[Federal Register Volume 59, Number 47 (Thursday, March 10, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5549]
[[Page Unknown]]
[Federal Register: March 10, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Strengthening Community Supports for Youth Development
AGENCY: Office of the Assistant Secretary for Planning and Evaluation,
HHS.
ACTION: Request for applications to implement a strategy for
strengthening community supports for youth development.
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SUMMARY: The Department wishes to participate in a demonstration and
evaluation of a long-term community development process in behalf of
at-risk youth in 3-5 communities with the majority of funding being
provided by charitable foundations. We estimate that the scope and
level of effort will require up to five years to accomplish and will
cost approximately $3-5 million for the first 24-30 months of work.
Only one grant of $100,000 per year for five years will be awarded.
CLOSING DATES: The closing date for submitting an application is May 9,
1994.
FOR FURTHER INFORMATION CONTACT:
Grants Officer, Office of the Assistant Secretary for Planning and
Evaluation, Department of Health and Human Services, 200 Independence
Avenue, SW., room 405F, Hubert H. Humphrey Building, Washington, DC
20201, Phone (202) 690-8794.
Part I. Background
The Department has been participating in a broadly-based
interdepartmental working group and internally reviewing its program
and policy options to find ways of addressing the problems of teen
crime and violence, teen parenthood, and other barriers to a successful
transition to adulthood. These discussions have been conducted in
multidimensional context. Teen violence has been described a top public
health problem. The number of homicides and serious injuries because of
violence among teenager has reached pandemic levels in some
communities. For example, adolescents are 2\1/2\ times more likely to
be victims of violent crimes than those over age 20. Homicide is the
second leading cause of death for all youth ages 15-24 and is the
leading cause of death for African-American youth in this age group.
Welfare reform discussions have also highlighted the importance of
preventing teen pregnancies. Finally the need to ensure that young
people enter adulthood with competitive and marketable job skills in an
era of global economic competition has never been greater.
At the same time that these problems of youth are engaging the
urgent attention of this Department, we are also concerned about
avoiding the mistakes of past programs and initiatives. The lessons of
the past point to the need to seek comprehensive, community-based
family-centered solutions for today's problems. Many of the problems of
poor children and poor families are inseparable from the conditions of
their communities. Individual issues of drug abuse, delinquency, school
failure, teen pregnancy, and so on, cannot be addressed unless the
community poverty, violence, deterioration, and hopelessness that
breeds these problems are also addressed. Any attempt to address these
problems by working with youth in isolation from their families and
communities will fail in the long term. While short term gains can be
achieved and a few individuals can be ``rescued'' through high quality
youth-focused intensive services, the core problems will not be
addressed. These programs will never have enough resources to reach all
the youth or even a majority of the youth who need help. We must begin
devising policies and programs that respond not just to problems, not
just individuals, not just families, but to whole communities as the
client and subject of our concern. Large numbers of youth will not
succeed until the environment within a local community supports
positive youth development and a sufficiently strong social
infrastructure exists to provide special help to those youth who need
it.
The empowerment-zone and enterprise-community legislation enacted
by Congress in August, 1993 encourages the development of more
comprehensive, coordinated, and integrated approaches to serving low-
income communities. While it is an opportunity to develop new and more
local systems of human services--ones that are flexible, family
focused, and community based, it is also an opportunity to realign the
allocation of resources and accountability and develop new decision-
making institutions which are in and of the communities they serve.
Ideally, these broad-based community-level governing bodies would
assume control and responsibility for dozens of separate special-
purpose programs designed to address problems as if they were not
interconnected. Accomplishing such fundamental structural changes will
take years of effort and require repeated attempts. The scope of the
task includes redefining the roles of the existing bureaucracies,
renewal of the competencies of the helping professions, and the
development of new measures and new tools for assuring accountability
for positive outcomes.
The Department wishes to contribute to the process of building the
capacities and infrastructure necessary for development of such
community based programs, especially in the area of youth services.
However it does not have funding for an independent effort at this
time. Therefore it wishes to participate in an existing project as a
first step in developing its own agenda for positive youth development.
Part II. Required Characteristics of a Qualifying Demonstration Project
A. Demonstrations in Multiple Sites
The applicant should be prepared to conduct a minimum of five
demonstration projects in geographically separate communities. The
process of collaboration with each local community will respect the
flexibility and uniqueness that each community requires, while ensuring
that the results of local development decisions reflect a coherent
theory built on the best knowledge and evidence available. This
approach consciously avoids assigning specific responsibilities to
specific institutions. These would vary according to the capacities and
strengths of each community. But the need for all key youth-serving
institutions--the schools, voluntary organizations, community-based
agencies, employers--to be actively involved and supportive of changes
in current practices if necessary, is critical.
B. Foundation Support for Demonstrations
The applicant must demonstrate sufficient financial support from
private philanthropic foundations to carry out at least the first two
years of the project. Written evidence of the commitment of financial
resources from the major participants must be included with the
application.
C. Focus on ``Core Concepts''
The design and implementation of a long-term youth development
initiative should be focused around a small number of substantive core
concepts. These ``core concepts'' are to be derived from theory and
research on how adolescents learn, on what motivates them, and on what
socialization practices most effectively promote their healthy
development.
These core concepts should not attempt to meet all of a youth's
needs, but rather represent hard choices about what supports and
opportunities are critical to successful adolescence and transition to
economic self-sufficiency, are likely to be absent in most resource
poor neighborhoods, and are within the influence of social policy. They
should represent a hypothesis about the threshold content of social
infrastructure necessary to secure positive teenage development and a
successful transition to adulthood, for a substantial number of youth
who would otherwise not succeed.
D. Continuity From Early Adolescence Through Early Adulthood
Most of the current programs provide for only time-limited
interventions, e.g., special classes, summer camps or specific problem-
solving activities, e.g., homelessness, pregnancy counseling. To borrow
an analogy from the field of medical practice, most programs are akin
to attempts at inoculations for communicable disease or emergency room
treatment. There have been very few programs that attempt to provide
continuity of support and opportunity through the whole period of
transition from early adolescence to early adulthood. Few yet have
attempted to make support and mentoring of youth a conscious part of
community social infrastructure. Applicants should discuss whether
continuous youth supports are necessary for positive adult outcomes and
whether these supports can be organized on a community level.
E. Support for Local Projects
Previous experience in multisitie demonstrations and replications
also indicates the importance of providing to local initiatives certain
kinds of support and assistance that local resources can rarely afford.
Thus an applicant must demonstrate the ability to carry out or manage
the following activities and roles to support local operations:
* The identification of and training in the use of ``best
practice'' materials, curricula and training packages to provide
content and boost local staff capacity in carrying out the five core
concepts;
* The development and installation of an information system to
assist in local decision-making, and provision of training in its
installation and operation;
* Financial support for sites to implement core concept
innovations that current public funding streams do not support;
* Support in securing local private resources necessary for
staffing the local governance mechanism; and
* Assignment to each site of a staff member or consultant with
substantial experience in multi-institution youth initiatives, to
act as a sounding-board and broker on local issues, and provide a
perspective independent of any specific local interest.
These functions are, in our experience, important to building
local capacity for effective and institutionalized changes in
practice.
F. Community Empowerment
In each community an organization which is representative of both
public and private sectors and a variety of interests will be needed to
direct the planning and implementation of the youth services project.
The applicant should describe how it envisions the size and different
levels within these organizations, the kinds of representation that
will be needed, the level at which local community leaders will be
involved in the project and the efforts that will be made to involve
the youth themselves in meaningful roles.
G. Evaluation
Each applicant must provide for an independent evaluation of the
process of implementation itself. It is this process evaluation which
will provide lessons for other communities.
The implementation evaluation should be conducted by an independent
evaluation team of researchers experienced in process evaluations,
implementation studies, case studies, and other field approaches. The
evaluation should focus on describing both the anticipated and the
unanticipated processes of the implementation of the core concept
strategy. The purpose of the documentation and analysis of
unanticipated implementation issues is not to derive a judgment about
the original plans, but rather to develop a better understanding of the
factors affecting implementation and to derive lessons for wider-scale
application.
Some questions to consider include:
What factors influence the success or failure of collaborative
attempts to develop community based service delivery mechanisms?
These factors should include environmental conditions of historical
experience and political climate, membership characteristics including
the degree to which members represent their community and the influence
of shared or different cultural norms and values, factors related to
decision making process and structure, factors related to
communication, factors related to goals and purpose, and factors
related to available resources such as skilled leadership, funding, and
skilled staff.
What are the appropriate intermediate measures of progress toward
becoming a positive environment for youth development? How will we know
that conditions are improving?
Does collaboration on the community level reduce or eliminate the
barriers to service commonly found in categorical funding? Do more
youth and a greater diversity of youth receive services? What
opportunities are presented by coordination of funding streams at the
community level? What problems encountered? Does this result in
increased funding or volume of services for youth?
What are the core or essential services that must be in place in a
comprehensive program? Do programs have to offer health, education,
recreation, employment services? Should comprehensive programs attempt
to address problems directly, e.g., pregnancy prevention and options
counseling, substance abuse prevention and referrals.
Part III. Organization of Applications--Outline of Narrative
Description
An application must contain the required Federal forms and a
narrative description of proposed project. All pages of the narrative
should be numbered consecutively. Each applicant must present their
responses to the ``Required Characteristics of a Qualifying
Demonstration Project'' delineated in part II within the structure
presented below.
A. Abstract
Provide a one-page summary of the proposed project.
B. Goals, Objectives and Need for the Project
Include a brief overview which describes the need for the proposed
project, justifies the approach to be taken, and identifies any
theoretical or empirical basis for the approach proposed along with
appropriate supporting citations of the pertinent professional
literature. Present the goals of the implementation effort and related
objectives in observable terms. These goals and objectives should be
used in the development of the evaluation section.
C. Strategic Plan
Provide a description of how the proposed demonstration project
will be implemented. It will be helpful if specific steps and
milestones can be presented in the form of a series of Gantt or PERT
charts.
D. Evaluation
Describe the level of effort and the resources that will be devoted
to an independent evaluation of the project.
E. Organizational Capacity
Briefly describe the applicant's organizational capabilities and
experience in conducting demonstration projects or programs involving
local government, education, health, or human service agencies.
Identify the key staff who are expected to carry out the demonstration
project and provide a curriculum vitae for each person.
F. Budget
Submit a request for federal funds using Standard Form 424A and
provide a proposed budget using the categories listed on this form.
Documentation must be included which substantiates the existence of a
commitment by one or more private philanthropic foundations to provide
at least $3 million for implementation of the demonstration project.
Part IV. Receipt and Processing of Applications
A. Deadline for Submitting of Applications
The closing date for submittal of applications under this
announcement is May 9, 1994. Applications must be postmarked or hand
delivered to the application receipt point no later than 5 p.m. on the
closing date. Applications which do not meet the deadline are
disqualified and will not be considered further. DHHS will send a
letter to this effect to each late applicant.
An application will be considered as meeting the deadline if it is
either: (1) Received at, or hand-delivered to, the mailing address on
or before the due date, or (2) postmarked before midnight of the
deadline date and received in time to be considered during the
competitive review process.
Hand-delivered applications will be accepted Monday through Friday,
excluding federal holidays during the working hours of 9 a.m. to 5 p.m.
in the lobby of the Hubert H. Humphrey building located at 200
Independence Avenue, SW. in Washington, DC. When hand-delivering an
application, call 690-8794 from the lobby for pick up. A staff person
will be available to receive applications.
When mailing applications, applicants are strongly advised to
obtain a legibly dated receipt from a commercial carrier (such as UPS,
Federal Express, etc.) or from the U.S. Postal Service as proof of
mailing by the deadline date. If there is a question as to when an
application was mailed, applicants will be asked to provide proof of
mailing by the deadline date. When proof is not provided, an
application will not be considered for funding. Private metered
postmarks are not acceptable as proof of timely mailing.
DHHS reserves the right to extend the deadline for all proposals
due to acts of God, such as floods, hurricanes, or earthquakes; or if
there is a widespread disruption of the mail; or if DHHS determines a
deadline extension to be in the best interest of the government.
However, DHHS will not waive or extend the deadline for any applicant
unless the deadline is waived or extended for all applicants.
B. Initial Screening
Applications will be initially screened for compliance with the
timeliness, completeness, and cost-sharing requirements. If judged in
compliance, the application then will be reviewed by government
personnel, augmented by outside experts where appropriate. Three (3)
copies of each application are required. Applicants are encouraged to
send an additional three (3) copies of their application to ease
processing, but applicants will not be penalized if these extra copies
are not included. There is no limitation on the length of the
narrative; however extraneous materials such as videotapes and
brochures should not be included and will not be reviewed.
C. Review Process and Evaluation Criteria
Applications will be evaluated by a panel of reviewers according to
the criteria set forth below. Consequently, applicants should take care
to ensure that all criteria are fully addressed in the application. The
relative weights are shown in parentheses.
1. Goals, Objectives, and Need for Assistance (10 points)
Are the goals and objectives presented in observable, measurable
terms, and how well do they reflect the specific program requirements
delineated in the grant announcement?
2. Project Design and Approach (30 points)
Is the plan reasonable? Are the activities listed for each
objective sufficiently detailed to ensure successful, timely
implementation? Do they demonstrate an adequate level of understanding
by the applicant of the practical problems involved in executing such a
complex project? Is there substantive evidence that the advisory board
and local community will be substantively involved in the project?
3. Evaluation (10 points)
Does the applicant propose an independent evaluation of the
implementation process? Does the applicant demonstrate an understanding
of the practical difficulties of working with an independent evaluator
and a resolve to successfully conduct the evaluation?
4. Organizational Capacity (20 points)
Does the organization(s) have sufficient experience to ensure
success? Is the collaborative decision making process described in
terms that assure accountability to the communities and families to be
served? Are the number and type of staff positions sufficient to
achieve project objectives?
5. Budget (30 points)
Is the proposed budget reasonable and sufficient to ensure
implementation? Are the required local matching funds being provided
and in this commitment reliable? Are funds allocated to carry out the
evaluation?
Part V. Other Notices and Requirements
A. Legislative Authority
The authority for this grant is contained in section 1110 of the
Social Security Act (42 U.S.C. 1310).
B. Applicable Regulations
1. ``Grants Programs Administered by the Office of this Assistant
Secretary for Planning and Evaluation'' (45 CFR part 63).
2. ``Administration of Grants'' (45 CFR part 74).
C. Eligible Applicants
Any agency of state or local government, university or other agency
whether organized as a for-profit or as a not-for-profit corporation.
However for-profit organizations are advised that no grant funds may be
paid as profit to any recipient of a grant or subgrant. Profit is any
amount in excess of allowable direct and indirect costs of the grantee.
D. Effective Date and Duration
1. The grants awarded pursuant to this announcement are expected to
be made on or about June 1, 1994.
2. Projects will be twelve months in duration with funding for the
second through the fifth year subject to a determination that continued
support is in the interest of the government. The grantee may be
required to provide an updated workplan toward the end of each budget
period prior to receiving funding for the next year.
E. Statement of Funds Availability
1. Up to $100,000 is available for one grant to be awarded in
Fiscal Year 1994.
2. Nothing in this application should be construed as committing
the Assistant Secretary to make any award.
F. Reports
The grantee must submit annual progress reports and a final report.
The specific format and content for these reports will be provided by
the project officer.
G. Application Instructions and Forms
Copies of applications should be requested from and submitted to:
Grants Officer, Office of the Assistant Secretary for Planning and
Evaluation, Department of Health and Human Services, 200 Independence
Avenue, SW., room 405F, Hubert H. Humphrey Building, Washington, DC
20201, Phone (202) 690-8794. Questions concerning the preceding
information should be submitted to the Grants Officer at the same
address.
H. Federal Domestic Assistance Catalog
This program is not listed in the Catalog of Federal Domestic
Assistance.
I. State Single Point of Contact (E.O. 12372)
DHHS has determined that this program is not subject to Executive
Order 12372, ``Intergovernmental Review of Federal Programs.'' because
it is a program that is national in scope and does not directly affect
State and local governments. Applicants are not required to seek
intergovernmental review of their applications within the constraints
of E.O. 12372.
Dated: March 1, 1994.
David T. Ellwood,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 94-5549 Filed 3-9-94; 8:45 am]
BILLING CODE 4110-60-M
