risk assessment instruments

as part of any research involving differentiated responses.

Two writers commented on welfare reform and system change. Both

felt it is an important area of inquiry, but one noted that it seems

implausible for NCCAN/CB to study this matter independent of other

Federal constituencies.

Eight comments addressed the call for field-initiated research. All

supported NCCAN'S reinstatement of the priority area, observing that

field-initiated research encourages researchers from outside the field

to apply knowledge and methods from their respective areas; allows the

field to have input as to the most important issues for study; and

permits researchers to carry on fields of study that build upon their

past work.

Finally, several respondents recommended additional areas of

research including medical evaluation of suspected sexual or physical

abuse; prevalence of children witnessing violence in the home; the

relationship between poverty and child maltreatment; monitoring sex

offender treatment; effectiveness of primary prevention strategies; and

the impact of the Personal Responsibility and Work Opportunity

Reconciliation Act of 1996 on the prevalence of child maltreatment.

Over the next five years, NCCAN will address many of these proposed

priorities, taking into consideration the public comments. For this

year, funding will be available for Field-Initiated Research in Child

Abuse and Neglect (Priority area 2.01); University-Based Doctoral or

Medical Student and Faculty Fellowships in Child Abuse and Neglect

(Priority Area 2.02); nd Dynamics of Unsubstantiated Reports of Child

Abuse and Neglect (Priority Area 2.03). These three priority areas

allow the applicants to propose projects within the scope of the

legislatively mandated topics on which favorable comments were received

as well as on research field initiated topics, including secondary

analysis of existing data. In addition, the Multi-State Foster Care

Data Archive (Priority area 2.04) from the Children's Bureau is

included in this announcement because it closely relates to the

research interests of those who may apply to NCCAN for research

funding. It addresses the research needs in the broad array of child

welfare services with an emphasis on foster care.

Applicants are strongly encouraged to build new projects on the

results and findings of previously funded NCCAN grants. Information on

prior research and demonstration projects supported by NCCAN and other

references made in this announcement are available from the

Clearinghouse on Child Abuse and Neglect Information, P.O. Box 1182,

Washington, DC 20013, (Phone: 1-800-FYI-3366; web page: http://

www.calib.com/nccanch). The Clearinghouse can provide information on

the other Federal Clearinghouses and Resource Centers having special

information and resources.

G. Priority Area Descriptions and Requirements

2.01 Field-Initiated Research on Child Abuse and Neglect

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

non-profit

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agencies, organizations, or institutions of higher learning, including

Historically Black Colleges and Universities (HBCUs) and Hispanic

Serving Colleges and Universities are eligible to apply. Collaborative

efforts and interdisciplinary applications are encouraged. However, a

primary applicant must be identified.

Purpose: To support research designed to carry out the legislative

responsibilities established by the Child Abuse Prevention and

Treatment Act (CAPTA) Amendments of 1996 (P.L. 104-235). These

responsibilities include the conduct of research on the nature and

scope of child abuse and neglect; the causes, prevention, assessment,

identification, treatment, cultural and socio-economic distinctions,

and consequences of child abuse and neglect; and appropriate, effective

and culturally sensitive investigative, administrative, and judicial

procedures with respect to cases of child abuse.

Background Information: The generation of new knowledge for

understanding critical issues in child abuse and neglect improves

prevention, assessment, identification, and treatment for children and

families who have experienced child abuse and neglect. Research is one

way to generate new knowledge. Field-initiated, or investigator-

initiated, research may address any topic that will expand the current

knowledge base, build on prior research, contribute to practice

enhancements, inform policy, improve science, or provide insights into

new approaches to the prevention, assessment, identification, and

treatment of child maltreatment (i.e., physical abuse, sexual abuse,

emotional maltreatment, and/or neglect).

This priority area responds to legislative direction. Those seeking

general guidance about appropriate topics are referred to the Federal

Register (February 12, 1997; Vol. 62, No. 29, pp. 6546-6549)

announcement of proposed research priorities which lists legislative

and other topics of interest; the section in this announcement

summarizing public comments to the proposed research priorities; and

the report, including research recommendations, published by the

National Research Council, Commission on Behavioral and Social Sciences

and Education, Panel on Research on Child Abuse and Neglect,

Understanding Child Abuse and Neglect (Washington D.C.: National

Academy Press, 1993).

Secondary analysis of existing databases, pilot tests of

measurement tools, or validation studies may be proposed under this

priority area. NCCAN encourages the use of existing data sets collected

through NCCAN and other ACF-funded projects such as the National

Incidence of Child Abuse Study (NIS), the National Study of Protective,

Preventive and Reunification Services Delivered to Children and their

Families, Head Start Data and other field generated data on child

maltreatment, and data stored in the National Data Archive on Child

Abuse and Neglect at Cornell University, Family Life Development

Center, G20 MVR Hall, Ithaca, New York, 14853-4401; telephone: 607-255-

7794. Budgets and project lengths for these more focussed activities

must be justifiable and appropriate to the scope of the work.

Applicants are encouraged to plan and design, apply for funding,

implement, and evaluate the proposed research in collaboration with a

State IV-B agency, community-based organization (CBO), public, private,

profit, or not-for-profit agency providing child welfare or child

protective services.

As with other offerings, the Administration on Children, outh and

Families maintains an interest in research which will be especially

informative about over-represented populations and communities, and

special populations (i.e., racial and ethnic groups, children with

disabilities, and children in immigrant communities).

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

(a) Objectives

Pinpoint the research problem being addressed.

State the specific objectives of the study.

State the question(s) to be answered or hypothesis(es) to

be tested.

(b) Background and Significance

Describe the conceptual framework that includes

appropriate cultural perspectives and reference theory, if any, in

support of the study.

Discuss the current state of knowledge related to the

research problem, providing a review of the relevant literature,

including any pilot tests; describe how the proposed research has

direct application to the field of child abuse and neglect within the

context of NCCAN's legislative responsibilities.

Establish the need for the study as either a replication

to validate existing knowledge or as a new study to fill a knowledge

gap. If applicable, indicate how the proposed study is distinguished

from other on-going research of which it is a part.

Indicate how the proposed study findings significantly

inform policy, improve practice, and/or advance the science of child

abuse and neglect research.

Include all bibliographic references.

(c) Methodology

Describe the proposed methodology. Define the terms,

variables, and design to be used in the study.

Describe the population and sampling plan, the rationale,

strengths, and potential limitations for interpretations of findings

due to the gender and ethnic composition of the proposed study sample.

Describe recruitment and retention procedures; provide

realistic estimates of attrition, and discuss appropriate procedures

for handling attrition or interpreting the findings of the study in

light of attrition.

Identify data collection procedures and instruments,

including information on reliability and validity of the instruments

with the population proposed.

Describe access to the data source and the chosen data set

and demonstrate familiarity with the original study including its

design, measures, reports, data file structures, variables, codes, and

the strengths and limits of the data, if the study proposes secondary

analysis of existing data.

Provide a data analysis plan appropriate to the study.

Applicants proposing secondary analysis of existing data may run a

preliminary descriptive analysis on existing variables of interest to

replicate published findings, add new variables and revise data

analysis plans as needed.

Provide assurance that draft reports of the findings of

secondary analysis of existing data would be shared with the original

investigators or other experts for comments.

Provide assurance that a carefully prepared and thoroughly

documented data set comprising the research data collected for the

study would be deposited in the National Data Archive on Child Abuse

and Neglect within two years of the termination of funding for the

project.

Provide Certification of Protection of Human Subjects

Assurance as part of the application; describe procedures for

soliciting approval from an institutional review board (IRB), if

applicable; describe data management plan to

[[Page 35187]]

safeguard the integrity and confidentiality of data.

Reflect sensitivity to ethical issues that may arise and

make provision for reporting suspected abuse and/or neglect in

accordance with applicable laws and regulations.

Provide a workable plan of action; detail a reasonable

time-line and target dates; include an adequate staffing plan, listing

key and support staff, consultants, any agency, organization, other key

group, and/or advisory panels involved or proposed; identify the role

of the author(s) of the proposal in relation to the work-plan; describe

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

applicable.

Propose reasonable and appropriate project costs and

allocate sufficient funds across component areas. This information

should be given in the budget narrative section.

Describe strategies for disseminating the findings in a

manner that would be useful to other researchers and practitioners in

the field.

(d) Staff Background and Organizational Experience

Describe the academic qualifications of the principal

investigator and the key project staff and consultants, if any,

identified in the methodology section; include a brief curriculum vitae

for each key staff person.

Describe the adequacy of the available facilities and the

capability of the organization to administer and implement the project

effectively and efficiently; if the proposed project is a collaborative

effort involving more than one agency or organization, attach letters

of commitment documenting the nature and extent of such collaboration.

Describe the relationship between this project and any

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

applicant.

Provide assurances that one key staff person will attend a

three-day annual Spring meeting of NCCAN research grantees in

Washington, D.C. with an interim progress report of the research;

prepare quarterly progress reports, and a final project report in an

NCCAN-suggested format ensuring ease of dissemination and utilization.

Project Duration: The length of the project may not exceed 36

months. Projects involving secondary analysis of existing data may

propose a shorter duration.

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

project is not to exceed $200,000 per 12-month budget period.

Applications for lesser amounts are expected when appropriate to work

of a smaller scale, especially proposals involving secondary analysis

of existing data.

Matching Requirements: There is no matching requirement.

Anticipated Number of Projects to be Funded: Pending the

availability of funding in FY 1997 or FY 1998, it is anticipated that

up to four projects will be funded at the maximum funding level or more

than five if applications for lesser amounts are funded.

2.02 University-Based Doctoral or Medical Student and Faculty

Fellowships in Child Abuse and Neglect

Eligible Applicants: Institutions of higher learning, including

medical schools, teaching hospitals, Historically Black Colleges and

Universities (HBCUs) and Hispanic Serving Colleges and Universities on

behalf of qualified doctoral students, medical students, residents

(medical, surgical, pediatric, or others), house officers, or fellows

enrolled in the institution and faculty employed by the institution. To

be eligible to administer such a grant, the institution must be fully

accredited by one of the regional institutional accrediting commissions

recognized by the U.S. Secretary of Education and the Council on Post-

Secondary Accreditation, the Accreditation Council for Graduate Medical

Education, American Association of Medical Colleges, or the Liaison

Committee for Medical Education, as applicable. While an individual is

considered to be the beneficiary of the grant support, awards will be

made only to eligible institutions on behalf of their qualified

candidates.

Purpose: To provide support for doctoral students, medical

students, residents, house officers, or fellows, who show promise and

demonstrate a serious interest in and commitment to issues of child

maltreatment, as well as for faculty who will conduct research on

critical issues in child abuse prevention, assessment identification,

and treatment. These fellowships serve to help cultivate the academic

infrastructure, support the growth of university-based research

capacity for child abuse and neglect, and encourage doctoral-level

students and faculty to pursue careers in child abuse and neglect

research.

Background Information: The research community has highlighted the

need to draw new researchers into the field of child abuse and neglect

(Understanding Child Abuse and Neglect, Washington, D.C.: National

Academy Press, 1993). During FYs 1991, 1992, and 1994, NCCAN funded 26

graduate research fellowships for doctoral candidates to complete

dissertations addressing critical issues in child abuse and neglect.

This activity proved rewarding for NCCAN and garnered the support of

the field.

In FY 1996, NCCAN initiated the university-based student and

faculty fellowships by funding four institutions (the University of

Chicago, the University of Maryland at Baltimore, Brandeis University

and the University of Rhode Island). Students and faculty funded in FY

1996 are working on research issues that include topics such as:

--Child Protection Decision-Making in Cases Involving Substance-Exposed

Infants,

--Decision-Making in Family Reunification,

--Child Maltreatment: Correlates and Outcomes

--Studies of the Impact of Criminal Justice and Child Welfare Systems'

Involvement on Child Survivors of Abuse,

--The Process of Change Among Parents Who Abuse and Neglect Their

Children, and

--Family Violence in Asian-American Families.

Faculty, doctoral students, and students in medical schools,

resident, house officers, or fellows programs are encouraged to apply

for support through their schools and interdisciplinary programs in

social sciences, human development, community and family development,

human services, social work, medicine, nursing, special education,

early childhood education, psychology, sociology, anthropology, public

health, child study, minority studies, and criminology.

NCCAN proposes to award funds for fellowships in blocks to eligible

institutions. Each institutional block would contain at least two or up

to four students and one faculty member. The students and faculty

member may pursue their own individual research or work on coordinated

projects on child abuse and neglect. In addition to submitting all the

required reports to NCCAN, faculty are encouraged to publish the

findings of the study funded. Students' work could lead to

dissertations, publications, or fulfill the requirements of major

research projects (e.g., independent study projects requiring a minimum

commitment of 6 to 9 graduate credit hours).

Institutions will be selected competitively, with attention to

geographic distribution. Historically Black Colleges and Universities

(HBCUs) as well as Hispanic Serving

[[Page 35188]]

Colleges and Universities are encouraged to apply in order to generate

knowledge particularly responsive to issues of cultural context and the

over-representation of some groups in child welfare and child

protective services systems.

Examples of topics to be studied for these fellowships include, but

are not limited to, the following:

1. The number of substantiated cases that result in a judicial

finding of child abuse or neglect or related criminal court

convictions;

2. The extent to which the lack of adequate resources and lack of

adequate training of individuals required by law to report suspected

cases of child abuse have contributed to the inability of a State to

respond effectively to serious cases of child abuse and neglect;

3. The incidence and prevalence of physical abuse, sexual abuse and

emotional neglect in substitute care;

4. The incidence and outcomes of abuse allegations reported within

the context of divorce, custody, or other family court proceedings, and

the interaction between this venue and the child protective services

system;

5. Child abuse and neglect service intervention outcome studies;

6. Child abuse and neglect treatment outcome studies;

7. Studies focussing on over-represented and special populations in

child welfare and child protective services (i.e., racial and ethnic

groups, children with disabilities, and immigrant children) and the

systems' understanding or lack thereof of the dynamics of these

populations, and methods for assessment of clients in order to generate

knowledge about these populations from appropriate cultural and

sociological perspectives.

8. Co-occurrence of child maltreatment and substance abuse and/or

domestic violence and system responses to co-occurrence in terms of

assessment, intervention, treatment and resources;

9. Secondary analyses of existing databases, pilot tests of

measurement tools, or validation studies;

10. Research on new medical screening, diagnostic, or interview

protocols, and treatment techniques.

For topics one through eight, applicants are encouraged to collect

data in partnership with one or more agencies and/or organization of

the local jurisdictions (e.g., child protective services/child welfare

agencies, juvenile, criminal and family courts, substitute care

settings, community-based substance abuse treatment centers, service

providing organizations, family violence intervention programs, etc.).

For topic nine, NCCAN encourages secondary analysis of existing data

sets collected through NCCAN and other ACF-funded projects such as the

National Incidence Study (NIS), the National Study of Protective,

Preventive and Reunification Services Delivered to Children and their

Families, Head Start Data and other field generated data on child

maltreatment, and data stored in the National Data Archives on Child

Abuse and Neglect at Cornell University, Family Life Development

Center, G20 MVR Hall, Ithaca, New York, 14853-4401; telephone: 607-255-

7794. Topic ten may be appropriate for study in teaching hospital

settings with multi-disciplinary, child protection teams.

Each applicant institution should prepare a single submission

packet composed of (up to) five individual research proposals. Each

individual proposal will be evaluated against the criteria for

evaluating research projects. However, each institution will receive

only one score which will consist of the average of the individual

proposal scores. For this priority area only, an exception is made

regarding the total 60-page limit described elsewhere in this

announcement. The text of each individual proposal for this area should

not exceed a maximum of 15 pages. The total text for the five proposals

cannot exceed a maximum of 75 pages. Application forms and all required

attachments can add up to 25 more pages. Thus the total length of the

institutional submission, including text, application, and attachments

may be up to 100 pages. Human Subjects Assurances must be completed for

each individual proposal; however, all other assurances should be

submitted only once, by the institutional applicant. The academic

institution, in accepting the award, agrees to waive overhead charges

(indirect costs) and pass the entirety of the funds on to students and

faculty as fellowships.

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

(a) Objectives

Pinpoint the research problem being addressed.

State the specific objectives of the study.

State the question(s) to be answered or hypothesis(es) to

be tested.

(b) Background and Significance

Describe the conceptual framework that includes

appropriate cultural perspectives and reference theory, if any, in

support of the study.

Discuss the current state of knowledge related to the

research problem, providing a review of the relevant literature,

including any pilot tests; describe how the proposed research has

direct application to the field of child abuse and neglect.

Establish the need for the study as either a replication

to validate existing knowledge or as a new study to fill a knowledge

gap. If applicable, indicate how the proposed study is distinguished

from other on-going research of which it is a part.

Indicate how the proposed study findings significantly

inform policy, improve practice, and/or advance the science of child

abuse and neglect research.

Include all bibliographic references.

(c) Methodology

Describe the proposed methodology. Define the terms,

variables, and design to be used in the study.

Describe the population and sampling plan, the rationale,

strengths, and potential limitations for interpretations of findings

due to the gender and ethnic composition of the proposed study sample.

Describe recruitment and retention procedures; provide

realistic estimates of attrition, and discuss appropriate procedures

for handling attrition or interpreting the findings of the study in

light of attrition.

Identify data collection procedures and instruments,

including information on reliability and validity of the instruments

with the population proposed.

Describe access to the data source and the chosen data set

and demonstrate familiarity with the original study including its

design, measures, reports, data file structures, variables, codes, and

the strengths and limits of the data, if the study proposes secondary

analysis of existing data.

Provide a data analysis plan appropriate to the study.

Applicants proposing secondary analysis of existing data may run a

preliminary descriptive analysis on existing variables of interest to

replicate published findings, add new variables and revise data

analysis plans as needed.

Provide assurance that draft reports of the findings of

secondary analysis of existing data would be shared with the original

investigators or other experts for comments.

[[Page 35189]]

Provide assurance that a carefully prepared and thoroughly

documented data set comprising the research data collected for the

study would be deposited in the National Data Archive on Child Abuse

and Neglect within two years of the termination of funding for the

project.

Provide Certification of Protection of Human Subjects

Assurance as part of the application; describe procedures for

soliciting approval from an institutional review board (IRB), if

applicable; describe data management plan to safeguard the integrity

and confidentiality of data.

Reflect sensitivity to ethical issues that may arise and

make provision for reporting suspected abuse and/or neglect as governed

by applicable laws and regulations.

Provide a workable plan of action; detail a reasonable

time-line and target dates; include an adequate staffing plan, listing

key and support staff, consultants, any agency, organization, other key

group, and/or advisory panels involved or proposed; identify the role

of the author(s) of the proposal in relation to the work-plan; describe

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

applicable.

Propose reasonable and appropriate project costs and

allocate sufficient funds across component areas. This information

should be given in the budget narrative section.

Describe strategies for disseminating the findings in a

manner that would be useful to other researchers and practitioners in

the field.

Staff Background and Organizational Experience

Include evidence that the student candidates are enrolled

and in good standing as doctoral or medical students, residents, house

officers, or fellows in the sponsoring institution and verify the

employment status of the faculty candidate.

Document the agreement between the dean or chairperson and

the faculty candidate indicating that the faculty candidate will be

permitted to conduct the research project as part of his/her academic

duties, and if needed, that a senior faculty member would be available

to guide the project.

Include a letter of support from a tenured faculty member,

advisor, Dean, or Chairperson for each student seeking a fellowship,

recommending the student's capability to undertake a research project

of this nature.

Describe the corporate capability of the institution to

support a research initiative, in terms of the existing research

infrastructure and academic climate; if the proposed project is a

collaborative effort involving more than one agency or organization,

attach letters of commitment documenting the nature and extent of such

collaboration.

Include a short resume for each candidate (limit to one

page) including information on education and relevant experiences.

Describe the relationship between this project and any

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

applicant institution.

Provide assurances that each candidate will attend a

three-day annual Spring meeting of NCCAN research grantees in

Washington, D.C. with an interim progress report of the research;

prepare quarterly progress reports and a final project report in an

NCCAN-suggested format ensuring ease of dissemination and utilization.

Project Duration: The length of the project may not exceed 17

months.

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

the project is not to exceed $75,000 per university or institution to

fund up to four student-candidates at $13,750 each and $20,000 for the

faculty candidate.

Matching Requirement: There is no matching requirement.

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

up to five sites will be funded.

2.03 Dynamics of Unsubstantiated Reports of Child Abuse and Neglect

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

non-profit agencies, organizations, and institutions of higher

learning, including Historically Black Colleges and Universities and

Hispanic Serving Colleges and Universities are eligible to apply.

Collaborative efforts are encouraged; however, a primary applicant must

be identified. If the primary applicant is a private nonprofit agency,

organization or institution of higher learning, a clear statement of

commitment and agreement with the State, Tribal or local Child

Protection/child welfare entities must be provided which assures access

to appropriate sources and individuals.

Purpose: To support research on the dynamics of unsubstantiated

cases of child abuse and neglect, including the factors that influence

the decision not to substantiate, the agency resources expended in

investigating unsubstantiated versus substantiated reports, service

interventions provided to children and families during or as a result

of the investigation, and outcomes of children and families who have

been the subject of unsubstantiated reports, including their re-

referral to child protective services in future reports of alleged

abuse and neglect.

Background Information: In 1995, State child protective services

agencies (CPS) received and referred for investigation nearly 2 million

reports of alleged maltreatment, involving an estimated 3 million

children (Child Maltreatment 1995: Reports from the States to the

National Child Abuse and Neglect Data System, Washington, D.C., U.S.

Government Printing Office, 1997). Over 1 million children were found

to be victims of substantiated or indicated maltreatment.

Due to expungement practices, administrative data on

unsubstantiated cases is limited in many States. In fact, not all

States are able to provide data on the number of investigated children

for whom maltreatment was not substantiated, as well as those for whom

maltreatment was substantiated. However, based on data from the 40

States able to report on children with both substantiated and not

substantiated dispositions, 34 percent of investigated children were

found to have suffered substantiated or indicated abuse or neglect,

while 60 percent received an investigation disposition of

``unsubstantiated.'' Less than 2 percent of children had investigations

resulting in either ``no finding'' or ``unknown finding,'' and about 4

percent received a disposition categorized as ``other'' (NCANDS).

The large number of investigations resulting in unsubstantiated

dispositions has raised questions and concern about the nature of these

cases and their impact both on the children and families who are the

subject of these CPS investigations and on the functioning of CPS

systems. The CAPTA amendments of 1996 suggest several research topics

specifically focusing on unsubstantiated cases of child abuse and

neglect, including, ``the extent to which the number of

unsubstantiated, unfounded and false reported cases of child abuse or

neglect have contributed to the inability of a State to respond

effectively to serious cases of child abuse and neglect;'' ``the number

of unsubstantiated, false, or unfounded reports that have resulted in a

child being placed in substitute care, and the duration of such

placement;'' and ``the extent to which unsubstantiated reports return

as more serious cases of child abuse or neglect.''

Concerns have also been raised about the potential harm to families

that may accompany CPS investigations in cases where no maltreatment is

present. Conversely, there is concern that significant numbers of

children in

[[Page 35190]]

unsubstantiated cases may, in fact, have suffered harm or be at risk of

harm due to abuse or neglect, and yet may not, because of the

investigation disposition, receive the services necessary to ensure

their safety and well-being.

Available data suggest that differences in State laws and policies,

including definitions of child abuse and neglect and investigation

disposition classification schemes, result in children experiencing

similar events being classified differently. In 1995, the national rate

of child maltreatment victims (where only children in substantiated or

indicated reports were considered ``victims'') was 15 per 1,000

children younger than 18 in the population. However, when States were

grouped and compared according to their system of classifying

investigation dispositions, significant differences were seen. In

States using a two-tier classification of dispositions (i.e.,

investigations were either substantiated or unsubstantiated) the

average victim rate was 13 children per 1,000 in the population. In

States using a three-tier classification of dispositions (i.e. where in

addition to the findings of substantiated and unsubstantiated, a case

may be classified as ``indicated,'' meaning there was reason to suspect

maltreatment or a risk of maltreatment, although it did not rise to the

level of evidence required by State law to substantiate), the average

victim rate was 23 children per 1,000 in the population.

In a recent article entitled, ``Unraveling `Unsubstantiated' ''

Brett Drake highlights the heterogeneity within the category of

unsubstantiated reports, and cautions against equating unsubstantiated

reports with invalid or false reports (Drake, 1996). Drake offers a

conceptual model for considering child maltreatment cases along a two-

dimensional continuum of harm and evidence. As Drake writes, ``the

conceptual basis for this model is the assumption that all CPS reports

vary along two dimensions: the level of proof available that

maltreatment exists and the degree of harm present. It is only through

the simultaneous consideration of both of these dimensions that

substantiation can be understood.'' Under Drake's model, substantiated

cases are most likely to fall in the quadrant in which both the level

of proof and the degree of harm are relatively high. Cases in which

there is little evidence, even if there is a high degree of harm, may

be unsubstantiated. Drake also notes that unsubstantiated cases may,

nonetheless, result in services being provided to families to address

family needs and problems and prevent future maltreatment.

Other research has compared longer-term outcomes for children

involved in substantiated and unsubstantiated CPS reports. For

instance, in research previously funded by NCCAN, Zingraff and Leitner

(1995), found little or no difference in school performance or risk of

delinquency for children in substantiated versus unsubstantiated

reports.

In order to gain a better understanding of unsubstantiated reports

of child abuse and neglect, NCCAN is interested in supporting studies

that address questions that include, but are not limited to:

What factors influence the decision on whether or not to

substantiate the case? How do State laws and policies relating to

levels of evidence required to substantiate and the level of harm

required to substantiate affect the decision? Do agency organizational

culture issues influence the decision? To what extent do factors such

as the source of the report, nature of maltreatment, age of the child,

willingness of the family to cooperate with the investigation, and

service availability influence workers' decisions on whether or not to

substantiate?

How often do caseworkers suspect child maltreatment or

risk of maltreatment in cases that are not substantiated? How often are

potential risk factors for child maltreatment, such as substance abuse

or domestic violence, seen in unsubstantiated cases? How frequently are

allegations of maltreatment found to be intentionally false?

How does the expenditure of agency resources (including

worker time) in unsubstantiated cases compare with the expenditure of

resources in substantiated cases?

What service interventions (including removal from home)

did children and families receive during or as a result of the

investigation? In States implementing CPS reform through a

differentiated response system, does this reform affect the degree to

which families in unsubstantiated cases receive services?

What outcomes were seen for children and families who were

the subjects of unsubstantiated reports? Did they return in later

reports of either substantiated or unsubstantiated maltreatment? What

effect do families report experiencing as a result of CPS involvement?

Minimum Requirements for Project Design: As part of addressing the

evaluation criteria outlined in Part II of this announcement, each

applicant must address the following items in the program narrative

section of the proposal.

(a) Objectives

Pinpoint the research problem being addressed.

State the specific objectives of the study.

State the question(s) to be answered or hypothesis(es) to

be tested.

(b) Background and Significance

Describe the conceptual framework that includes

appropriate cultural perspectives and reference theory, if any, in

support of the study.

Discuss the current state of knowledge related to the

research problem, providing a review of the relevant literature,

including previous studies on the topic or pilot tests; describe how

the proposed research has direct application to the field of child

abuse and neglect within the context of NCCAN's legislative

responsibilities.

Establish the need for the study as either a replication

to validate existing knowledge or as a new study to fill a knowledge

gap. If applicable, indicate how the proposed study is distinguished

from other on-going research of which it is a part.

Indicate how the proposed study findings significantly

inform policy, improve practice, and/or advance the science of child

abuse and neglect research.

Include all bibliographic references.

(c) Methodology

Describe the proposed methodology. Define the terms,

variables, and design to be used in the study.

Describe the sample selection sites, population and

sampling plan, the rationale, strengths, and potential limitations for

interpretations of findings due to the gender and ethnic composition of

the proposed study sample.

Provide realistic estimates of attrition and discuss

appropriate procedures for handling attrition or interpreting the

findings of the study in light of attrition.

Identify data collection procedures and instruments,

including information on reliability and validity of the instruments

with the population proposed.

Provide a data analysis plan appropriate to the study.

Provide assurance that a carefully prepared and thoroughly

documented data set comprising the research data collected for the

study be deposited in the National Data Archive on Child

[[Page 35191]]

Abuse and Neglect within two years of the termination of funding for

the project.

Provide Certification of Protection of Human Subjects

Assurance as part of the application; describe procedures for

soliciting approval from an institutional review board (IRB), if

applicable; describe data management plan to safeguard the integrity

and confidentiality of data.

Reflect sensitivity to ethical issues that may arise and

make provision for reporting suspected abuse and/or neglect as governed

by applicable laws and regulations.

Provide a workable plan of action; detail a reasonable

time-line and target dates; include an adequate staffing plan, listing

key and support staff, consultants, any agency, organization, other key

group, and/or advisory panels involved or proposed; and describe the

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

applicable.

Propose reasonable and appropriate project costs and

allocate sufficient funds across component areas. This information

should be given in the budget narrative section.

Describe strategies for disseminating the findings in a

manner that would be useful to other researchers and practitioners in

the field.

(d) Staff Background and Organizational Experience

Describe the academic qualifications of the principal

investigator and the key project staff and consultants, if any,

identified in the methodology section; identify the role of the

author(s) of the proposal in relation to the work-plan; include a brief

curriculum vitae for each key staff person.

Describe the adequacy of the available facilities and the

capability of the organization to administer and implement the project

effectively and efficiently; if State or county CPS data or records are

planned to be used, and if the applicant is not a State or county CPS

agency, document a commitment from the relevant CPS agency to provide

the applicant researcher access to the data or case records.

Describe the relationship between this project and any

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

applicant.

Provide assurances that one key staff person will attend a

three-day annual Spring meeting of NCCAN research grantees in

Washington, D.C. with an interim progress report of the research;

prepare quarterly progress reports, and a final project report in an

NCCAN-suggested format ensuring ease of dissemination and utilization.

Project Duration: The length of the project may not exceed 36

months.

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

project is not to exceed $200,000 per 12-month budget period.

Matching Requirements: There is no matching requirement.

Anticipated Number of Projects to be Funded: Pending the

availability of funding in FY 1997 or FY 1998, it is anticipated that

up to three projects will be funded at the maximum funding level or

more than three if applications for lesser amounts are funded.

2.04 Multi-State Foster Care Data Archive

Eligible Applicants: State or local, public or nonprofit, agencies,

universities, and nonprofit organizations or institutions.

Purpose: To support the development, refinement and implementation

of methods to link State-level foster care administrative data to other

data at the State level for use in policy development and research

through the maintenance and expansion to twelve States of a multi-State

foster care data archive.

Background Information: For many years, concerns have been raised

about the lack of information available on children in foster care. To

address some of these concerns, in 1986 Congress amended title IV-E of

the Social Security Act by adding section 479 which required the

Federal government to institute a foster care and adoption data

collection system. In response to this legislative mandate, the

Administration for Children and Families (ACF) has implemented the

Adoption and Foster Care Analysis and Reporting System (AFCARS). The

AFCARS collects information on children in foster care and children

adopted through the public child welfare system. The system is

mandatory, and the failure of a State to submit reliable data will soon

result in financial penalties.

Although AFCARS substantially improves information available on

children in foster care and children being adopted, it is not intended

to, nor will it ever, provide all of the information necessary to

develop policy at the Federal, State and local levels on this

population of children. There are, however, other existing data sources

that have historically been under-utilized. Primary among these are the

statewide information and tracking systems on children in foster care

established to meet the requirements of Public Law 96-272, the Adoption

Assistance and Child Welfare Act of 1980 and being modified or

developed through the use of enhanced funding for Statewide Automated

Child Welfare Information Systems (SACWIS). Frequently these systems

have data for long periods of time which permit longitudinal analyses.

In addition, because they contain more detailed information than is

reported to AFCARS, individual cases can be linked across various data

systems at the State level.

There are a number of administrative databases at the State level

which relate to children in foster care. Some of these are data on

child protective services investigations, Medicaid utilization,

education, Temporary Assistance to Needy Families (TANF) or Child

Support Enforcement, and data maintained by vital statistics offices.

These and other administrative databases maintained by the States can

be used to provide detailed information on how the foster care

population changes over time, services being utilized and their costs,

and comparisons of how foster care children and their families might

differ from other children and their families in the frequency and/or

intensity of their receipt of services or participation in various

programs.

The proposed project will be voluntary for the States and should

include a wider range of information and data sources than is mandated

by AFCARS or utilized in the National Child Abuse and Neglect Data

System (NCANDS). Information generated by the project will be used to

supplement information generated by AFCARS, NCANDS and other major

research efforts supported by the Federal government and foundations.

Prior work in this area has been conducted by the Chapin Hall

Center for Children at the University of Chicago in collaboration with

States and other university-based researchers under a five year grant

from the Children's Bureau which was awarded in FY 1992. This grant

established the Multi-State Foster Care Data Archive which includes

foster care data from the States of Illinois, New York, Michigan,

California, Texas, Missouri, and Florida. By the end of the grant

period in September 1997, an additional three States are expected to be

added bringing the total number of States to ten.

Through this grant and other funding from the Administration on

Children and Families, the Assistant Secretary for Planning and

Evaluation, other Federal agencies, States and foundations, the Archive

has produced analyses on the

[[Page 35192]]

case flow in foster care, adoption disruption, the relationship between

child protective services and foster care, relative foster care, and

foster care re-entry, to name a few. This new project seeks to expand

the Archive to 12 States and to focus the analyses on linking State

administrative data to other databases at the State level to inform

policy and practice at the local, State and Federal levels.

Minimum Requirements for Project Design: This is a three-year

cooperative agreement project in which substantial Federal involvement

is anticipated. The specific respective responsibilities of Federal

staff and the awardee will be negotiated prior to the grant award. In

order to compete successfully under this priority area, as part of

addressing the evaluation criteria (a. objectives, b. background and

significance, c. methodology, and d. staff background and

organizational experience) outlined in Part II of this announcement, as

appropriate to this project, each applicant must address the following

items in the program narrative section of the proposal:

Describe the applicant's experience in developing

analytical files from large, complex case-specific databases;

conducting analyses of case-specific child welfare and other related

administrative data files; linking data through time and from different

databases; and developing and maintaining data archives and insuring

the confidentiality of the data. Also describe the hardware and

software currently available to the applicant in the conduct of the

project as well as additional hardware and/or software needed to

conduct the project.

Describe how the current participants in the Archive would

be encouraged to continue in Archive activities and which activities

would be continued or initiated which would encourage the use of the

analyses by the State participants.

Describe how at least two additional States would be

identified and recruited to participate in the project. This should

include a discussion of the applicant's experience in recruiting States

to participate in similar activities; how State staff and university

researchers would be identified; how access to the administrative

databases would be achieved; how the appropriateness of administrative

databases would be assessed; and how full participation of the States

would be assured by the end of the project.

Describe how technical assistance in developing analytical

files, linking databases and conducting analyses would be delivered to

those States which need it.

Describe how an advisory committee for the project would

be established and its composition. Discuss why the composition is

appropriate.

Describe how topic areas for exploration would be

identified and prioritized.

Describe activities that would be undertaken to develop,

refine and implement methods to link State-level foster care

administrative data to other data at the State level for use in policy

development and research. Specifically, provide an outline of the steps

that would be undertaken in the States to obtain access to these other

databases and discuss some of the technical issues involved in

conducting this type of work.

Describe the frequency and content of briefings on

findings for Federal, State and national organization staff that would

be conducted under the grant and how these briefings would relate the

research findings to policy and practice issues.

Describe the reports, including an annual report, that

would be developed under the project, including the types of

information that would be presented, and the steps, including

submission for publication to refereed journals, that would be

undertaken to disseminate and promote the utilization of project

findings. Also describe how information on project findings would be

disseminated to both participating and non-participating States.

Describe how support would be obtained from sources other

than this cooperative agreement during the period of the project to

enhance its work and how the project would continue with funds from

other sources after the three-year project period has ended.

Describe how the Archive will help inform, coordinate and

collaborate with other major research and data collection activities

such as AFCARS and the National Child Abuse and Neglect Data System

(NCANDS) and other longitudinal research supported by ACF.

Provide assurances that the principal investigator would

attend a 2-3 day annual meeting of research grantees in Washington,

D.C.

Outline a plan of interaction with the Administration for

Children and Families (ACF) for the implementation of the project under

a cooperative agreement including, as appropriate, activities such as

an annual briefing of Central Office staff and involving Headquarters

and Regional Office staff in other ways in the project.

Project Duration: The length of the project must not exceed 36

months.

Federal Share of Project Costs: The maximum Federal share is not to

exceed $250,000 per 12-month budget period.

Matching Requirement: There is no matching requirement

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

one project will be funded.

Part III. Instructions for the Development and Submission of

Applications

This part contains information and instructions for submitting

applications in response to this announcement. Application forms are

provided in Appendix A--ACF Uniform Discretionary Grant Application

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

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

an application.

Potential applicants should read this section carefully in

conjunction with the information in the specific priority area under

which the application is to be submitted. The priority area

descriptions are in Part II.

A. Paperwork Reduction Act of 1995

In accordance with the Paperwork Reduction Act of 1995 (Pub. L.

104-13), all information collections within this announcement are

approved under OMB Control Number 0970-0139, the Uniform Discretionary

Grant Application Form. 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.

B. Availability of Forms

Eligible applicants interested in applying for funds must submit a

complete application including the required forms at the end of this

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

grant or cooperative agreement under this announcement, an application

must be submitted on the Standard Form 424 (approved by OMB under

Control Number 0348-0043). Each application must be signed by an

individual authorized to act for the applicant and to assume

responsibility for the obligations imposed by the terms and conditions

of the grant award. Applicants requesting financial assistance for non-

construction projects must file the Standard Form 424B, ``Assurances:

Non-Construction Programs'' (approved by OMB under control number 0348-

0040). Applicants must sign and return the Standard Form

[[Page 35193]]

424B (approved by OMB Control Number 0348-0340) with their application.

Applicants must provide a certification regarding lobbying (approved by

OMB under Control Number 0348-0046). Prior to receiving an award in

excess of $100,000, applicants shall furnish an executed copy of the

lobbying certification (approved by OMB under control number 0348-

0046). Applicants must sign and return the certification with their

application.

Applicants must make the appropriate certification of their

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

submitting the application, applicants are providing the certification

and need not mail back the certification with the application.

Applicants must make the appropriate certification that they are

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

By signing and submitting the application, applicants are providing the

certification and need not mail back the certification with the

application.

Applicants will be held accountable for the smoking prohibition in

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

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

applicants are providing the certification and need not mail back the

certification with the application.

All applicants for research projects must provide a Protection of

Human Subjects Assurance as specified in the policy described on the

HHS Form 596 (approved by the Office of Management and Budget under

control number 0925-0137)in Appendix B. If there is a question

regarding the applicability of this assurance, contact the Office of

Protection from Research Risks of the National Institutes of Health at

(301) 496-7041. Those applying for or currently conducting research

projects are further advised of the availability of a Certificate of

Confidentiality through the National Institute of Mental Health of the

Department of Health and Human Services. To obtain more information and

to apply for a Certificate of Confidentiality, contact the Division of

Extramural Activities of the National Institute of Mental Health at

(301) 443-4673.

C. Required Notification of the State Single Point of Contact

This program is covered under Executive Order 12372,

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

``Intergovernmental Review of Department of Health and Human Services

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

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and Territories except Alabama, Alaska, Colorado,

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

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

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

American Samoa and Palau have elected to participate in the Executive

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

Applicants from these twenty-three jurisdictions need take no action

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

Federally-recognized Indian Tribes are also exempt from the

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

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

and receive any necessary instructions. Applicants must submit any

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

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

process. It is imperative that the applicant submit all required

materials, if any, to the SPOC and indicate the date of this 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, S.W., Washington, D.C. 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

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, S.W., Mail Stop 6C-462, Washington, D.C. 20447, Attention:

Application for Child Abuse and Neglect Research Project. Applicants

are responsible for mailing applications well in advance, when using

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

before the deadline time and date.

Applications hand carried by applicants, applicant couriers, or by

overnight/express mail couriers shall be considered as meeting an

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

between the hours of 8:00 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, S.W., Washington, D.C. 20024, between

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

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

considered for competition. Applicants using express/overnight services

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

receipt of applications. (Applicants are cautioned that express/

overnight mail services do not always deliver as agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

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

submission and time of receipt.

Late Applications

Applications which do not meet the criteria above are considered

late applications. ACF shall notify each late applicant that its

application will not be considered in the current competition.

Extension of Deadlines

ACF may extend the deadline for all applicants because of acts of

God such as floods, hurricanes, etc., or when there is a widespread

disruption of the mails. However, if ACF does not extend the deadline

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

applicants.

E. Instructions for Preparing the Application under Appendix A-ACF

Uniform Discretionary Grant Application Form (ACF/UDGAF)

Under the ACF/UDGAF, applications submitted for funds under this

announcement are considered New

[[Page 35194]]

Applications, therefore, follow instructions in the UDGAF for New

Applications.

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

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

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

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

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

are printed on both sides of the page.

Please prepare your application in accordance with the following

instructions:

1. SF 424 Page 1, Application Cover Sheet

Please read the following instructions before completing the

application cover sheet. An explanation of each item is included.

Complete only the items specified.

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

application is being submitted.

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

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

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

applicable.

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

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

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

the applicant organization. For applications developed jointly, enter

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

applicant for each application.

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

applicant organization which will actually carry out the project

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

this is the same as the applicant organization, leave the

organizational unit blank.

Address--Enter the complete address that the organization actually

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

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

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

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

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

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

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

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

correspondence regarding the application.

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

identification number of the applicant organization, as assigned by the

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

System suffix.

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

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

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

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

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

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

indicated in the relevant priority area description.

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

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

project, not the priority area title.

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

where significant and meaningful impact could be observed. List only

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

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

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

project and projected completion date.

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

number of the Congressional District where the applicant's principal

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

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

nationwide, enter 00.

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

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

period, the total amount requested.

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

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

maximum amount specified in the priority area description.

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

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

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

kind contributions should be included on appropriate lines as

applicable.

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

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

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

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

Narrative Statement.

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

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

12372 Process? Yes, except for the 23 jurisdictions provided at the end

of Part III. 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. If

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

agency delay any proposed funding.

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

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

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

State for review.

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

the appropriate box. This question applies to the applicant

organization, not the person who signs as the authorized

representative. Categories of debt include audit disallowances, loans

and taxes.

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

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

duly authorized by the governing body of the applicant and the

applicant will comply with the attached assurances if the assistance is

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

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

of this application by this individual as the official representative

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

the applicant.

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

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

authorized representative of the applicant organization.

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

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

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

black) so that the original signature is easily identified.

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

the authorized representative.

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

This is a form used by many Federal agencies. For this application,

Sections

[[Page 35195]]

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

completed.

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

Federal funding for the proposed project covering the first year budget

period.

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

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

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

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

(g).

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

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

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

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

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

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

category.

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

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

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

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

Applicants should refer to the Budget and Budget Justification

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

27 (Item D) in Appendix A.

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

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

should be included on line 6h, Other.

Justification: Identify the 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 non-expendable

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

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

Justification: Equipment to be purchased with Federal funds must be

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

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

equipment or a reasonable facsimile available to the project. The

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

equipment after the project ends.

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

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

Justification: Specify general categories of supplies and their

costs.

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

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

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

secondary recipient organizations, including delegate agencies. Also

include any contracts with organizations for the provision of technical

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

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

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

Justification: Attach a list of contractors, indicating the names

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

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

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

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

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

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

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

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

contract, and major cost elements. Applicants who anticipate

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

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

competition should include a sole-source justification in the proposal

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

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 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, Part 74.51 and 45 CFR Part 92.3,

as property or services which benefit a grant-supported project or

program and which are contributed by non-Federal third parties without

charge to the grantee, the sub-grantee, or a cost-type contractor under

the grant or sub-grant.

[[Page 35196]]

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. Columns (d) and (e) would be

used in the case of a 60 month project.

Section F--Other Budget Information

Direct Charges--Line 21, Not applicable.

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

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

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

the rate is applied, and the total indirect expense.

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

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

for each of the remaining years of the project.

3. Project Summary Description

Clearly mark this separate page with the applicant name as shown in

item 5 of the SF 424, the priority area number as shown at the top of

the SF 424, and the title of the project as shown in item 11 of the SF

424. The summary description should not exceed 300 words. These 300

words become part of the computer database on each project.

Care should be taken to produce a summary description which

accurately and concisely reflects the application. It should describe

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

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

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

packages, materials, management procedures, data collection

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

audiovisuals should be closed captioned.) The project summary

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

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

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

application that the reviewers read in evaluating the application.

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

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

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

key words will be used for computerized information retrieval for

specific types of funded projects. Applicants should refer to the

instructions in Appendix A under the Program Narrative section on page

23 (Item A.1) regarding the project summary.

4. Program Narrative Statement

The Program Narrative Statement is a very important part of an

application. It should be clear, concise, and address the specific

requirements mentioned under the priority area description in Part II.

The narrative should provide information c Background and

Significance.

(c) Methodology. The narrative should be typed double-spaced on a

single-side of an 8\1/2\'' x 11'' plain white paper, with 1'' margins

on all sides, using standard type sizes or fonts (e.g., Times Roman 12

or Courier 10). Applicants should not submit reproductions of larger

size paper reduced to meet the size requirement. Applicants are

requested not to send pamphlets, brochures, or other printed material

along with their application as they pose copying difficulties. All

pages of the narrative (including charts, references/footnotes, tables,

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

``Objectives'' as page number one.

The length of the application, including the application forms and

all attachments, should not exceed 60 pages, except for applications

for priority area 2.02 which has different page limits as described in

that section of the announcement. Anything over the limit will not be

reproduced and distributed to reviewers. Applicants should understand

that except for priority area 2.02, only the first 60 pages of material

will be reviewed. A page is a single side of an 8\1/2\ x 11'' sheet of

paper. Applicants are requested not to send pamphlets, brochures or

other printed material along with their application as these pose

xeroxing difficulties. These materials, if submitted, will not be

included in the review process if they exceed the page limit criteria.

Each page of the application will be counted to determine the total

length.

5. Organizational Capability Statement

The Organizational Capability Statement should consist of a brief

(two pages is suggested) background description of how the applicant

organization (or the unit within the organization that will have

responsibility for the project) is organized, the types and quantity of

services it provides, and/or the research and management capabilities

it possesses. This description should cover capabilities not included

in the Program Narrative Statement. It may include descriptions of any

current or previous relevant experience, or describe the competence of

the project team and its demonstrated ability to produce a final

product that is readily comprehensible and usable. An organization

chart showing the relationship of the project to the current

organization must be included.

6. Assurances/Certifications

Applicants are required to file an SF 424B, Assurances--Non-

Construction Programs and the Certification Regarding Lobbying. Both

must be signed and returned with the application. In addition,

applicants must certify their compliance with: (1) Drug-free Work-place

Requirements; and (2) Debarment and Other Responsibilities. Copies of

the assurances/certifications are reprinted at the end of this

announcement and should be reproduced, as necessary. A duly authorized

representative of the applicant organization must certify that the

applicant is in compliance with these assurances/certifications. A

signature on the SF 424 indicates compliance with the Drug-free Work-

place Requirements, and Debarment and Other Responsibilities

certifications.

A signature on the application constitutes an assurance that the

applicant will comply with the pertinent Departmental regulations

contained in 45 CFR part 74.

F. Checklist for a Complete Application

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

package has been properly prepared.

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

Applications for different priority areas are packaged separately;

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

eligibility requirements defined in the priority area description

(screening requirement);

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

specified in the priority area description. A complete application

consists of the following items in this order:

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

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

in line 16, page 1 of the SF 424;

[[Page 35197]]

--Budget Information-Non-Construction Programs (SF 424A, REV 4-88);

--Budget justification for Section B-Budget Categories;

--Table of Contents;

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

if necessary;

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

appropriate;

--Project summary description and listing of key words;

--Program Narrative Statement (See Part III, Section D);

--Organizational capability statement, including an organization chart;

--Any appendices/attachments;

--Assurances-Non-Construction Programs (Standard Form 424B, REV 4-88);

--Certification Regarding Lobbying; and

--Certification of Protection of Human Subjects, if necessary.

G. The Application Package

Each application package must include an original and two copies of

the complete application. Each copy should be stapled securely (front

and back if necessary) in the upper left-hand corner. All pages of the

narrative (including charts, tables, maps, exhibits, etc.) must be

sequentially numbered, beginning with page one. In order to facilitate

handling, please do not use covers, binders or tabs. Do not include

extraneous materials as attachments, such as agency promotion

brochures, slides, tapes, film clips, minutes of meetings, survey

instruments or articles of incorporation.

Do not include a self-addressed, stamped acknowledgment card. All

applicants will be notified automatically about the receipt of their

application. If acknowledgment of receipt of your application is not

received within two weeks after the deadline date, please notify the

ACYF Operations Center by telephone at 1-800-351-2293.

Dated: June 19, 1997.

James A. Harrell,

Acting Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

[[Page 35198]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.000

BILLING CODE 4184-01-C

[[Page 35199]]

Instructions for the SF 424

Public reporting burden for this collection of information is

estimated to average 45 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget. Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State, if

applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing

award, enter present Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of primary organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities.)

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

17. This question applies to the applicant organization, not the

person who signs as the authorized representative. Categories of

debt include delinquent audit allowances, loans and taxes.

18. To be signed by the authorized representative of the

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

sign this application as official representative must be on file in

the applicant's office. (Certain Federal agencies may require that

this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 35200]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.001

BILLING CODE 4184-01-C

[[Page 35201]]

Instructions for the SF 424A

Public reporting burden for this collection of information is

estimated to average 180 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

General Instructions

This form is designed so that application can be made for funds

from one or more grant programs. In preparing the budget, adhere to

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

shown by function or activity. For other programs, grantor agencies

may require a breakdown by function or activity. Sections A, B, C,

and D should include budget estimates for the whole project except

when applying for assistance which requires Federal authorization in

annual or other funding period increments. In the latter case,

Sections A, B, C, and D should provide the budget for the first

budget period (usually a year) and Section E should present the need

for Federal assistance in the subsequent budget periods. All

applications should contain a breakdown by the object class

categories shown in Lines a-k of Section B.

Section A. Budget Summary Lines 1-4

Columns (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter on Line 1 under Column (a)

the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget

amounts by multiple function or activities, enter the name of each

activity or function on each line in Column (a), and enter the

catalog number in Column (b). For applications pertaining to

multiple programs where none of the programs require a breakdown by

function or activity, enter the catalog program title on each line

in Column (a) and the respective catalog number of each line in

Column (b).

For applications pertaining to multiple programs where one or

more programs require a breakdown by function or activity, prepare a

separate sheet for each program requiring the breakdown. Additional

sheets should be used when one form does not provide adequate space

for all breakdown of data required. However, when more than one

sheet is used, the first page should provide the summary totals by

programs.

Lines 1-4, Columns (c) through (g)

For new applications, leave Columns (c) and (d) blank. For each

line entry in Columns (a) and (b), enter in Columns (e), (f), and

(g) the appropriate amounts of funds needed to support the project

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

before the end of each funding period as required by the grantor

agency. Enter in Columns (c) and (d) the estimated amounts of funds

which will remain unobligated at the end of the grant funding period

only if the Federal grantor agency instructions provide for this.

Otherwise, leave these columns blank. Enter in Columns (e) and (f)

the amounts of funds needed for the upcoming period. The amount(s)

in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not

use Columns (c) and (d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and enter in Column (f) the

amount of the increase or decrease of non-Federal funds. In Column

(g) enter the new total budgeted amount (Federal and non-Federal)

which includes the total previous authorized budgeted amounts plus

or minus, as appropriate, the amounts shown in Columns (e) and (f).

The amount(s) in Column (g) should not equal the sum of amounts in

Columns (e) and (f).

Line 5--Show the total for all columns used.

Section B. Budget Categories

In the column headings (1) through (4), enter the titles of the

same programs, functions, and activities shown on Lines 1-4, Column

(a), Section A. When additional sheets are prepared for Section A,

provide similar column headings on each sheet. For each program,

function or activity, fill in the total requirements for funds (both

Federal and non-Federal) by object class categories.

Lines 6a-i--Show the totals of Lines 6a to 6h in each column.

Line 6j--Show the amount of indirect cost.

Line 6k--Enter the total of amounts on Lines 6i and 6j. For all

applications for new grants and continuation grants the total amount

in column (5), Line 6k, should be the same as the total amount shown

in Section A, Column (g), Line 5. For supplemental grants and

changes to grants, the total amount of the increase or decrease as

shown in Columns (1)-(4), Line 6k, should be the same as the sum of

the amounts in Section A, Columns (e) and (f) on Line 5.

Line 7--Enter the estimated amount of income, if any, expected

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

amount from the total project amount. Show under the program

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal Resources

Lines 8-11 Enter amounts of non-Federal resources that will be

used on the grant. If in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)--Enter the program titles identical to Column (a),

Section A. A breakdown by function or activity is not necessary.

Column (b)--Enter the contributions to be made by the applicant.

Column (c)--Enter the amount of the State's cash and in-kind

contribution if the applicant is not a State or State agency.

Applicants which are a State or State agencies should leave this

column blank.

Column (d)--Enter the amount of cash and in-kind contributions

to be made from all other sources.

Column (e)--Enter totals in Columns (b), (c), and (d).

Line 12--Enter the total for each of Columns (b)-(e). The amount

in Column (e) should be equal to the amount on Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13--Enter the amount of cash needed by quarter from the

grantor agency during the first year.

Line 14--Enter the amount of cash from all other sources needed

by quarter during the first year.

Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of

the Project

Line 16-19--Enter in Column (a) the same grant program titles

shown in Column (a), Section A. A breakdown by function or activity

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

which will be needed to complete the program or project over the

succeeding funding periods (usually in years). This section need not

be completed for revisions (amendments, changes, or supplements) to

funds for the current year of existing grants.

If more than four lines are needed to list the program titles,

submit additional schedules as necessary.

Line 20--Enter the total for each of the Columns (b)-(e). When

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21--Use this space to explain amounts for individual direct

object-class cost categories that may appear to be out of the

ordinary or to explain the details as required by the Federal

grantor agency.

Line 22--Enter the type of indirect rate (provisional,

predetermined, final or fixed) that will be in effect during the

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

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

Assurances--Non-Construction Programs

Public reporting burden for this collection of information is

estimated to average 15 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing

[[Page 35202]]

the collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget, send it to the address provided by the

sponsoring agency.

Note: Certain of these assurances may not be applicable to your

project or program. If you have questions, please contact the

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duly authorized representative of the applicant I certify

that the applicant:

1. Has the legal authority to apply for Federal assistance and

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share of project costs) to

ensure proper planning, management and completion of the project

described in this application.

2. Will give the awarding agency, the Comptroller General of

United States, and if appropriate, the State, through any authorized

representative, access to and the right to examine all records,

books, papers, or documents related to the award; and will establish

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

4. Will initiate and complete the work within the applicable

time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970

(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for

merit systems for programs funded under one of the nineteen statutes

or regulations specified in Appendix A of OPM's Standards for a

Merit System of Personnel Administration (5 CFR 900, subpart F).

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) Title

VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

Secs. 1681-1683, and 1685-1686), which prohibits discrimination on

the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,

as amended (29 U.S.C. Sec. 794), which prohibits discrimination on

the basis of handicaps; (d) the Age Discrimination Act of 1975, as

amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination

on the basis of age; (e) the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to nondiscrimination on the

basis of drug abuse; (f) the Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

(P.L. 91-616), as amended, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),

as amended, relating to confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil Rights Act of 1968 (42

U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination

in the sale, rental or financing of housing; (i) any other

nondiscrimination provisions in the specific statute(s) under which

application for Federal assistance is being made; and (j) the

requirements of any other nondiscrimination statute(s) which may

apply to the application.

7. Will comply, or has already complied, with the requirements

of Titles II and III of the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (P.L. 91-646) which

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch

Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the

political activities of employees whose principal employment

activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-

Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40

U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding

labor standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase

requirements of Section 102(a) of the Flood Disaster Protection Act

of 1973 (P.L. 93-234) which requires recipients in a special flood

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with the approved State

management program developed under the Coastal Zone Management Act

of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal

actions to State (Clear Air) Implementation Plans under Section

176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.

Secs. 7401 et seq.); (g) protection of underground sources of

drinking water under the Safe Drinking Water Act of 1974, as

amended, (P.L. 93-523); and (h) protection of endangered species

under the Endangered Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16

U.S.C. Secs. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic

Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of

human subjects involved in research, development, and related

activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966

(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the

care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead

based paint in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984 or

OMB Circular No. A-133, Audits of Institutions of Higher Learning

and other Non-profit Institutions.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

----------------------------------------------------------------------

Signature of Authorized Certifying Official

----------------------------------------------------------------------

Applicant Organization

----------------------------------------------------------------------

Title

----------------------------------------------------------------------

Date Submitted

Program Narrative

This program narrative section was designed for use by many and

varied programs. Consequently, it is not possible to provide

specific guidance for developing a program narrative statement that

would be appropriate in all cases. Applicants must refer the

relevant program announcement for information on specific program

requirements and any additional guidelines for preparing the program

narrative statement. The following are general guidelines for

preparing a program narrative statement.

The program narrative provides a major means by which the

application is evaluated and ranked to compete with other

applications for available assistance. It should be concise and

complete and should address the activity for which Federal funds are

requested. Supporting documents should be included where they can

present information clearly and succinctly. Applicants are

encouraged to provide information on their organizational structure,

staff, related experience, and other

[[Page 35203]]

information considered to be relevant. Awarding offices use this and

other information to determine whether the applicant has the

capability and resources necessary to carry out the proposed

project. It is important, therefore, that this information be

included in the application. However, in the narrative the applicant

must distinguish between resources directly related to the proposed

project from those which will not be used in support of the specific

project for which funds are requested.

Cross-referencing should be used rather than repetition. ACF is

particularly interested in specific factual information and

statements of measurable goals in quantitative terms. Narratives are

evaluated on the basis of substance, not length. Extensive exhibits

are not required. (Supporting information concerning activities

which will not be directly funded by the grant or information which

does not directly pertain to an integral part of the grant funded

activity should be placed in an appendix.) Pages should be numbered

for easy reference.

Prepare the program narrative statement in accordance with the

following instructions:

Applicants submitting new applications or competing

continuation applications should respond to Items A and D.

Applicants submitting noncompeting continuation

applications should respond to Item B.

Applicants requesting supplemental assistance should

respond to Item C.

A. Project Description--Components

1. Project Summary/Abstract

A summary of the project description (usually a page or less)

with reference to the funding request should be placed directly

behind the table of contents or SF-424.

2. Objectives and Need for Assistance

Applicants must clearly identify the physical, economic, social,

financial, institutional, or other problem(s) requiring a solution.

The need for assistance must be demonstrated and the principal and

subordinate objectives of the project must be clearly stated;

supporting documentation such as letters of support and testimonials

from concerned interests other than the applicant may be included.

Any relevant data based on planning studies should be included or

referenced in the endnotes/footnotes. Incorporated demographic data

and participant/beneficiary information, as needed. In developing

the narrative, the applicant may volunteer or be requested to

provide information on the total range of projects currently

conducted and supported (or to be initiated), some of which may be

outside the scope of the program announcement.

3. Results or Benefits Expected

Identify results and benefits to be derived. For example, when

applying for a grant to establish a neighborhood child care center,

describe who will occupy the facility, who will use the facility,

how the facility will be used, and how the facility will benefit the

community which it will serve.

4. Approach

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

how the proposed work will be accomplished. Account for all

functions or activities identified in the application. Cite factors

which might accelerate or decelerate the work and state your reason

for taking this approach rather than others. Describe any unusual

features of the project such as design or technological innovations,

reductions in cost or time, or extraordinary social and community

involvement.

Provide quantitative monthly or quarterly projections of the

accomplishments to be achieved for each function or activity in such

terms as the number of people to be served and the number of

microloans made. When accomplishments cannot be quantified by

activity or function, list them in chronological order to show the

schedule of accomplishments and their target dates.

Identify the kinds of data to be collected, maintained, and/or

disseminated. (Note that clearance from the U.S. Office of

Management and Budget might be needed prior to an information

collection.) List organizations, cooperating entities, consultants,

or other key individuals who will work on the project along with a

short description of the nature of their effort or contribution.

5. Evaluation

Provide a narrative addressing how you will evaluate (1) the

results of your project and (2) the conduct of your program. In

addressing the evaluation of results, state how you will determine

the extent to which the program has achieved its stated objectives

and the extent to which the accomplishment of objectives can be

attributed to the program. Discuss the criteria to be used to

evaluate results; explain the methodology that will be used to

determine if the needs identified and discussed are being met and if

the project results and benefits are being achieved. With respect to

the conduct of your program, define the procedures you will employ

to determine whether the program is being conducted in a manner

consistent with the work plan you presented and discuss the impact

of the program's various activities upon the program's

effectiveness.

6. Geographic Location

Give the precise location of the project and boundaries of the

area to be served by the proposed project. Maps or other graphic

aids may be attached.

7. Additional Information (Include if applicable)

Additional information may be provided in the body of the

program narrative or in the appendix. Refer to the program

announcement and ``General Information and Instructions'' for

guidance on placement of application materials.

Staff and Position Data--Provide a biographical sketch for key

personnel appointed and a job description for each vacant key

position. Some programs require both for all positions. Refer to the

program announcement for guidance on presenting this information.

Generally, a biographical sketch is required for original staff and

new members as appointed.

Plan for Project Continuance Beyond Grant Support--A plan for

securing resources and continuing project activities after Federal

assistance has ceased.

Business Plan--When federal grant funds will be used to make an

equity investment, provide a business plan. Refer to the program

announcement for guidance on presenting this information.

Organization Profiles--Information on applicant organizations

and their cooperating partners such as organization charts,

financial statements, audit reports or statements from CPA/Licensed

Public Accountant, Employer Identification Numbers, names of bond

carriers, contact persons and telephone numbers, child care licenses

and other documentation of professional accreditation, information

on compliance with federal/state/local governments standards,

documentation of experience in program area, and other pertinent

information. Any non-profit organization submitting an application

must submit proof of its non-profit status in its application at the

time of submission. The non-profit agency can accomplish this by

providing a copy of the applicant's listing in the Internal Revenue

Service's (IRS) most recent list of tax-exempt organizations

described in Section 501(c)(3) of the IRS code or by providing a

copy of the currently valid IRS Tax exemption certificate, or by

providing a copy of the articles of incorporation bearing the seal

of the State in which the corporation or association is domiciled.

Dissemination Plan--A plan for distributing reports and other

projects outputs to colleagues and the public. Applicants must

provide a description of the kind, volume and timing of

distribution.

Third-Party Agreements--Written agreements between grantees and

subgrantees or subcontractors or other cooperating entities. These

agreements may detail scope of work, work schedule, remuneration,

and other terms and conditions that structure or define the

relationship.

Waiver Request--A statement of program requirements for which

waivers will be needed to permit the proposed project to be

conducted.

Letters of Support--Statements from community, public and

commercial leaders which support the project proposed for funding.

B. Noncompeting Continuation Applications

A program narrative usually will not be required for

noncompeting continuation applications for nonconstruction programs.

Noncompeting continuation applications shall be abbreviated unless

the ACF Program Office administering this program has issued a

notice to the grantee that a full application will be required.

An abbreviated application consists of:

1. The Standard Form 424 series (SF 424, SF 424A, SF-424B)

2. The estimated or actual unobligated balance remaining from

the previous budget period should be identified on an accurate SF-

269 as well as in section A, Columns (c) and (d) of the SF-424A.

[[Page 35204]]

3. The grant budget, broken down into the object class

categories on the 424A, and if category ``other'' is used, the

specific items supported must be identified.

4. Required certifications.

A full application consists of all elements required for an

abbreviated application plus:

1. Program narrative information explaining significant changes

to the original program narrative statement, a description of

accomplishments from the prior budget period, a projection of

accomplishments throughout the entire remaining project period, and

any other supplemental information that ACF informs the grantee is

necessary.

2. A full budget proposal for the budget period under

consideration with a full cost analysis of all budget categories.

3. A corrective action plan, if requested by ACF, to address

organizational performance weaknesses.

C. Supplemental Requests

For supplemental assistance requests, explain the reason for the

request and justify the need for additional funding. Provide a

budget and budget justification only for those items for which

additional funds are requested. (See Item D for guidelines on

preparing a budget and budget justification.)

D. Budget and Budget Justification

Provide line item detail and detailed calculations for each

budget object class identified on the Budget Information form.

Detailed calculations must include estimation methods, quantities,

unit costs, and other similar quantitative detail sufficient for the

calculation to be duplicated. The detailed budget must also include

a breakout by the funding sources identified in Block 15 of the SF-

424.

Provide a narrative budget justification which describes how the

categorical costs are derived. Discuss the necessity,

reasonableness, and allocability of the proposed costs.

The following guidelines are for preparing the budget and budget

justification. Both federal and non-federal resources should be

detailed and justified in the budget and narrative justification.

For purposes of preparing the program narrative, ``federal

resources'' refers only to the ACF grant for which you are applying.

Non-Federal resources are all other federal and nonfederal

resources. It is suggested that for the budget, applicants use a

column format: Column 1, object class categories; Column 2, federal

budget amounts; Column 3, non-federal budget amounts, and Column 4,

total amounts. The budget justification should be a narrative.

Personnel. Costs of employee salaries and wages.

Justification: Identify the project director or principal

investigator, if known. For each staff person, show name/title, time

commitment to the project (in months), time commitment to the

project (as a percentage or full-time equivalent), annual salary,

grant salary, wage rates, etc. Do not include costs of consultants

or personnel costs of delegate agencies or of specific project(s) or

businesses to be financed by the applicant.

Fringe Benefits. Costs of employee fringe benefits unless

treated as part of an approved indirect cost rate.

Justification: Provide a breakdown of amounts and percentages

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

retirement insurance, taxes, etc.

Travel. Costs of project related travel by employees of the

applicant organization (does not include costs of consultant

travel).

Justification: For each trip, show the total number of

traveler(s), travel destination, duration of trip, per diem, mileage

allowances, if privately owned vehicles will be used, and other

transportation costs and subsistence allowances. Travel costs for

key staff to attend ACF sponsored workshops as specified in this

program announcement should be detailed in the budget.

Equipment. Costs of all non-expendable, tangible personal

property to be acquired by the project where each article has a

useful life of more than one year and an acquisition cost which

equals the lesser of (a) the capitalization level established by the

applicant organization for financial statement purposes, or (b)

$5000.

Justification: For each type of equipment requested, provide a

description of the equipment, cost per unit, number of units, total

cost, and a plan for use on the project, as well as use or disposal

of the equipment after the project ends.

Supplies. Costs of all tangible personal property (supplies)

other than that included under the Equipment category.

Justification: Specify general categories of supplies and their

costs. Show computations and provide other information which

supports the amount requested.

Contractual. Costs of all contracts for services and goods

except for those which belong under other categories such as

equipment, supplies, construction, etc. Third-party evaluation

contracts (if applicable) and contracts with secondary recipient

organizations including delegate agencies and specific project(s) of

businesses to be financed by the applicant should be included under

this category.

Justification: All procurement transactions shall be conducted

in a manner to provide, to the maximum extent practical, open and

free competition. If procurement competitions were held or if a sole

source procurement is being proposed, attach a list of proposed

contractors, indicating the names of the organizations, the purposes

of the contracts, the estimated dollar amounts, and the award

selection process. Also provide back-up documentation where

necessary to support selection process.

Note: Whenever the applicant/grantee intends to delegate part of

the program to another agency, the applicant/grantee must provide a

detailed budget and budget narrative for each delegate agency by

agency title, along with the required supporting information

referenced in these instructions.

Applicants must identify and justify any anticipated procurement

that is expected to exceed the simplified purchase threshold

(currently set at $100,000) and to be awarded without competition.

Recipients are required to make available to ACF pre-award review

and procurement documents, such as request for proposals or

invitations for bids, independent cost estimates, etc. under the

conditions identified at 45 CFR Part 74.44(e).

Construction. Costs of construction by applicant or contractor.

Justification: Provide detailed budget and narrative in

accordance with instructions for other object class categories.

Identify which construction activity/costs will be contractual and

which will assumed by the applicant.

Other. Enter the total of all other costs. Such costs, where

applicable and appropriate, may include but are not limited to

insurance, food, medical and dental costs (noncontractual), fees and

travel paid directly to individual consultants, space and equipment

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

including tuition and stipends, training service costs including

wage payments to individuals and supportive service payments, and

staff development costs.

Indirect Charges. Total amount of indirect costs. This category

should be used only when the applicant currently has an indirect

cost rate approved by the Department of Health and Human Services or

another cognizant Federal agency.

Justification: With the exception of most local government

agencies, an applicant which will charge indirect costs to the grant

must enclose a copy of the current rate agreement if the agreement

was negotiated with a cognizant Federal agency other than the

Department of Health and Human Services (DHHS). If the rate

agreement was negotiated with the Department of Health and Human

Services, the applicant should state this in the budget

justification. If the applicant organization is in the process of

initially developing or renegotiating a rate, it should immediately

upon notification that an award will be made, develop a tentative

indirect cost rate proposal based on its most recently completed or

renegotiating rate, it should immediately upon notification that an

award will be made, develop a tentative indirect cost rate proposal

based on its most recently completed fiscal year in accordance with

the principles set forth in the pertinent DHHS Guide for

Establishing Indirect Cost Rates and submit it to the appropriate

DHHS Regional Office. Applicants awaiting approval of their indirect

cost proposals may also request indirect costs. It should be noted

that when an indirect cost rate is requested, those costs included

in the indirect cost pool should not be also charged as direct costs

to the grant. Also, if the applicant is requesting a rate which is

less than what is allowed under this program announcement, the

authorized representative of your organization needs to submit a

signed acknowledgement that the applicant is accepting a lower rate

than allowed.

Program Income. The estimated amount of income, if any, expected

to be generated from this project. Separately show expected program

income generated from program support and income generated from

other mobilized funds. Do not add or subtract this amount from the

budget total. Show the nature and source of income in the program

narrative statement.

Justification: Describe the nature, source and anticipated use

of program income in the

[[Page 35205]]

budget or reference pages in the program narrative statement which

contain this information.

Non-Federal Resources. Amounts of non-Federal resources that

will be used to support the project as identified in Block 15 of the

SF-424.

Justification: The firm commitment of these resources must be

documented and submitted with the application in order to be given

credit in the review process.

Total Direct Charges, Total Indirect Charges, Total Project

Costs. (self explanatory)

This certification is required by the regulations implementing

the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.

Sections 76.630 (c) and (d)(2) and 76.645 (a)(1) and (b) provide

that a Federal agency may designate a central receipt point for

STATE-WIDE AND STATE AGENCY-WIDE certifications, and for

notification of criminal drug convictions. For the Department of

Health and Human Services, the central point is: Division of Grants

Management and Oversight, Office of Management and Acquisition,

Department of Health and Human Services, Room 517-D, 200

Independence Avenue, SW., Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)

1. By signing and/or submitting this application or grant

agreement, the grantee is providing the certification set out below.

2. The certification set out below is a material representation

of fact upon which reliance is placed when the agency awards the

grant. If it is later determined that the grantee knowingly rendered

a false certification, or otherwise violates the requirements of the

Drug-Free Workplace Act, the agency, in addition to any other

remedies available to the Federal Government, may take action

authorized under the Drug-Free Workplace Act.

3. For grantees other than individuals, Alternate I applies.

4. For grantees who are individuals, Alternate II applies.

5. Workplaces under grants, for grantees other than individuals,

need not be identified on the certification. If known, they may be

identified in the grant application. If the grantee does not

identify the workplaces at the time of application, or upon award,

if there is no application, the grantee must keep the identity of

the workplace(s) on file in its office and make the information

available for Federal inspection. Failure to identify all known

workplaces constitutes a violation of the grantee's drug-free

workplace requirements.

6. Workplace identifications must include the actual address of

buildings (or parts of buildings) or other sites where work under

the grant takes place. Categorical descriptions may be used (e.g.,

all vehicles of a mass transit authority or State highway department

while in operation, State employees in each local unemployment

office, performers in concert halls or radio studios).

7. If the workplace identified to the agency changes during the

performance of the grant, the grantee shall inform the agency of the

change(s), if it previously identified the workplaces in question

(see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and

Debarment common rule and Drug-Free Workplace common rule apply to

this certification. Grantees' attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I

through V of the Controlled Substances Act (21 U.S.C. 812) and as

further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo

contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal

statute involving the manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the

performance of work under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees unless their impact or

involvement is insignificant to the performance of the grant; and,

(iii) Temporary personnel and consultants who are directly engaged

in the performance of work under the grant and who are on the

grantee's payroll. This definition does not include workers not on

the payroll of the grantee (e.g., volunteers, even if used to meet a

matching requirement; consultants or independent contractors not on

the grantee's payroll; or employees of subrecipients or

subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

The grantee certifies that it will or will continue to provide a

drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to

inform employees about--

(1) The dangers of drug abuse in the workplace;

(2) The grantee's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement required by

paragraph (a) that, as a condition of employment under the grant,

the employee will--

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for

a violation of a criminal drug statute occurring in the workplace no

later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days

after receiving notice under paragraph (d)(2) from an employee or

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

to every grant officer or other designee on whose grant activity the

convicted employee was working, unless the Federal agency has

designated a central point for the receipt of such notices. Notice

shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days

of receiving notice under paragraph (d)(2), with respect to any

employee who is so convicted--

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-

free workplace through implementation of paragraphs (a), (b), (c),

(d), (e) and (f).

(B) The grantee may insert in the space provided below the

site(s) for the performance of work done in connection with the

specific grant:

Place of Performance (Street address, city, county, state, zip code)





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